CBMS-NSF REGIONAL CONFERENCE SERIES IN APPLIED MATHEMATICS
A series of lectures on topics of current research interest in applied mathematics under the direction of the Conference Board of the Mathematical Sciences, supported by the National Science Foundation and published by SIAM. GARRETT BIRKHOFF, The Numerical Solution of Elliptic Equations D. V. LINDLEY, Bayesian Statistics, A Review R. S. VARGA, Functional Analysis and Approximation Theory in Numerical Analysis R. R. BAHADUR, Some Limit Theorems in Statistics PATRICK BILLINGSLEY, Weak Convergence of Measures: Applications in Probability J. L. LIONS, Some Aspects of the Optimal Control of Distributed Parameter Systems ROGER PENROSE, Techniques of Differential Topology in Relativity HERMAN CHERNOFF, Sequential Analysis and Optimal Design J. DURBIN, Distribution Theory for Tests Based on the Sample Distribution Function SOL I. RUBINOW, Mathematical Problems in the Biological Sciences P. D. LAX, Hyperbolic Systems of Conservation Laws and the Mathematical Theory of Shock Waves I. J. SCHOENBERG, Cardinal Spline Interpolation IVAN SINGER, The Theory of Best Approximation and Functional Analysis WERNER C. RHEINBOLDT, Methods of Solving Systems of Nonlinear Equations HANS F. WEINBERGER, Variational Methods for Eigenvalue Approximation R. TYRRELL ROCKAFELLAR, Conjugate Duality and Optimization SIR JAMES LIGHTHILL, Mathematical Biofluiddynamics GERARD SALTON, Theory of Indexing CATHLEEN S. MORAWETZ, Notes on Time Decay and Scattering for Some Hyperbolic Problems F. HOPPENSTEADT, Mathematical Theories of Populations: Demographics, Genetics and Epidemics RICHARD ASKEY, Orthogonal Polynomials and Special Functions L. E. PAYNE, Improperly Posed Problems in Partial Differential Equations S. ROSEN, Lectures on the Measurement and Evaluation of the Performance of Computing Systems HERBERT B. KELLER, Numerical Solution of Two Point Boundary Value Problems J. P. LASALLE, The Stability of Dynamical Systems - Z. ARTSTEIN, Appendix A: Limiting Equations and Stability of Nonautonomous Ordinary Differential Equations D. GOTTLIEB AND S. A. ORSZAG, Numerical Analysis of Spectral Methods: Theory and Applications PETER J. HUBER, Robust Statistical Procedures HERBERT SOLOMON, Geometric Probability FRED S. ROBERTS, Graph Theory and Its Applications to Problems of Society JURIS HARTMANIS, Feasible Computations and Provable Complexity Properties ZOHAR MANNA, Lectures on the Logic of Computer Programming ELLIS L. JOHNSON, Integer Programming: Facets, Subadditivity, and Duality for Group and SemiGroup Problems SHMUEL WINOGRAD, Arithmetic Complexity of Computations J. F. C. KINGMAN, Mathematics of Genetic Diversity MORTON E. GURTIN, Topics in Finite Elasticity THOMAS G. KURTZ, Approximation of Population Processes (continued on inside back cover)

Graph Theory and Its Applications to Problems of Society

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Roberts Rutgers University Graph Theory and Its Applications to Problemsof Society SOCIETY FOR INDUSTRIAL AND APPLIED MATHEMATICS PHILADELPHIA .Fred S.

1977. Social problems—Mathematical models—Congresses. Dover. 2. No part of this book may be reproduced. Philadelphia. Fred S Graph theory and its application to problems of society.All rights reserved. For information. 3600 University City Science Center. I. ISBN 0-89871-026-X Printed by Odyssey Press." Includes bibliographical references and index. PA 19104-2688. II.R59 300'. stored. write to the Society for Industrial and Applied Mathematics. Series. 29) "Based on a series of ten lectures delivered at a regional conference.held at Colby College on June 20-24. Title. Graph theory— Congresses. . New Hampshire Copyright © 1978 by the Society for Industrial and Applied Mathematics 10987654 Library of Congress Cataloging in Publication Data Roberts. (Regional conference series in applied mathematics. 3. 1. H61.1'51 78-6277 is a registered trademark. Social sciences—Mathematical models—Congresses.. or transmitted in any manner without the written permission of the publisher..

Uniqueness Chapter 5 FOOD WEBS.1.5. Circular arc graphs 3.2.6. AND THE BOXICITY OF ECOLOGICAL PHASE SPACE 5. and source food webs Chapter 6 COLORABILITY 6.1. Phasing traffic lights 3. NICHE OVERLAP GRAPHS.3.1. Robbins' theorem 2. Boxicity 5.2. Connectedness Chapter 2 THE ONE-WAY STREET PROBLEM 2.2.Contents Preface Chapter 1 INTRODUCTION 1. MEASUREMENT. Intersection graphs 3. Some streets two-way 2. Trees 4.4.4. The boxicity of ecological phase space 5.1. Algorithms for one-way street assignments 2. Digraphs and graphs 1.1.4. The properties of niche overlap graphs 5.3. sink food webs.4. . Indifference graphs 4.2. Interval graphs and their applications 3. The mobile radio frequency assignment problem Chapter-4 INDIFFERENCE.7.4. Characterization of interval graphs 3. The scope of the work 1. Efficiency 2. Community food webs.3. Calculating the chromatic number V vii 1 3 4 5 7 8 9 11 13 15 16 17 18 22 22 25 27 31 34 36 .5. Inefficiency Chapter 3 INTERSECTION GRAPHS 3.3. 39 41 43 46 49 50 . Applications of graph coloring 6. Seriation 4.2.1. Reaching and joining 1. Transitive orientations 3.2.3. AND SERIATION 4.

6.1.4.4. Strengths of likes and dislikes Chapter 10 PULSE PROCESSES AND THEIR APPLICATIONS 10.3. Stable sets Chapter 8 APPLICATIONS OF EULERIAN CHAINS AND PATHS 8.5. Integer weights 10.1.2. 6. GM matrices References Index 57 57 62 63 65 66 67 70 73 75 79 81 82 83 86 86 89 90 93 95 98 99 101 103 105 109 116 . Degree of balance 9. Sign stability 11.3. Energy and food 10. Structural modeling 10.3.4. The transportation problem 8. Telecommunications Chapter 9 BALANCE THEORY AND SOCIAL INEQUALITIES 9.1.1. and coding 8.6.2.vi CONTENTS 6. Status organizing processes and social inequalities 9. Existence theorems 8.6. Dominating sets 7.5. Stability and signs Chapter 11 QUALITATIVE MATRICES 11. Sign solvability 11.2.5.1. Street sweeping 8. Distributive justice 9. The normal product 7. 6.4.2. Clique number 7-perfect graphs Multicolorings Multichromatic number 51 52 53 56 Chapter 7 INDEPENDENCE AND DOMINATION 7. Balance in signed digraphs 9. RNA chains 8.6.3. More on eulerian closed paths. The capacity of a noisy channel 7. 6.3. DNA. Pulse processes 10. Structure and stability 10.5.3.4.2. The theory of balance 9.

who proofread them. FRED S. who nobly typed the notes for the conference on short notice. I wish to thank my wife Helen. who is probably the only one who learned more during the time these lectures were prepared than 1 did. The conference was sponsored by the Conference Board of the Mathematical Sciences and the National Science Foundation.Preface This monograph is based on a series of ten lectures delivered at a regional conference on Graph Theory and its Applications to Problems of Society held at Colby College on June 20-24. but for her unselfish personal encouragement. I also wish to thank the National Science Foundation for support of the research on which parts of these lectures were based. and to Robert Opsut. ROBERTS vii . I wish to thank everyone at Colby College for their hospitality. Finally. not only for her insightful professional assistance. and especially Professor Lucille Zukowski who planned and organized the conference and persevered until her goals became a reality. and my new-born daughter Sarah. 1977. My special thanks go to Lynn Braun.

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The very act of formulation is an aid to understanding. They go beyond the results stated there. pollution. The problems of society with which we are concerned are extremely complex and wide-ranging. The scope of the work. let us put into perspective the role of graph theory in particular and mathematics in general vis-a-vis these problems. urban services. and help in finding answers to a variety of specific questions which arise in the attempt to tackle the broader issues. Some of the more traditional topics of graph theory. social inequalities. graph-theoretical reasoning can cast light on such problems. as we shall see. The reader will find some of these same topics discussed at a more leisurely pace in Roberts (1976a). Rather. and eulerian chains. independence. and defining fundamental interrelationships. We will not claim that graph theory alone can solve these problems. the topics were chosen to best illustrate the applications. are not covered until fairly late. graph theory. Sometimes it seems that our society faces overwhelmingly difficult problems. provide tools to help in making decisions about them. Sometimes. they are presented with an emphasis on results of applied interest. genetic changes. we hope to demonstrate that the use of precise. the economy. At the outset. Then. to tackle these problems. and to lead into them as quickly as possible. simply formulating a problem precisely helps us to understand it better. and introduce a variety of additional applied and graph-theoretical topics. We have chosen to present mathematical topics from the field of graph theory because graphs have wide-ranging applicability and because it is possible in graph theory to bring a previously unfamiliar scientist to the frontiers of research rather quickly. transportation.CHAPTER 1 Introduction 1. with the goal being to present results at the frontiers of current graph-theoretical work. at least in small ways. they are written on a research level. making them precise. such as colorability. problems involving energy. The choice of topics from within graph theory and even more so the order of presentation of these topics is not typical of the graph theory literature. In this way. We have tried to be self-contained in preparing these notes. In these lectures we shall examine the role of one branch of mathematics. These lectures are in some sense a continuation of the topics presented in Chapters 3 and 4 of that book. and so on. graph theory plays the role of l . Increasingly.1. in applications to such problems of society. However. Nor will we argue that they cannot be solved without graph theory. present more recent work. perturbed ecosystems. Graph theory is a tool for formulating problems. mathematics is being used. Rather.

we will discover that the problem is hard to solve. In both cases. once a problem is formulated in graph-theoretical language. If all of this seems to suggest that graph theory is a panacea and by itself can solve a large number of problems. for example. Of course. Moreover.2 CHAPTER 1 a learning device. We shall also see it with problems of sedation and measurement. Sometimes these simplifications are not significant. that problem has not been solved and is at the frontiers of current mathematical research. for example. graph-theoretical analysis can help to pinpoint the simplifying assumptions and suggest promising directions which can remove these. We shall see this role for graph theory. which sometimes solves problems and sometimes gives us insights. because of the significance of the simplifying assumptions. it is done so as the result of simplifications. formulation of a problem posed by the New York City Department of Sanitation as a graph coloring problem suggests why the problem is difficult: coloring of graphs is a hard problem in a precise sense. and when we discuss the dimensionality o ecological phase space using graph theory. street sweeping. Graph theory is just one tool. the omission of important aspects such as changing relationships over time or strengths of effects. which we can use as an aid in pinpointing future directions and approaches. Also. the solutions to the corresponding graph-theoretical problem are rather quickly amenable to practical application. Here. solution to the graph-theoretic problem posed provides tools for organization of data in archaeology. Once a problem has been formulated in graphtheoretical language. We shall see this. even when enough simplifying assumptions are made to state a problem graph-theoretically. committee scheduling. Often. graph theory can lead to new theoretical concepts which can be used to build theories about social problems. For example. these solutions can suggest useful strategies to consider and future directions in which to investigate. with problems of traffic light phasing. Sometimes a part of a large problem corresponds exactly to a graph-theoretic problem. We shall see this with a certain telecommunications problem. in our discussion of energy modeling. for example. when we discuss how to orient streets so as to move traffic efficiently. Sometimes. surprisingly. as we shall see for example in our discussion of balance theory and social inequalities. Thus. formulation of the problem precisely is enough to give us insight on why the problem is hard. the concepts of graph theory can be used to define concepts which are useful in analyzing the problem. Hopefully. and the assignment of mobile radio frequencies. sometimes it is the lack of mathematical knowledg which is a limiting factor. Usually if a problem is formulated graph-theoretically. the conclusions from solution of a graph-theoretic problem can only be taken as tentative and suggestive. psychology. for example. graph theory has uses beyond simple problem formulation. for example. mathematical and otherwise. It usually has to be used along with many other tools. We will discover this. In all of these cases. and in decision and policy problems. let us quickly disclaim that suggestion. However. the use of graph theory can help us to understand in small . In other cases. and that problem can be completely solved.

We shall be interested in finding a route for a street cleaner which cleans all of the designated streets in the shortest amount of time. We shall be interested in various rearrangements of directions on streets which might allow traffic to move more efficiently and hence cut down on air pollution. then we shall usually replace the two arrows between x and y with an undirected line. Let the vertices be species in an ecosystem. We may think of a symmetric digraph as a set V of vertices together with a set E of unordered pairs of vertices. y) e A if and only if (y. If a digraph is symmetric in the sense that (x. Draw an arc from x to y if species jc preys on species y. which may or may not be symmetric. Let various traffic streams or directions of traffic be vertices of a graph and draw an edge from x to y if the two traffic streams x and y are compatible. We shall usually not allow loops. there are several places where loops will be a convenience. jc) e A. Digraphs and graphs. Let the vertices of a digraph be locations in a nuclear power plant. Finally. the elements of E being called edges. a directed graph or digraph will consist of a finite set V of vertices and a set A of ordered pairs of vertices called arcs. A) by drawing the vertices as points and drawing an arrow from x to y if and only if the ordered pair (x. We shall adopt the terminology and notation of Roberts (1976a). Then we obtain a digraph.2. We shall represent a digraph (V. Problems of society have been a stimulus to the development of new mathematics. x). The pair (V. Example 2. Example 3. Example 5. We shall use this compatibility graph to phase traffic lights. Similarly. let certain of the arcs be designated as streets to be cleaned during a given time period. we can obtain a graph from the species by joining two species with an edge if and only if they compete for a common prey. We shall be interested in what we can learn about the relation between the food web and the competition graph. In Example 1. and we shall explicitly allow them there. We shall be interested in finding a minimal number of watchmen who can oversee all the locations. . In particular. arcs of the form (x. Suppose we let the vertices be locations in a city and draw an arc from x to y if there is a street leading from x to y. However. The resulting food webs are digraphs. y) is an arc. 1. and should continue to be one in the future. E) will be called a graph. Draw an arc from location x to location y if it is possible for a watchman at x to see a warning light at y. Many of the results stated in the following as purely mathematical results were motivated by specific applied questions. Example 1. the results will tell us something about the number of factors required to understand competition or niche overlap in ecosystems.INTRODUCTION 3 ways the large problems which face our society. and some of their possible solutions. let us remember that applied mathematics develops in close contact with applications. Let us give some examples. Example 4.

It is a cycle if it is closed and u\. each a. A path in D is a sequence MI. M 2 . in the digraph Dl of Fig. Draw an arc from extended base x to extended base y if in a complete digest of the chain. U t . and draw an arc from x to y if a change in x has a significant effect on y. The path has length t.4 CHAPTER 1 Example 6. Let the vertices of a digraph be certain "extended bases" from an RNA chain. b). (b. u. A path is simple if it has no repeated vertices.+ i = MI.+I.. there is a fragment of the chain beginning in x and ending in y.7. Example 9. By considering the direction of the effect (increasing or decreasing). Let the vertices of a graph be possible codewords for a rapid communication system. Reaching and joining. e). b). b is a path of length 4. Example 8. and a. 1. and draw an edge between two codewords if it is possible to confuse them. c). u. The resulting digraph will be used in recovering information about the structure of the chain. is the arc («. (a. c. . a 2 . and draw an edge between two vertices if and only if the individual is indifferent between the two alternatives. (c. Let the vertices be factors relevant to energy demand.. a. We shall be concerned with ways to reach one vertex from another. +1 ). We shall use this indifference graph to measure the individual's opinions.1. which is unambiguously abbreviated as a. This confusion graph will be used to find codes with large capacity. is an arc. is a vertex. b.-. where each M. «„ H. Let the vertices of a graph be alternatives among which an individual is expressing his preferences. we shall try to make qualitative forecasts of future levels of variables such as energy demand. For example. 1. Example. e.3. It is closed if u. 1. b. b. are FIG. Let D = (V. e. c. . We shall adopt the following terminology about reachability. • • • . A) be a digraph. (e. M 2 ..1. fli. Two digraphs.

6. u2. /}.2. since. Hence. c is a closed path which is not a cycle. d. for example. digraph D\ is strongly connected. e. FIG. a is not a circuit. b is not a simple path. E). g. e}. c. e. A chain in G is a sequence u t . • • • . e. and {/. the equivalence classes under the relation "are joined by a chain" form what are called components or connected components. et are distinct. 6. «. c. 1. u2. c. b. {b. are distinct. a. i} form the components.2. Connectedness. A chain is simple if it has no repeated vertices. c. c}. In Fig. This chain is not simple. c. Finally. e\. distinctness of the arcs a l 5 a2. called strong components. there is no chain from a to d. 1 . b. Notice that a. there is no path from d to c. {c. {e. e is a chain of length 5. {a. e}. In digraph DI of Fig. for example. The relation defined by xSy if x is reachable from y by a path and y is reachable from x by a path is an equivalence relation. each e. and e^ is the edge {M. e. e. b. {d. {d. in a cycle follows from distinctness of the vertices u\./} form the strong components. M.1. h. are distinct. c}. 1.1. 1. and {g. In Fig. The length of the chain is t. e 2 . There are analogous notions for a graph G = (V. b.4. graph GI is connected and graph G2 is not. c. • • • . Similarly. while digraph D2 is not. a. and b. is. {6. /i. in a graph. In graph G2 of Fig. 6. since. e.1 In the graph G] of Fig. 6}. c. c.+i}.. {a. • • • . 1. b is a cycle (of length 4). M 2 . d. ut. b}. even though MI. 1. a. We shall say a digraph is strongly connected if for every pair of vertices x and y. d. M 2 . An example of a closed chain which is not a circuit is b. b.INTRODUCTION 5 distinct. it is a circuit if it is closed. where each ut is a vertex. 6.2. It is closed if u(+i = MI. i. {e}. c}. " " ' •> ut> e* ut+\. e}. 1. the vertices of a digraph are split under this relation into equivalence classes. 1. b. while e. is an edge. • • • . e. if MI. {a. We say a graph is connected if between every pair of vertices there is a chain. In digraph D2 of Fig. c. e2. b and an example of a circuit is b. • • -. M. and if €1. c. which can be unambiguously written as a. a. 1. e. e. In a digraph. Two graphs. b. 6. there is a path from x to y and a path from y to x.1.2.

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1 . In this section. it is always possible to make certain streets in a city one-way. i. we consider the problem of whether or not it is possible to make certain designated streets one-way and.e. The first problem we consider has to do with movement of traffic. so that the resulting digraph is strongly connected. G must be connected to start with—there must be a chain from any vertex to any other. FIG. For. this would alleviate wasted energy and air pollution (from idling or stop and go driving). Does every graph G have a strongly connected orientation? Of course. The graphs of Fig. but none have a strongly connected orientation. 2. and drawing an edge between two street corners if and only if these corners are currently joined by a two-way street.1 are all connected. it is possible to go from any place to any other place. Robbins' theorem. But is that the only condition required? The answer is no. If traffic were to move more rapidly and with fewer delays in our cities. Of course.CHAPTER 2 The One-Way Street Problem 2. if so. 2. We can formulate this problem graph-theoretically by taking the street corners as the vertices of a graph. Let us begin with the simplified problem where every street is currently two-way and it is desired to make every street one-way in the future.1. It has sometimes been argued that making certain streets one-way would move traffic more efficiently.. Connected graphs with no strongly connected orientation. We wish to place a direction on each edge of this graph—we speak of orienting each edge—so that in the resulting digraph. how to do it.1. Simply put up a one-way street sign! What is desired is to do so in such a way that it is still possible to get from any place to any other place.

in Fig. The digraph D will be called the digraph underlying G. A graph G has a strongly connected orientation if and only if G is connected and has no bridges. We say a mixed graph G is connected if. LEMMA. The converse of this result is true as well. v} of G which is not a bridge.2. Let B be defined similarly from v. v) and (v. Let D be a digraph with vertex set a set of street corners and an arc from x to y if there is a street joining x and y and it is permissible to drive from x to y.1 (Robbins (1939)).2. there is an orientation of {u. . The resulting object. It will be convenient to replace the two arcs on a two-way street with one undirected edge. All of the edges a in the graphs of Fig. mixed graphs GI.2 (Boesch and Tindell (1977)). G2 and G3 are all connected.1 are bridges. Mixed graphs Glf G2 and G3 are connected. will be called a mixed graph G. but G2 is not strongly connected. then there is no path from b to a. Let A be the set of all vertices reachable from u by a path in D'. An undirected edge a in a mixed graph is a bridge if removal of a but not its end vertices results in a mixed graph which is not connected. Let D' be the digraph obtained from D(G) by omitting arcs (u. but not its end vertices. FIG. If this edge is oriented from a to b. v} so that the resulting mixed graph is still strongly connected. while others remain two-way. v} must be a bridge of G. Let us now consider the case where some streets are to be made one-way. there is a problem with an orientation of the edge labeled a. It is easy to see that if a connected graph has a strongly connected orientation. u) but not vertices u and v. 2. Edge a in G3 is a bridge.2. less the vertex u. 2. Then the edge {u. then there is no path from a to b. and this will be proved in the next section. THEOREM 2. some joined by one-way arcs and some joined by undirected edges. consisting of a set of vertices. Some streets two-toay. results in a disconnected graph. Edge a in G3 is a bridge. Suppose u is not in B and v is not in A. we obtain a connected graph. THEOREM 2. but G2 is not strongly connected. Suppose G is a strongly connected mixed graph and {u. For example. We say a mixed graph is strongly connected if D(G] is strongly connected. v} is an edge of G. 2. The proof depends on a lemma. Then for every edge {u. Suppose G is a strongly connected mixed graph.8 CHAPTER 2 in each case. and if the edge is oriented from b to a. then it cannot have any bridges. We say an edge a in a connected graph G is a bridge if removal of a. when we disregard direction on arcs. 2. and will be denoted D(G).

find the highest label j so that there is an unlabeled vertex one step from y. In th latter case. suppose we are given w in A fl B. we now prove Theorem 2. k. Finally. If the former. either orientation works. • • • .E. Note that the first two choices of orientation were arbitrary. the third choice was forced. there is in D(G) a path from w to u and a path from w to a It follows that there is a path from w to M in D' or there is a path from w to u in D In the former case. G less {u. Next. For if w is not in A or in B. By the lemma. all subsequent choices of orientation are forced. Otherwise. there could be no arc or edge joining vertices of A and of B. 2. Pick any (unlabeled) vertex joined to the vertex labeled 1 by an edge. The procedure is to label vertices with the integers 1. In the latter case. v} is a bridge. v}. search through all vertices one step away from that vertex labeled k. u'). However. pick one and label it k +1. If both. there is no path in the mixed graph from b to a once the edge between a and b is deleted. we have shown that A and B partition the vertices of G and in G less the edge {u. if {u. v is in A. For. and in the latter. An alternative algorithm for obtaining a strongly connected orientation is based on the method of depth first search.D. By strong connectedness. Algorithms for one-way street assignments. v} is not connected. contradicting the fact that A and B are disjoint. 2. and so {«. 2. orienting {«. there is a path from v to w to u in D'. After the labeling has been carried out. it could not become one after the orientation. having labeled vertices with the labels 1. and label it 2. If there is such a vertex which is unlabeled. Let us observe first of all that every vertex of G is in A or in B. a strongly connected orientation is obtained by orienting an . and noting that at each stage.1.3. hence M is in B. This proves the theorem. then orienting {u. Now. w ^ «. For. n. t>. v' would have to be in A. This procedure is carried out in Fig. Hence. v} is not a bridge. Theorem 2. we must return to the vertex labeled 2 before being able to find an unlabeled vertex. and label it k + l.2. then in D(G) there could be no paths from u to w or v to w.THE ONE-WAY STREET PROBLEM 9 Proof. bridgeless graph. Having proved this lemma. By definition of A and B. Q.4.1 follows by orienting one edge at a time. if there were such an arc or edge. v} from D to M results in strong connectedness. we observe that in G less the edge (M. Our proof of Theorem 2. 2. v') or (v'.3. v} there is no arc or edge joining vertices of these two sets. This labeling procedure is carried out in Fig. pick such a vertex. either M is in B or v is in A. • • • . In the former case. and hence G is not strongly connected. Similarly. suggests that we may carry out the orientation one step at a time. A and B must be disjoint. Note that the labeling procedure can be completed if and only if one starts with a connected graph. Start by picking a vertex at random and labeling it 1. v} from u to v results in strong connectedness. for u' in A and v' in B. we get a similar contradiction. where n is the number of vertices of the original connected.1 is not a very practical result unless it is accompanied by an algorithm for obtaining a one-way street assignment. Note that after the label 4 has been used. as once these two orientations are chosen as shown. there would be an arc in D' of the form («'. 2. A proof of the missing direction of Theorem 2. however. In general.

The construction of a strongly connected orientation using the Boesch-Tindell procedure.3.10 CHAPTER 2 FIG. A labeling of vertices using the depth first search labeling procedure. the total number of investigations of edges is |E(G)|. This orientation corresponding to the labeling shown in Fig. . one corresponding to each assignment of label. 2. and otherwise orienting from higher number to lower number. 2. Steps (D and (2) are arbitrary and the remaining steps are forced. 2. edge from lower number to higher number if it was used in the labeling procedure. bridgeless graph.5. Since we can be sure that no edge previously investigated is again investigated. At each step. we investigate a certain number of edges. we have j V(G)| steps. In depth first search. the labeling procedure takes on the order of | V(G)\ + FIG. Thus.4 is illustrated in Fig. The second algorithm appears to be faster than the first. 2. See Roberts (1976a) for a proof that this orientation will always be strongly connected if one starts with a connected.4.

Two different strongly connected orientations of G in which the distance from atob differs. 2. while dD>(a. D' is a much more efficient orientation. Nievergelt. Since \E(G)\ is on the order of | V(G)\ . a digraph with | V(G)\ vertices. and Deo (1977. From the point of view of a person trying to get from a to b. FIG. In general. y) from vertex x to vertex y in a strongly connected digraph D to be the length of the shortest path from x to y. one would like to obtain a strongly connected orientation of a graph G in which "on the whole. x). b is as small as possible. . the first algorithm requires us to determine at the very first step whether or not u reaches v in D'. \E(G)\ steps.5. Efficiency.4. and the distance dD(x.THE ONE-WAY STREET PROBLEM 11 FIG. y) may not be the same as dD(y. p. There are several ways to formulate this problem.6 shows two strongly connected orientations D and D' of a graph G. Note that do(x. b)=l\. b is minimized. One of the problems with our discussion about moving traffic efficiently is that we have only been concerned with finding orientations which make it possible to get from one place to another. 2." distances traveled are not too great. A strongly connected orientation from the depth first search labeling. b) over all a. 2. 341)). the first algorithm certainly is likely to be slower. but have not been concerned with the possibility that it might become necessary to take long detours to do so. Figure 2. This requires on the order of |V(G)|3 computations (see Reingold. Here are four formulations: 1) Find that strongly connected orientation D of G in which the average distance dD(a. By way of comparison. b} over all a. b) = 3. Notice that dD(a. To make this discussion precise.6. 2) Find that strongly connected orientation D of G in which the maximum distance dD(a. y) between two vertices x and y of a connected graph G to be the length of the shortest chain between them. let us define the distance dG(x.

For a good recent discussion of these notions.12 CHAPTER 2 3) Find that strongly connected orientation D of G in which the difference between the distances dc. That is. Now all problems in P are in NP. 3). and hence doubt that NP-hard problems can be solved by such algorithms. Nievergelt. Chvatal and Thomassen prove that every connected. and Deo (1977). Chvatal and Thomassen (to appear) have recently obtained some very interesting (and somewhat discouraging) results about these problems. Let us be precise about that. Chvatal and Thomassen prove that problem 2) above is NP-hard. The class of problems for which there is a deterministic algorithm which terminates in polynominal time is called P. We shall make this distinction very informally. Karp (1972) showed that there were a great many NP-complete problems. there is good reason to doubt that there will ever be a "good" deterministic algorithm for solving this problem in the Edmonds sense. The class of problems for which there is a nondeterministic algorithm which terminates in polynomial time is called NP.(a. Now many people doubt that every problem in the class NP can be solved by a polynomial deterministic algorithm. An algorithm can be thought of as passing from state to state.e. Not much is known about problems 1). is NP-hard. Thus. and in particular his work implies that one problem we shall encounter below. algorists have searched for "good" procedures. Every finite problem has an algorithm for its solution: simply try all cases. bridgeless graph of diameter d has a strongly connected orientation of diameter at most 2d2 + 2d. that of finding the largest clique in a graph. In particular. i. However. b) and dD(a. beginning with the work of Edmonds (1965). An example of a problem we shall encounter which is in the class NP is the problem of determining whether a graph is colorable using a given number of colors. A problem is NP-complete if it is NP-hard and it is in the class NP. We shall say a problem L is NP-hard if L has the following property: if L can be solved by a deterministic polynomial algorithm. However.. Cook (1971) proved that there were NP-hard and NP-complete problems. A deterministic algorithm may move to only one new state at a time. b) is on the average as small as possible. but it is not known whether there is a problem in NP which is not in P. b) is as small as possible. In studying such procedures. while a nondeterministic one may move to several new states at once. we shall distinguish between deterministic algorithms and nondeterministic algorithms. where n is the size of the "input" and p ( n ) is a polynomial. then so can every problem in NP. a nondeterministic algorithm can explore several possibilities simultaneously. and 4). procedures which will terminate in no more than p ( n ) steps. b} and dD(a. they show that the problem of finding that strongly connected orientation which minimizes diameter (problem 2)) is probably very difficult. 4) Find that strongly connected orientation D of G in which the maximum of the differences between the distances d G (a. see Reingold. We define the diameter of a connected graph (strongly connected digraph) as the maximum distance between any two vertices. .

Here. Good algorithms for finding such orientations are not known. but not to find one which is efficient in any of the distance-minimizing senses of the previous section. To give an example. so that long distances must be traveled to get from place to place.e.. The reasoning is that if it is hard to get from place to place by car. people will consider other modes of transportation.THE ONE-WAY STREET PROBLEM 13 2. One approach has been to make (many) roads one way. i.5. but to do it inefficiently. the National Park Service has begun to take measures to discourage people from driving in the more heavily traveled sections of the park system. In general. such as bicycling.4 all have analogues for inefficient orientations. walking. the diameter is much larger than the undirected diameter. . Roberts (1976a) discusses the one-way street network for the Yosemite Valley section of Yosemite National Park. or taking a bus. the problems of finding efficient orientations of a graph formulated in § 2. Sometimes it is desirable to find a strongly connected orientation of a graph. Inefficiency.

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For.2 orient from a to b. then by symmetry we could in Fig. it will be convenient to study types of orientations of a graph other than strongly connected ones. Similarly. since the arc (u. This line of reasoning 15 . In general.1. But now there would be arcs (e. b).1. Since there could be no arc from a to c after the orientation. e} from e to a. Digraphs D\ and D2 are transitive while DT. while digraphs Z>3 and £>4 are not.2. w) is missing in the latter two cases. 3. d] would have to be oriented from c to d. It is easy enough to see that Z5 does not have such an orientation. and digraph D2 is a transitive orientation for the circuit of length 4. then there is an arc from u to w. 3. In what follows. let us ask whether the graph Zn. and u ^ w. b).CHAPTER 3 Intersection Graphs 3. orientation for the circuit of length 3. In particular. we shall be interested in orientations which lead to a transitive digraph and we shall ask what graphs have transitive orientations. e] from e to d. The graph Z5. edge {d. Digraph D\ is a transitive FIG. FIG. We say that a digraph D without loops is transitive if whenever there is an arc from u to v and an arc from v to w. Transitive orientations. and transitivity would imply the existence of an arc (e. if there were such an orientation.1. 3. 3. In Fig. edge {c. digraphs D\ and D2 are transitive. a) and (a. edge {b. has a transitive orientation. and D4 are not. c] would have to be oriented from c to b. the circuit of length n. and edge {a.

For if the orientation goes from a to d. let Si be the set consisting of members of the Board of Directors of this corporation. Another graph without a transitive orientation is the graph of Fig. a) and (a. edge {a. edge {c. but there could be no arc (d. If there is such an orientation. be distinct. we refer the reader to the literature for a discussion. a) and (a. Now. However. d). /} is oriented from c to /. edge {b. Zn. for n even. A recent one is the following. The vertices of this graph are the sets in ^ and there is an edge between two sets 5. c} is oriented from c to a.16 CHAPTER 3 shows that Z5 could have no transitive orientation. d\ but there could be no arc (c. Intersection graphs arise in a large number of applications. for n odd and greater than 3. does.4 shows a family of sets and its intersection graph. then we have arcs (d. FlG. If the orientation goes from d to a. as follows.3. 3. • • • .2." For the ith corporation.2 We can associate a graph with ^called the intersection graph of &. and S/ if and only if they have a nonempty intersection. (We shall as a general rule omit the loop from a set to itself. though in Chapter 4 it will be useful for us to include that loop. 3. A similar argument shows that Zn. 52. b). Consider a collection of large corporations. Sp} is a family of sets. neither orientation on edge {a. then by symmetry we may assume that it goes from a to b. e} is oriented from e to b (or else there would have to be an arc from a to e). for example the "Fortune 800. We discuss the uniqueness of a transitive orientation in § 4.3. A graph which is not transitively orientable and not an interval graph but is a rigid circuit graph. b}. in analogy to Z4. d} will suffice. Suppose 9f — {S\.4. Intersection graphs. c] is oriented from c to b. could have no such orientation. 3. Since we shall not need the characterization. then we have arcs (c. Transitively orientable graphs were characterized by Ghouila-Houri (1962) and Gilmore and Hoffman (1964). Transitivity now forces the following conclusions in the following order: edge {b.) Figure 3. Levine (1976) and others study the ' We shall not find it necessary to require that the sets 5. .

we turn to the problem of characterizing interval graphs. In psychology. If we are trying to decide between two different items.. we want to put some traits in a developmental order. A similar approach in developmental psychology is carried out by Coombs and Smith (1973). in archaeology we are interested in sequence dating a collection of artifacts. differ significantly from the "real chronological order. or order individuals according to their opinions.) Interval graphs also arise in the measurement of preference and indifference. We shall also discuss applications of interval graphs to the phasing of traffic lights. We seek an assignment of time intervals so that artifact a and artifact b were found in common in some grave if and only if the time interval associated with a overlaps with the time interval associated with b.2.1. (1969a. see Roberts (1976a). For example. We shall return to a discussion of seriation in §4. and to the study of ecological phase space. Suppose we have a range of possible values of an item.e. If this is the case. i. the circuit of length 3." We shall discuss how in some detail in §4. For example. We shall return to the study of indifference in § 4. The . to the assignment of mobile radio telephone frequencies. One approach to seriation is to start with overlap information. unfortunately. 3. In seriation in the social sciences. two subsets of the fine structure inside the gene overlap. if and only if every element of J ( u ) is larger than every element of J(v).18 CHAPTER 3 FIG.4.4. indifference should define an interval graph. we sometimes wish to order political candidates from liberal to conservative. In political science. Let us begin by observing that Z3. For now. we might reasonably be expected to prefer item u to item v if and only if the interval of values J ( u ) of item u is strictly to the right of the corresponding interval J(v). we ask in archaeology whether or not the time intervals during which two artifacts existed overlapped. The intervals are a possible chronological order. Similarly. but that Zn for n ^4 is not. (For a more detailed discussion. An interval graph. Characterization of interval graphs. Is this overlap information consistent with the hypothesis that the fine structure inside the gene is linear? It is if the graph defined by the overlap information is an interval graph. This approach to seriation in archaeology is carried out in Kendall (1963). They can.b). we try to put a collection of items or objects in some serial order or sequence.5. Such an assignment can be obtained if and only if the "found in common in some grave" graph is an interval graph. is an interval graph. we might reasonably be expected to be indifferent between u and v if and only if the intervals J ( u ) and J ( v ) overlap. We obtain this information from observation of graves. 3.

Finally. Where could J(d) be? A similar argument holds for any n ^4. To see that. J(c\ and J(e) would have FIG. n ^ 4. (Notice that by saying H is a graph. */}. 3. every such circuit has a chord. then there is in the graph a chord. A rigid circuit graph which is not an interval graph. The graph of Fig. we imply that F is a set of pairs from W. or a triangulated graph.) H is a generated subgraph if F consists of all edges from E joining vertices in W. A graph H = (W. 3. let us consider the case of Z4.1). xt. then J(a) and J(b) would have to overlap. If there were an interval assignment / satisfying (3. then every generated subgraph must also be an interval graph. A graph G with this property is called a rigid circuit graph.INTERSECTION GRAPHS 19 former we leave to the reader. • • • . /(a) cannot lie inside J(b).) Now J(c) overlaps J ( b ) but not /(a). Without loss of generality. F) is a subgraph of a graph G = (V. *2. 3. this is not the case for every subgraph..6. The argument that Z4 is not an interval graph. . if G is an interval graph. FIG. E) if W c V and F c E. where /V / ± 1 and addition is considered modulo /.6. To see the latter. (J(b) cannot completely lie inside J ( a ) for otherwise we could not have J(c) overlapping J(b) without overlapping J(a\ as is required. J(d) must overlap both /(a) and J(c). However. J(b) is a bit to the right of /(a). is a generated subgraph. This graph is also an example of a rigid circuit graph which is not an interval graph. Similarly.7. Although there are circuits of length 4 or greater. Rigid circuit graphs have the property that whenever jci.6. It is easy to see that if G is an interval graph. so J(c) must be as pictured in Fig. then /(a). but not J(b). it has the property that no graph Zn. Let the vertices of Z4 be labeled as in Fig. an edge of the form {*. Thus. 3. note that if there were an interval assignment /. 3. x\ is a circuit of length t =^4. since there is an edge between a and b.7 is an example of a rigid circuit graph.

. the three vertices are d. i. and /. e and d.3. and e. Then we can define an orientation on G c as follows: orient the edge {x. the complementary graph. THEOREM 3. c. f and e. e. then G c is transitively orientable. which is shown in Fig. 3.7. y} of G c from x to y if and only if J(x) is strictly to the right of /(y). 3. 3.e. One of them. and z not adjacent to any vertex of Cxy. b. a. c. A graph G is an interval graph if and only if Z* is not a generated subgraph and G c is transitively orientable. . Then /(/) would have to overlap /(a) and J(e) but not J(c\ which is impossible. e. is transitively orientable. A complete graph is a graph in which every vertex is joined to every other vertex. The complement of the graph of Figure 3. but with an edge between x ^ y if and only if there is no edge between x and y in G. /. and Cy2 between y and z with jc not adjacent (joined by an edge) to any vertex of Cy2. c. b. Verification of this fact is left to the reader. the three vertices are a. /. b. Moreover.2 (Lekkerkerker and Boland (1962)).c. would have to be in between the other two. a. To illustrate this theorem. Now suppose G is an interval graph and / is an interval assignment for G. What these two examples of noninterval graph rigid circuit graphs have in common is a triple of vertices . A clique is called dominant if it is maximal. 3.8.8. d. we have shown that if G is an interval graph. c. and the three chains in question are d. and the chains in question are a. e. THEOREM 3. let us define the complement G c of the graph G to be a graph with the same vertex set as G. Cxz between x and z. For example. A triple of vertices with the property in question is called asteroidal. if it is not contained FIG. and c. A transitive orientation is also shown in that figure. Hence.5 and a transitive orientation for the complement.20 CHAPTER 3 to be pairwise disjoint intervals. and z with the property that there are chains Cxy between x and y.5 does not have Z4 as a generated subgraph. for the relation "strictly to the right of" on a set of intervals is transitive. This orientation is well defined because the intervals J(x) and /(y) corresponding to the vertices x and y do not overlap. 3. say J(c) without loss. and a. We have already seen the necessity of the conditions in Theorem 3. In Fig. y. of generality.3 is another example of a graph which is a rigid circuit graph but not an interval graph. The graph of Fig. It is clear that the orientation so defined must be transitive. in the graph of Fig. we observe that the graph of Fig. y not adjacent to any vertex of Cxz. A graph is an interval graph if and only if it is a rigid circuit graph and it has no asteroidal triple. To give yet a second characterization of interval graphs.3. 3.3 (Gilmore and Hoffman (1964)). We briefly sketch a proof of sufficiency. and a clique in a graph is a subgraph which is complete.

an interval consisting of a single point. In our example. Moreover. that one always gets a linear ordering ATi. The entry m. Conversely. M. its dominant cliquevertex incidence matrix M is defined as follows. d. y]. and the columns to the vertices. Similarly.5 We can use the orientation of Gc to order the cliques in c€. c}. For a more detailed discussion of why this procedure works in general. Since a e K and d e L and there is no edge in G between a and d. Hence. as we have observed. L. The rows of M correspond to the dominant cliques. and it is 0 otherwise. consider the graph G of Fig. d} and M = {c. so the ordering of dominant cliques is K. one sees that this ordering of the dominant cliques has the following property P: if a < (3 < y and a vertex a belongs to Ka and Ky./ is 1 if the /th vertex belongs to the /th dominant clique. by first showing that there always are such u and v for every K ^ L and then showing that a different u' from K and v' from L cannot lead to the opposite ordering. then G does not have Z4 as a generated subgraph and Gc has a transitive orientation. Kp of dominant cliques. K = KI. v} of Gc is oriented from u to v. 5 . An ordering of dominant cliques which satisfies property P above is called consecutive. J(b) = [l. the orientation a to d in G c tells us to take K before L. It is convenient to restate this result in terms of matrices. In particular. we obtain /(«)=[!. and M = K3. and using vertices a and e. 3]. The proof uses the hypothesis that G does not have Z4 as a generated subgraph. 3. where Ka is the first dominant clique in the ordering to which a belongs. It is not hard to show. b. To illustrate the procedure. v}&E(G). 2]. If there is an ordering of dominant cliques which is consecutive. The details are left to the reader. Let <# be the collection of dominant cliques of G. c. Similarly using vertices b and e. see Roberts (1976a). For if there is such an ordering. Since a belongs only to KI. we see that K comes before M. G is an interval graph if and only if there is an ordering of the dominant cliques of G which is consecutive. the corresponding ordering of rows of M gives rise to a matrix with the 1's in each column appearing consecutively. L = K2. Hence. J(c) = [1. then it also must belong to K0. we take a clique K before a clique L if whenever u is in K and v is in L and {«. then the edge {u. 3. then the above assignment / shows that G is an interval graph. we see that L comes before M. We say that a matrix A of O's and 1's has the consecutive 1's property (for Of course. Suppose we are given a graph G which does not have Z4 as a generated subgraph and suppose we are given a transitive orientation for Gc. J(d) = [2.INTERSECTION GRAPHS 21 (when considered as a set of vertices) in any larger clique. 1]. • • • . 3]. L = {b. it is not in general easy to identify the collection (€. we may take J(a) to be the interval [a. even identification of the largest clique of a graph is an TVP-hard problem. K2. if G is an interval graph. 3] and /(<?)= [3. The dominant cliques of G are K = {a. e}.1). One needs to prove that this ordering of dominant cliques is well defined.8. and Ky is the last dominant clique in the ordering to which a belongs. so the above construction using <# shows that there is an ordering of the dominant cliques of G which is consecutive. If G is any graph. using the transitivity of the orientation of Gc. It is easy to see that this assignment of intervals satisfies (3.5 and the transitive orientation of the complement which is shown in Fig.

" Circular arc graphs have been studied in Tucker (1970).6. 3. Consider a traffic intersection at which we wish to install a new traffic light. In § 5. Various families of geometric interest give rise to useful classes of intersection graphs. The decision about compatibility is made ahead of time. The compatibility information can be summarized in a graph G. the latter goal is becoming of increased importance. "A graph G is a circular arc graph if its dominant clique-vertex incidence matrix has the circular Ys property. the so-called circular arc graphs. To illustrate this theorem. let us briefly consider the graphs which are intersection graphs of arcs on a given circle.5 Circular arc graphs. let us note that the following matrix is the dominant clique-vertex incidence matrix for the graph Z4 with the vertex labeling of Fig.1.22 CHAPTER 3 columns) if it is possible to permute the rows so that the 1's in each column appear consecutively..e. in the sense that they can be moving at the same time without dangerous consequences. Z4 together with an isolated additional vertex is not a circular arc graph as the reader can readily verify. Certain traffic streams are judged to be compatible with each other. and may be based on estimated volume of traffic in a stream as well as the traffic pattern. 3. However. but that the converse is false: Z4 is a counterexample. The goals of traffic light phasing are to have traffic move safely and efficiently. The intersection has a two-way street meeting a one-way street. The converse holds if G is the intersection graph of circular arcs satisfying a Helly property: all arcs of a given clique have a common point. and two streams are joined by an . In this section. patterns or routes through the intersection which traffic takes. There is no permutation of the rows so that the 1's in each column appear consecutively. the compatibility graph. i. by a traffic engineer. Approaching the traffic intersection are various traffic streams. and more generally "boxes" in n-space. In this section we shall discuss the application of interval graphs and circular arc graphs to the phasing of traffic lights.6. The vertices of G are the traffic streams. A graph G is an interval graph if and only if its dominant clique-vertex incidence matrix M has the consecutive Vs property. Phasing traffic lights.9 shows a traffic intersection with several traffic streams labeled with the letters a through /. Figure 3. 3. there is a permutation of the rows so that the 1's in each column appear consecutively if 1's are allowed to continue from bottom to top.4 (Fulkerson and Gross (1965)). THEOREM 3. It is easy to see that every interval graph is a circular arc graph. With increasing concern about energy use. (1971). we shall consider rectangles in the plane.

the spanning subgraph H is an interval graph. a so-called spanning subgraph. Indeed. Notice that. the left-turning traffic. c. feasible green light assignments correspond to spanning subgraphs of G which are circular arc graphs. If we require that no green light time period overlap a starting time. the left-turning traffic in the other street. It is not necessarily the case that G itself is a circular arc graph. the total amount of red light time in a cycle. for example. stream c. 3. This is not the same as the intersection graph idea. over and over. Figure 3. we might wish to minimize the total amount of waiting time.e. (We assume that a given stream receives only one continuous green light during each cycle. but one with perhaps some of the edges deleted. we can assign to each traffic stream an empty green arc and obtain a feasible assignment.e. the straight and right-turning traffic in the other street. is judged compatible with stream /. and to do it in such a way that only compatible traffic streams can get green lights at the same time. e. Or. We shall also make the . it corresponds to a subgraph with the same vertex set as the compatibility graph. It is not necessarily a generated subgraph. In traffic light phasing. that a cycle begins with all red lights. if we look at the intersection graph corresponding to any feasible green light assignment.9 shows such a feasible green light assignment and its corresponding intersection graph H. and / is Z4. we might have some information about expected arrival times of different traffic streams. we wish to assign a period of time -to each stream during which it receives a green light. Notice that the compatibility graph G of Fig. only vertices joined by an edge are allowed to receive overlapping arcs.) Then a feasible green light assignment consists of an assignment of an arc of the circle to each traffic stream so that only compatible traffic streams are allowed to receive overlapping arcs.9 is not an interval graph. What makes one feasible assignment better than another? We usually have in mind some criterion. However. and then after the cycle is finished.. i. There is a cycle of green and red lights. it begins again. then the intersection graph corresponding to a feasible green light assignment is a spanning subgraph of G which is an interval graph. In terms of the compatibility graph. Figure 3.INTERSECTION GRAPHS 23 edge if and only if they are judged compatible.. but not with stream e. i. as we are not forcing compatible vertices to get overlapping arcs. since the subgraph generated by vertices b. Or we might wish to minimize a weighted sum of red light times by weighting more heavily the red light time for heavily traveled traffic streams. Let us illustrate the procedure for finding an optimal green light assignment if the criterion is to minimize the total red light times. and the time during which a given traffic stream gets a green light corresponds to an arc on the circumference of the clock circle. although in this case it is. Note that H must be a circular arc graph. Thus. We may think of the time during the cycle as being kept on a large clock. this will be a subgraph of the compatibility graph. For example. For example. However. and we might wish to penalize starting times for being far from the traffic stream's expected arrival time and minimize the penalties. Some feasible green light assignments are very uninteresting.9 shows such a compatibility graph for the traffic intersection in question. as Stoffers (1968) points out.

• • . traffic streams e and b get green lights (the one-way street turns left and one right-turn light is on). d get green lights (the left-turn light is turned off. let us generate corresponding feasible green light assignments by considering orderings of dominant cliques which are consecutive. there are four phases. K2 = {b.. For concreteness. this leads to an arc of the clock circle. By consecutiveness of the ordering. In our example. the graph H has as one consecutive ordering of dominant cliques the ordering K\ = (e. assumption that each green light arc must be a certain minimal length. c}. We then start a given traffic stream off with green during the first phase in which it appears. and keep it green until the last phase in which it appears. In phase 1. 3. We then follow Stoffers' (1968) procedure.9. Suppose we assign to each clique Ki a duration dt. For each circular arc graph spanning subgraph of G. K4 = {c. Let X"i. and the corresponding intersection graph. A traffic intersection. d}. so a's total red light time is d^ + d3 + d4. /}. we handle the interval graph case. a. then in phase 2 streams b. Thus. b}. Each clique Kt corresponds to a phase during which all streams in that clique get green lights. or for each interval graph spanning subgraph if we are willing to make the special assumption about all red lights at the starting time.24 CHAPTER 3 FIG. 6's red light time is d3 + d4. Kp be a consecutive ordering of dominant cliques of interval graph spanning subgraph H. and K4. K3 = {d. a feasible green light assignment. What should the durations di be so that the sum of the red light times is as small as possible? The answer is obtained by observing the following: a gets a red light during phases KI. K2. Similarly. its compatibility graph. The total red light . a. and the north-south traffic starts up). and so on. K3.

Each zone receives a band of frequencies which can be used within it. we must find all the different consecutive (circular) orderings of dominant cliques and for each such ordering. we must find an optimal solution of phase durations. it is clear that (3. The reader might find it enlightening to consider in our example or examples of his own choosing alternative interval graph spanning subgraphs and alternative phasings which arise from different consecutive orderings of their dominant cliques. For each. By (3.7. we must identify each interval graph (or circular arc graph) spanning subgraph H of G.2) subject to the constraints that each dt ^ 0 and Constraints (3.2) is equivalent to minimizing di + d3 + d4. Mobile radio telephone systems.3) through (3. receive green light times of at least 20 seconds. even identifying all the dominant cliques involves a lengthy computation for larger graphs. operate in different zones. though more generally they are unions of intervals. In that case. . Since d\ and d4 must be at least 20 and d3 at least 0.INTERSECTION GRAPHS 25 time for all traffic streams is given by which equals If the minimum green light time for a stream is 20 seconds. In In general. To find an optimal feasible green light assignment. we are here dealing with relatively small graphs. However. The mobile radio frequency assignment problem. The mobile telephones in one zone can cause interference with those in another zone. we wish to minimize (3. and the total cycle is 120 seconds. their bands of frequencies should not overlap. and ^2 = 80. such as those assigned to police cruisers. d3 = 0. These bands are often intervals.2) is minimized by taking d\ = d4 = 20.9). The solution to our linear programming problem is easy in our case.6 Then we can put all this together to find an optimal solution for the entire graph. 3. as we have remarked. minimizing (3.8) correspond to the statements that a through / respectively.

and two zones are adjacent if and only if they conflict. . Notes added in press. we wish to do this so that each B(j) has certain minimal length. Recent results on the radio frequency assignment and traffic light phasing problems for sets other than intervals and unions of intervals and on the duality between these two problems can be found in Roberts (to appear). Then. we can formulate this problem graph-theoretically. Moreover. The vertices of a conflict graph are the zones. Recent work on intersection graphs of unions of intervals can be found in Griggs and West (1977) and Trotter and Harary (1977). one wants to take these conflicts into account. We simply consider the feasible green light assignment problem on the complementary graph of the conflict graph. Looked at this way. Both the radio frequency assignment problem and the traffic light phasing problem are of interest for unions of intervals.5. and also meet certain requirements on minimal bandwidth for given zones. Following Gilbert (1972). then we have B(i)r\B(j) = 0.26 CHAPTER 3 assigning bands to zones. we wish to assign to each zone / a band £?(/)—let us say an interval—so that if there is an edge between zones / and /. not just for intervals. We shall have more to say about the mobile radio frequency assignment problem in § 6. we see that this problem is reducible to the traffic light phasing problem.

we shall discuss the use of graph-theoretical tools in one measurement problem. We then turn to a related problem. i.e. viewpoints. groups. and Seriation 4. and so on has given rise to a theory of measurement which covers social scientific variables as well as physical variables. The need to measure such things as preference. The resulting scales have uses in a variety of decisions which need to be made by individuals. In this section. if we add sugar to the first cup one grain at a time. (1950). Measurement of preference corresponds to the assignment of numbers which "preserve" the expressed preferences. he is allowed to be indifferent. that of seriation of data. Indifference graphs. The economist Armstron (1939). In particular. (He is indifferent between x and y if and only if he prefers neither. (1951) was among the first to argue that indifference is not transitive. or societies. If it is possible to obtain such a function /. then indifference corresponds to equality: Equation (4. y. aesthetic appeal. groups. 27 . However. agreement. Suppose an individual expresses preference among alternatives in a set V. the measurement of indifference.) One argument against the transitivity of indifference is the following argument of Luce (1956). (1948).2) implies that indifference is transitive. x is preferred to y if and only if x receives a higher number than y. and show the connection with the results on indifference measurement.1.) We write xly to mean that he is indifferent between x and y. we will almost certainly be indifferent between successive cups. We write xPy to mean that x is preferred to y. so that the underlying patterns can be pinpointed.. Transitivity of indifference would imply that we are indifferent between the cup without sugar and the cup with five spoons of sugar. or by society as a whole require the ability to measure variables which are not as easy to measure as physical variables like temperature or mass. Measurement. in particular in trying to understand opinions. We are almost certainly not indifferent between a cup of coffee with no sugar and a cup with five spoons of sugar. If an individual is not forced to choose between x and y. One of the goals of measurement is to organize data into some coherent structure. and the like. Many decisions to be made by individuals.CHAPTER 4 Indifference. (Menger (1951) claims that such arguments go back at least to Poincare. Techniques of measurement and scaling are used often in this way in the social sciences. the goal is to assign a real number /(jc) to each x in V so that for all x.

we translate it into a graph-theoretic one. The graph Z4.28 CHAPTER 4 Examples such as this suggest that indifference does not correspond to equality. .8 If there is a function / satisfying (4. An indifference graph. In this section. the numbers f(a) and f(b) must be within 8 and so must the numbers f(b) and f(c). Notice that the resulting graph has a loop at each vertex. f(d)= 1. 7 We shall suppress the loop at each vertex in this and all graphs of this section.7 If 8 = 1. f(c) = . 4. FlG. but rather to closeness. and f(e}— 1.3. We would like to assign a number f(x) to each vertex of the graph G so that vertices joined by an edge get numbers which are close (within 5) and vertices not joined by an edge get numbers which are not close (not within 8). 4. It is easy to give examples of indifference graphs. Then we might seek an assignment of numbers f(x) to elements of V so that for all x. so the FlG. Again. we say that G is an indifference graph. a and c are not joined by an edge. Speaking precisely. then without loss of generality f ( b ) ^ f ( a ) .1. y in V. Now since a and b are joined by an edge and similarly b and c.3) is given by /(a) = 0.1.7.1. To answer this question. we will assume that every graph has a loop at each vertex. consider Z4 with the labeling of vertices given in Fig. However. an assignment of numbers satisfying (4.) To give an example of a graph which is not an indifference graph. Consider for instance the graph of Fig. In the rest of this chapter. If there is such an assignment of numbers. (Incidentally.3).2. 4. because it tells us when a particular way of measuring or scaling data (judgments of indifference) can be carried out. 4. f(b) = . Under what circumstances does there exist such an assignment? The answer to this question is important in measurement. it will be convenient to allow loops in our graphs. and we draw an edge between x and y if and only if xly. suppose 8 is a positive number measuring closeness.2.4. it is clear that there is an assignment / with 8 = 1 if and only if there is an assignment / for any positive 8. We let V be the set of vertices of a graph G. there is a (suppressed) loop at each vertex.

5. However. We say G is a unit interval graph if it is the intersection graph of a family of (open) intervals of the same length (without loss of generality unity). n ^ 4.3. and c. It is also easy to see that Zn. but not within S of f(b).3). then G is an indifference graph if and only if the graph of Fig. FIG. the graph of Fig. the graph of indifferences cannot be Zn. . Since there are no edges among a.6. if/satisfies (4. The noninterval graphs of Figs. 4. 9 Every interval /(a) in (4. Without loss of generality we have f ( a ) < f ( b } < f ( c ) . The argument that Z4 is not an indifference graph. then so is every generated subgraph. A graph which is not an indifference graph. It follows that these numbers are FIG.3. f(d) must be within 8 of both /(a) and /(c). which is impossible.3). b. 4. The indifference graphs are exactly the unit interval graphs. 10 In a sense.INDIFFERENCE. Neither is Zn. 4. AND SERIATION 29 numbers f(a) and f(c) must be at least «5 apart. we have shown one direction of the following theorem. give other examples of nonindifference graphs. or indeed have such a Zn as a generated subgraph. 3. n ^ 4.3 and 3.9 In particular. Thus. the graph of indifferences is an interval graph.4. Suppose there were a function / satisfying (4. any n ^4. it is shown that if G is an interval graph. Now f(d) must be within 8 of /(a) and /(c). Not every interval graph is an indifference graph. This is impossible. Hence.6 is not a generated subgraph of G. 4. then Hence. Z4 is not an indifference graph. we have /(a) and f(c) at least 28 apart.7. arranged as in Fig. is not an indifference graph by considering the intervals Now. 4. 4. MEASUREMENT. 4. In Roberts (1969a).4) has the same length. Consider the graph of Fig. It is instructive for the reader to try to argue this directly.4 and 4.10 It is easy to show that if G is an indifference graph. which are repeated in Figs.6 is the only interval graph which is not an indifference graph.

4. We can define a new graph Gf « as follows. since a is joined to a by an edge while b is not joined to a. It is easy to show that = is an equivalence relation. We say that vertex x of graph G is an extreme vertex if whenever there are edges from x to y and to z. and the equivalence class containing x is joined by an edge to the equivalence class containing y if and only if x is joined to y. x ~ y implies that there is an edge between x and y. then it is not the case that a = b. let us define a relation ~ on the set of vertices of a graph by taking x = y if and only if x and y are joined by edges to exactly the same vertices. 4. However. a theorem which characterizes a class of graphs by telling which configurations cannot appear as generated subgraphs.5. 4. This theorem is an example of a forbidden subgraph characterization. 4.6 as a generated subgraph.5. This is clearly well defined. In particular.6.1 (Roberts (1969a)). In graphs with a loop at each vertex. FIG. Consider a finite set of points on the real line.6 is considered a graph without loops. A graph which is not an indifference graph. A graph G (with a loop at each vertex} is an indifference graph if and only if it is a rigid circuit graph and it does not have any of the graphs of Figs. The vertices are the equivalence classes under «. An interval graph which is not an indifference graph. We say that G is reduced if G is isomorphic to G/ ~. To gain a little more insight into indifference graphs. then a ~ b. There are two end points. . THEOREM 4.30 CHAPTER 4 FIG. We shall try to capture by the following definition what vertices of a graph can be mapped into end points under a function / satisfying (4. if the graph of Fig.3). if we consider it a graph with a loop at each vertex.4. and 4. We shall use this notion of equivalence and the idea of reduction to give another characterization of the indifference graphs. 4.

2 in terms of connected components H. In the graph of Fig.5. each is already reduced. c. For every vertex is joined to two others which are not joined. 4. An important problem of data analysis in the social sciences involves the sequencing of objects in some order. and c are extreme vertices.5. 4. 4. 4. a. Sedation. and e is connected and reduced and has three extreme vertices (a.4.6 are not indifference graphs. vertices labeled d. Hj ~ * * is either a single vertex or has exactly two extreme vertices. reduced graph which is not an indifference graph but has only two extreme vertices. THEOREM 4. and e)— this subgraph is isomorphic to the graph of Fig. b. 4. MEASUREMENT. In making decisions. 4. there are no extreme vertices. As we have pointed out earlier.INDIFFERENCE. n^4. Similarly. moreover. A connected. 4.7 shows why.6. and political scientists try to order politicians from liberal to conservative. vertex a is an extreme vertex. psychologists try to order subjects along steps of development or shades of opinion. there is a vertex w so that y and z are joined to w but x is not joined to w.2. then they are each connected. and / are vacuously extreme vertices.7. 4. 4. It is necessary to deal with the reduction. A graph G (with a loop at each vertex) is an indifference graph if and only if for every connected generated subgraph H of G. c. c and e are extreme vertices here. It is connected and reduced and has just two extreme vertices (a and e). n ^ 4. b and / are joined to each other. However. In the graph of Fig. e. vertices a. and 4. a and e. In the graph of Fig. because if there are equivalent vertices. it is not sufficient to state Theorem 4. in the graph Zn. the subgraph generated by vertices x. and there is a vertex d joined to b and / but not to a. However. Also. This theorem explains why the graphs Zn. For the only pair of vertices to which it is joined are b and /.2 (Roberts (1969a)).4. archaeologists try to order artifacts by age.6. FIG. The graph of Fig. AND SERIATION 31 then y and z are joined by an edge and. then a connected indifference graph can have fewer than two extreme vertices if our present definition of extreme vertex is used—consider the complete graph on 3 vertices. If each of these is considered a graph with loops at each vertex. and the graphs of Figs. . and each has either too few or too many extreme vertices. we 11 The relation = is the one defined from H.

the goal of seriation in this context is to find an ordering or permutation of the objects being sequenced so that if this permutation is applied simultaneously to both rows and columns of the similarity matrix R. the weak and strong notions of Robinson form coincide. then / and k are at least as similar as / and /. This means that if j and k are between / and /. We say that matrix R is in strong Robinson form if whenever i^j^k^l. • • • . then it is easy to see that Ge satisfies the following condition: whenever /' ^/ ^ k ^ / and there is an edge in GE between / .b. n. we obtain the following matrix.-/=e. but This can also be seen because the entries in the third row decrease as the diagonal is approached. This concept is due to Kendall (1969a) and is named after W. which is in Robinson form: Let e be an arbitrary positive number. 2. Henceforth. the resulting matrix is in strong Robinson form. of the similarity of alternatives / and /'. To give an example. The vertices of Ge are the numbers 1. It is easier to check whether a matrix has the weak Robinson form than it is to check for the strong Robinson form. The obvious question to ask is: when does there exist such a permutation and how does one find it? This question and this general approach to seriation is based on the work of Kendall (1963).(/•//) is a symmetric matrix and discuss how to obtain sequences of objects from R. then rik ^ ru. In general (Hubert (1974)). from least conservative to most conservative. with /-. However. One approach to sedation begins with a measure /-. Define a graph GE from R as follows. (1971a. For example. Fortunately. S. let Then R does not have the Robinson form. where n is the number of rows of R.c). The ordering is thought of as the natural order determined by the similarity data. (1969a. If R is in Robinson form. Robinson who used essentially this idea in sequence dating in archaeology (Robinson (1951)).32 CHAPTER 4 sometimes like to order alternatives from least risky to most risky. because 1 ^ 2 ^ = 3 ^ 3 . We shall assume that R . representing a threshold. etc. we shall use the term Robinson form for both the weak and strong notions./ higher than rk{ if /' and / are more similar than k and /. if we switch the first two rows and first two columns.b). weak implies strong since i^j^k^l implies rik ^ rik =s rit. We shall ask when there is a permutation putting a matrix in Robinson form. it is not hard to show that for square symmetric matrices.. A square symmetric matrix is in weak Robinson form if the entries in any row do not decrease as the main diagonal is approached. There is an edge from / to j if and only if r.

) THEOREM 4. We say that < is compatible with G if whenever / ^ / ^ k ^ / and there is an edge in G between / and /. THEOREM 4. by Theorem 4. The ordering c. and 0 if there is no such edge. b. d is not compatible since b :< b ^ a ^ e and there is an edge between b and e. d. G'e has a compatible vertex ordering if and only if G'e is an indifference graph. but no edge between b and a. then it follows that R is in Robinson form.INDIFFERENCE. if we assume a loop at each vertex.4. For example. Notice that there are really only finitely many different graphs in the family {G'E}. MEASUREMENT. in the graph of Fig. A compatible ordering for the graph G is given by c. e. 4. We shall use this result to get a complete characterization of the matrices permutable into Robinson form. Suppose G is a graph (with a loop at each vertex) and A is its adjacency matrix.3. if we can verify this condition for every Ge. / entry is 1 if there is an edge between vertices / and /. Let R' be obtained from R by replacing each diagonal element by oo. or by a sufficiently high number. then there is an edge in Ge between / and k. Speaking more generally. THEOREM 4. then a compatible ordering of the vertices is given by c. Hence. It is interesting to notice the connection between the ideas of this section and the notion of the consecutive 1's property defined in § 3. We notice that if R' is permutable to Robinson form.3 (Roberts (1971b)). we say that the family of indifference graphs {G'e} is homogeneous. a. suppose G is an arbitrary graph and :< is an ordering of the vertices of G. b. Then G is an indifference graph if and only if A has the consecutive 1's property. FIG.5 (Roberts (1968)).. If G is a graph with n vertices. The basic ideas behind this argument are contained in Hubert (1974). AND SERIATION 33 and /. then the same ordering of vertices is compatible with each G'e. then there is an edge in G between / and k. Then clearly each G'E has a loop at each vertex. a. (A similar idea arises in the study of probabilistic consistency—see Roberts (197la). . so the criterion in the theorem is usable. d.8. its adjacency matrix is an n x n matrix whose /. e.8. A graph G (with a loop at each vertex} has some compatible ordering of the vertices if and only if G is an indifference graph. e. In such a case. a. Then clearly R is permutable to Robinson form if and only if the diagonal elements of R are each maximal in their row and R' is permutable to Robinson form. 4. b. Conversely. R is permutable to Robinson form if and only if the diagonal elements of R are each maximal in their row and {G'E} is a homogeneous family of indifference graphs. Let G'E be defined from R' as was Ge from R.4.

THEOREM 4. It is often important to find a maximal (or minimal) spanning tree. certainly G has a subgraph which is a tree. Remark. we give one more necessary condition for the existence of a permutation to the Robinson form. Proof. then MM is permutable to Robinson form.E. Trees. which is a contradiction. i.e. A graph G is called a tree if G is connected but has no circuits. 4. Figure 4. a spanning tree so that the sum of the weights of its edges is as large (as small) as possible. then by connectedness of G there must be an edge from some one of these vertices u to a vertex v of H. In the depth first search procedure described in § 2.34 CHAPTER 4 THEOREM 4. Conversely. we conclude that every vertex of G is in H and H is spanning.. Q.4. Clearly every graph which has a spanning subgraph which is a tree—we shall refer to a spanning tree—is connected. If there are vertices in G but not in H. 4. Suppose we place a weight or real number on each edge of a connected graph. then AA is permutable to Robinson form. This follows by Theorem 3. If G is an indifference graph and A is its adjacency matrix. A va riety of trees. v} gives rise to a subgraph of G which is a tree and has more vertices than H. Since the graph consisting of one vertex is a tree.9. Let H be a subgraph which is a tree and which has as many vertices as possible. the edges used in labeling define a spanning tree.7. COROLLARY 2. COROLLARY 1. // G is an interval graph and M is its dominant clique-vertex incidence matrix. A large number of operations research problems boil down to the determination of maximal (or minimal) spanning trees. Proof. FIG . Hence. In this section. A graph is connected if and only if it has a spanning subgraph which is a tree.D. Adding the vertex u and the edge {u. One algorithm for .6 (Kendall (1969a)). suppose G is connected. Suppose K is any matrix of O's and 1's which has the consecutive Vs property.9 shows a variety of trees.3. Then the permutations of the rows of K which produce consecutive 1's correspond exactly to those permutations which when applied simultaneously to both rows and columns put KKT into Robinson form.3.

2} and {1. 4}.11 the graph G(R) obtained from the matrix R of (4. The permutation 2.5). we show in Fig. AND SERIATION 35 finding a maximal spanning tree is the greedy algorithm: initially pick any edge of largest weight.11. in the graph of Fig. The FIG./ on the edge {/. then some maximal spanning tree of G(R) is a chain and the ordering of rows and columns putting R into Robinson form corresponds to the ordering of vertices in a maximal spanning tree which is a chain. and {I. The graph G(R) corresponding to the matrix R of (4. Once each vertex has been included. FIG. 3 which puts R into Robinson form corresponds to a maximal spanning tree consisting of edges {1. For example.5). 2. To illustrate this theorem. 4. 1. and a weight of r. {3.3}. If R is permutable to Robinson form.10 (ignoring loops). 3}. we would first choose edge {2. we have a maximal spanning tree.4}. . This forms the tree Tk. 4. add an edge of largest weight between a vertex of Tk-i and a vertex not in Tk-\. 3}. « ./^O. 4.10. 2}. 4. an edge between / and /' if and only if r. Let G(R) be a graph with vertices 1.2} to obtain a maximal spanning tree. MEASUREMENT. THEOREM 4. • • • . /}.INDIFFERENCE. Suppose R is a square symmetric matrix of n rows. A maximal spanning tree is given by edges {2. then edge {3.8 (Wilkinson (1971)). and finally edge {1. once k — 1 edges have been chosen forming a tree Tk-\.

Second. Here. then their places in the ordering may be interchanged. if R were permutable to Robinson form. we shall comment briefly on the uniqueness of these sedations.3. 3. • • • . A graph with at least one edge which has a transitive orientation always has at least two: simply reverse all the . If 1. a graph may have more than one compatible vertex ordering. It is easy to show that if two vertices x and y are equivalent in the sense of the equivalence relation defined in § 4. but the order in which components appear may change. Moreover. 2. Or.1. /(*). one tries to get "close. • • • . 2. on nonoverlapping intervals. The relation "/(*) strictly follows /(y)" defines a transitive orientation on the complement Gc of an interval graph. First. In seriation. Two interval assignments may differ in several ways. 4.36 CHAPTER 4 converse of Wilkinson's theorem is false. Then R is the following matrix: Note that the chain 1. it is possible to end up with more than one proper serial order. For example. In particular.1. It is not hard to supply a proof of Theorem 4. An indifference graph G (with a loop at each vertex) having more than two vertices has exactly two compatible vertex orderings (one the reverse of the other) if and only if G is connected and reduced. may strictly follow the interval assigned to y. up to complete reversal of the ordering. See Hubert (1974) for details. on overlapping intervals. one argues that the chain 1. 4. then n. THEOREM 4. every graph of more than one vertex always has at least two compatible orderings. the interval assigned to jc.9 (Roberts (1971b)). If 1. 1 is another such ordering. /(y). or contain J(y) in still another. • • • . Uniqueness. in one interval assignment. Details are left to the reader. • • • . n . 2. it is always best to add an edge of the form {/. n defines a maximal spanning tree. In practice. 2. 4 defines the only maximal spanning tree in G(R).4. ri 4 >/"i3. Thus.10 is thought of as the graph G(R) for a matrix R. there may be two essentially different interval assignments. even if R cannot be permuted into Robinson form.8. one argues that in applying the greedy algorithm. it would already be in Robinson form. if we perform seriation using interval assignments as described in § 3. these are the only kinds of changes possible. the uniqueness question is a little trickier. but simply overlap without containment in another." One often begins by finding a maximal spanning tree in G(R) and working from there. vertices in a connected component must appear together. However. / +1}. J(x) may be contained in J(y) in one assignment. The question of uniqueness in the strict following sense may be looked at as follows. In the case of an interval assignment. Suppose the graph of Fig. but not in the other. n is a compatible vertex ordering for a graph. n is a permutation which puts R into Robinson form. However. etc. Hence.

and these methods allow the computation of the number of interval assignments which differ on strict following. A set K of vertices of a graph is called partitive if for every x. For example. one obtained from the other by reversing directions.INDIFFERENCE. To illustrate this theorem. AND SERIATION 37 directions in the orientation. If G is a disconnected. MEASUREMENT. (1976) have independently given a criterion for a graph to have exactly two transitive orientations. A connected transitively orientable graph G with n vertices and at least one edge has exactly two transitive orientations (one obtained from the other by reversing direc tions} if and only if every partitive set K with at least two vertices but fewer than n vertices is independent. every interval graph with an edge always has at least two interval assignments which differ on strict following. The problem of uniqueness of interval assignments still requires a treatment of the uniqueness of the relations among overlapping intervals. and Sumner). there is an edge from x to u if and only if there is an edge from y to u. Moore. note that the complete graph on 3 vertices has three transitive orientations. producing at least four transitive orientations for G. Golumbic (1977) has recently found methods for identifying the number of different transitive orientations of a graph.10 (Shevrin and Filippov. A set of vertices is independent if there are no edges joining any of the vertices in the set.4. then there are at least two distinct transitive orientations of each component with an edge. Two such orientations can be combined arbitrarily. y in K and every u not in K. Any two vertices form a partitive set which is not independent. Two interval assignments can differ in more than just strict following. when is J(x) always contained in /(y) in every interval assignment? This problem has not yet been worked out. Thus. Shevrin and Filippov (1970) and Trotter et al. through the procedure outlined in § 3. THEOREM 4. transitively orientable graph in which at least two different components each have an edge. Hence. Every transitive orientation of Gc gives rise to an interval assignment if G is an interval graph. . Trotter. We shall present their result. we may restrict ourselves to connected transitively orientable graphs.

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5.2. np). A box is just a generalized rectangle with sides parallel to the coordinate axes. and hence having boxicity 0.1) forming one class an the remaining vertices the other class. / there is an edge joining vertex x of TV. it is hard to compute the boxicity of a graph. ! . box (Zn) = 2. and hence has boxicity larger than 1. 1) with p classes is the complete graph with p vertices. • • • . n^ 1) = box K(rii.1 gives us box (Kp) — 0. The graph K(l. we denote the corresponding graph K(n\. n 2 . It is easy to show that Z4 is the intersection graph of boxes in 2-space (see Fig. Indeed. we note that since the complete graph Kp is K(l. which is usually denoted Kp. It is convenient to think of complete graphs as being intersection graphs of boxes in 0-space (each box here is a single point 12 ).. • • • .1. n 2 . n2. If N( has n. • • • . with the vertices a and c (as labeled in Fig. • • • . which are greater than 1.CHAPTER 5 Food Webs. 2) is really Z4. • • • . 1) with boxes in n-space by adding one huge box which contains all of the others. The graph Z4 is not an interval graph. 3) is shown in Fig. • • • . box K(n\. As a special case. 3) is the famous waterlight-gas graph: there are three houses and three utilities. having obtained a representation for K(ni. then box (G) = the number of n. and the Boxicity of Ecological Phase Space 5. Let us calculate the boxicity of various graphs. and vertex y of N. np)^p. A very interesting class of intersection graphs is that class arising from the boxes in Euclidean n-space. 1. np). It is easy to see that box K ( n ^ . The smallest such n is called the boxicity of G. n2. and is abbreviated box (G). It is an unsolved problem to find a procedure for calculating boxicity. • • • . The interval graphs are exactly the graphs of boxicity =il.iff / ^ /. with p classes.Np and for every /. Theorem 5. • • • .1 (Roberts (1969b)). 5. • • • . Boxicity. A graph G is complete p-partite if the vertices are partitioned into classes Ni. For. The graph AT(2. one obtains one for K(ni. all n ^ 4. rip.N2. Niche Overlap Graphs. np). The graph K(3. A construction for AT(3. ! ) . It is also an unsolved 12 We do not require the boxes corresponding to distinct vertices to be distinct. and it is easy to see how this generalizes. and each house is hooked up to each utility.1) and hence that box (Z4) = 2. for example a rectangle in 2-space. 5. If G = K(n^ n2. Another class of graphs for which it is not hard to calculate the boxicity is the class of complete p-partite graphs. 39 . n2. n 2 . THEOREM 5. We shall show below that every graph G is the intersection graph of boxes in some n-space. vertices. In general. np) with boxes in n-space.---. In general.

This follows immediately from Theorem 5. c] and {b. We shall see-below why these two problems are important. Recently. The first part of the theorem shows that box(Z 4 )^=2. for Z4 is a graph consisting of 2 independent edges.3 (Roberts (1969b)).1 since the boxicity of a graph is at least as great as the boxicity of any generated subgraph. • • • . The second statement in Theorem 5. then box(G)^m. d}.40 CHAPTER 5 FIG. THEOREM 5. 5. THEOREM 5. 5.2 simply says that if G has K(2. we say that a set of edges in a graph is independent if no two edges in the set have a vertex in common. 3) is at most 2. 2) with k classes as a generated subgraph. To present them. for example 2. Gabai (1974) has obtained some results on boxicity. Every graph G of n vertices is the intersection graph of boxes in n-space.2 (Gabai (1974)). 5. Hence. box (Z4) = 2. as we have already observed.1. The second part of Gabai's result shows that box (Z4)> 1. FIG.1. then box (G )>&-!. The boxicity ofZ4 is 2. problem to characterize the graphs of given boxicity. using the labeling of vertices in Fig. // the maximum cardinality of a set of independent edges of G c is m. then box (G)> k . Moreover. .2.1. 2. if G c has a generated subgraph of k independent edges. The boxicity of K(3. we note that the maximum independent set of edges in Gc consists of the two independent edges {a. For.

From the point of view of biology. Recent reviews of the concept of ecological niche are by Miller (1967). comparable to the phase-space of statistical mechanics. J'2. and so on. The boxicity of ecological phase space. We wish to determine the smallest n so that the niche We use this term loosely. In ecology.FOOD WEBS. NICHE OVERLAP GRAPHS. For example. of light. Hutchinson (1944). Ji^ /2>' ' ' » J m the projections of the box onto the different coordinate axes. Note that every box in n-space is defined by giving n intervals. • • • . a species13 is sometimes characterized by the ranges of all of the different environmental factors which define its normal healthy environment. This box corresponds to what is frequently called in ecology the ecological niche of the species. this study is a crucial step in the understanding of the "web of nature. Suppose we have some independent information about when different species' niches overlap. In particular. This question can be formulated graph-theoretically. of pH. if B' is another box with corresponding intervals J ( . Ecologists study the relationships among organisms in communities. this study is important to understand how social endeavors would perturb ecosystems. then 5. Draw a niche overlap graph whose vertices are a collection of species from an ecosystem. then the corresponding region in n-space is a box. . the niche thus defined is a region of n -dimensional hyper-space. We can then ask how many dimensions are required of an ecological phase space so that we can represent each species by a niche or box in this space and so that the niches overlap if and only if the independent information tells us they should. for example." For this reason. Vandermeer (1972). and Pianka (1976). /'„. defines the ecological niche as "the sum of all the environmental factors acting on an organism. If there are n factors in all. and which has an edge between two species if and only if their ecological niches overlap. the n-dimensional Euclidean space defined by the n factors is sometimes called ecological phase space. AND BOXICITY 41 Proof. of moisture.2. the normal healthy environment is determined by a range of values of temperature. and each defines an interval of values." From the point of view of society.

For it is an old ecological principle that two species compete if and only if their ecological niches overlap. whose vertices are the species in question and which has an arc from species x to species y if and only if x preys on y. might have great ecological significance.3 and 5.5 shows an interval assignment. However. In Cohen (1978). Should every niche overlap graph be an interval graph. the boxicity is again 1. i. However. is not determined. for example.3 is a rather simple graph. its environmental significance. its boxicity is 1. He asked whether this was always true.. 5. Figure 5. These graphs can then be used to study various claims about dimensionality of niche overlap.. . Note. the evidence mounted in favor of the conjecture that every niche overlap graph obtained from a real food web is an interval graph. species 1 and 4 both prey on species 5. Cohen discovered that all of them gave rise to niche overlap graphs which were interval graphs. Given a food web. That is. a number of counterexamples are finally given.3. In order to study 14 In his early work. Hence. The niche overlap graph of Fig. This digraph is called a food web. Cohen also develops statistical profiles of food webs. surprisingly. hence there is an edge between vertices 1 and 4 in the niche overlap graph. and the evidence seems to suggest that food webs corresponding to habitats of a certain limited physical and temporal heterogeneity do give rise to niche overlap graphs which are interval graphs. 14 The niche overlap graph of Fig. following Cohen (1978).4 show two food webs and their corresponding niche overlap graphs. then one dimension would suffice to account for niche overlap.e. The idea of studying the dimensionality or boxicity of the ecological phase space needed to account for observed niche overlaps was developed by Joel Cohen in an unpublished document in 1968. After examining a number of real food webs. with the aim of generating hypothetical food webs at random in order to generate their corresponding niche overlap graphs. the nature of this dimension. 5. Cohen identified niche overlap with competition and called the niche overlap graph the competition graph. i. we can obtain information about which species prey on which others. The conclusion is that one dimension suffices to account for niche overlap in this ecosystem. a large number of food webs are examined. In that monograph. and Klee (1969) published the question. that in Fig. we wish to determine the boxicity of the niche overlap graph. However. and might help in understanding perturbations in ecosystems. niche overlap occurs if and only if the species compete for food. How do we define the niche overlap graph? One way is to use the notion of competition. Until recently.e.42 CHAPTER 5 overlap graph is the intersection graph of boxes in n-space. that two species have overlapping niches (at least along trophic or "feeding" dimensions) if and only if they have a common prey. This dimension. Hence. and it is easy to see that it is an interval graph which is incomplete. We can represent this information in a digraph.4 is a little more complicated. in Cohen (1978). Figures 5. he argues that competition may occur for resources other than food and hence the term niche overlap graph is more appropriate. though not defined. we shall assume. it too is an interval graph. a very surprising development. By studying the species in an ecosystem. 5.

i. or are almost all possible niche overlap graphs interval graphs? To make this question precise. it would be nice to have techniques for calculating boxicity. let us first observe that not every graph is a niche overlap graph. a digraph with no cycles. it is surprising. Is it so surprising that so many real niche overlap graphs are interval graphs. Key Juvenile pink salmon P. 5.. This is a special assumption. but one which is commonly made in ecology. to a vertex with no adjacent vertices. 6. take K(2. To see this. then G(JIe is a niche overlap graph. FIG. as pointed out above. • • • . For. we say it is a niche overlap graph if it comes from an acyclic digraph (or food web) in this way. This vertex corresponds to an isolated vertex in the niche overlap graph of F.FOOD WEBS.3. 5. It is clear that GUIe is the niche overlap graph of F. z} in F. The corresponding niche overlap graph G is defined as follows: the vertices of G are the vertices of F and there is an edge from species x to species y if and only if for some z. there are arcs (x.. 2.e. we include arcs from a and b to xa.3. 2. It seems natural to ask whether we can explain structurally the empirical results described in the previous section. Minutus Calanus and Euphausiid Burcillia Euphausiid Eggs Euphausiids Chaetoceros Socialis and Debilis 7. For every edge a = {a. that . it is easy to see that every acyclic digraph F must have a vertex with no outgoing arcs. We start by putting into F the vertices of G. We next observe that if G is any graph at all. British Columbia.1 Given an arbitrary graph G. Hence. 5. AND BOXICITY 43 niche overlap further. b} of G. as adapted by Cohen (1978). z) and (y. The properties of niche overlap graphs. This result shows that essentially every graph is a niche overlap graph. Let Ip be the graph of p isolated vertices. such techniques are lacking. Mu-Flagellates 1. What graphs are niche overlap graphs? Are almost all niche overlap graphs interval graphs? To answer these questions. From data of Parsons and LeBrasseur (1970). For example. there are niche overlap graphs of arbitrarily high boxicity. 4. and G has e edges. Food web and niche overlap graph for the Strait of Georgia. we build a food web F as follows. Hence. 3. where G U Ie is the graph obtained by adding e isolated vertices to G. NICHE OVERLAP GRAPHS. we add a vertex xa to F. i. every niche overlap graph has an isolated vertex. let us assume that a food web F corresponds to an acyclic digraph. given that almost every possible graph is potentially a niche overlap graph. In particular. Unfortunately. 2) U Ie.e. In F.

The niche overlap number (or competition number) k(G) is the least number k so that G U Ik is a competition graph. leaves and trunks 10.zone scansorial animals — mammals in both canopy and ground zones 8. Large ground animals — large mammals and birds 6. Food web and niche overlap graph for Malaysian Rain Forest.4. fallen fruit. Interval assignment for the niche overlap graph of Fig. e = e(G).5. Middle -zone fly ing animals — birds and insectivorous bats 9. Ground — roots. then k(G)^ e(G)-n(G) + 2. Insects 5.4.4 (Roberts (1978)). Small ground animals — birds and small mammals 11. Canopy animals — birds. insectivorous 4. v} of G. real-world niche overlap graphs tend to have such low boxicity. Fungi FIG. . Let n = n(G). and usually boxicity 1. flowers 2. and other mammals 3. We shall present some results on For the rest of this section e(G) will denote the number of edges of G and n(G) the number of vertices.44 CHAPTER5 1 . fruit. Characterization of niche overlap graphs is equivalent to the problem of computing k(G). and k = k(G). 5. 5. from data of Harrison (1962). Proof. flowers 1 . // G has no triangles. 5. THEOREM 5. fruit-bats. Suppose G(JIk is a niche overlap graph for food web F. fruits. as adapted by Cohen (1978). For every edge a = {u. Trunk. there is a vertex aa FlG. Canopy — leaves. Middle. Upper air animals — birds and bats.

e(G) = 3k. In any case. Now every aa has at least two incoming arcs. The digraph D' obtained by removing x and all outgoing arcs from x is acyclic and hence has a vertex y with no incoming arcs. for all i has vertex set V(G) plus one additional vertex x. and so we conclude that n + k — 2 ^ e. Thus. And so on. If a is a vertex of a graph. 5. Build a sequence of food webs F{. and G has no triangles. k(Zn) -2 if n ^ 4 .6 (Roberts (1978)). yet k = 0 while e . NICHE OVERLAP GRAPHS.8 depends on an ordering of vertices. and let G consist of two copies of Zk with vertices in one copy joined to corresponding vertices in the other copy.E. (Note that a2 exists since every generated subgraph of a rigid circuit graph is rigid circuit. (The extreme vertices of a graph which we encountered in §4. Food web F! has arcs from a\ and all vertices in N(a}) to x. Proof.D. . Hence.D. Fn_! as follows. it follows that the number of vertices of F. We shall give a hint of the method of proof of this theorem below. For each possible ordering of vertices of any graph. n(G) = 2k. then k(G) . then k(G)^l.n(G] + 2. a\ and all vertices in N(ai) are all adjacent to each other in the niche overlap graph corresponding to Fl. we can carry out a COROLLARY. then k(G) ^ 1.n + 2 = -l. where vertex x corresponds to the isolated vertex. Food web F. The vertex is called simplicial if N(a) is a clique. and so k(G)^3k-2k +2= k+2.E.5. For every k.4 is not sharp. // G is an interval graph. The graph /3 has no triangles. a2. the open neighborhood of a. there is a graph G with k(G) > k. by a variant of an earlier observation. F2. Q. an-i. the aa's are distinct. F2 is obtained from F! by adding arcs from a2 and all vertices of N(a2) to a\. The construction of the proof of Theorem 5. Moreover. namely n + k. Vertex a^ is a simplicial vertex of G\ = G.FOOD WEBS. Q. Then G has no tri angles.7 (Dirac (1961)).) THEOREM 5. Hence.6. Note that by Theorem 5. Proof. However. • • • . Fl+1 is obtained from F. is at least e. and it is not hard to show that every acyclic digraph has at least two vertices with fewer than two incoming arcs.) Vertex <23 is a simplicial vertex of G3 = G2-a2. The procedure of proof of this theorem is carried out on an example in Fig. is the collection of all vertices adjacent to a. For. It is now easy to see that food web Fn-l is acyclic and its niche overlap graph is G U / i . where n = n(G). Q. AND BOXICITY 45 in F so that u and v prey on aa.E. Every rigid circuit graph has a simplicial vertex.e(G). Thus. // G is a rigid circuit graph. // G is connected.D.8 (Roberts (1978)). since G has no triangles. the niche overlap graph of F2 is obtained from that of Fj by joining a2 and all its neighbors to each other. x and y have fewer than 2 incoming arcs in D. N(a). these two vertices cannot be used for aa 's. The bound in Theorem 5. the graph generated by vertices of G\ other than a\.5 (Roberts (1978)). since e = n. • • • . Find a sequence of vertices a\. every such digraphD has a vertex x with no incoming arcs. Vertex a2 is a simplicial vertex of G2=Gi~ai. we have the following theorem.1 are simplicial vertices.. THEOREM 5. n(G)> 1. THEOREM 5. In general. Let k ^ 4. as follows. THEOREM 5. by adding arcs from ai+i and all vertices of N(ai+i) to a.

if W = {1. and W is a set of species from F. 5.4. This procedure leads to the result of Theorem 5. and source food webs. In the latter food web. Community food webs. The reader is referred to Roberts (1978) for details. FIG. 2.6. 15 Every vertex x is reachable from itself since x alone is a path. and to estimates of k(G] for other graphs. and if we allow ourselves to add more than one additional isolated vertex. while that of Fig.4.46 CHAPTER 5 similar construction. Constructing a food web for G U /i if G is a rigid circuit graph. These food webs Cohen (1978) calls community food webs. triangle-free graphs. The subgraph (subdigraph) of F generated by vertices of X is called a sink food web corresponding to W and the subgraph generated by vertices of Y is called a source food web. 5. 5.4. In this way. 3. 10}. then X = {1. 10}.9. if we are careful to divide up N(aj into cliques.4 is a community food web. Certain food webs include the predation relations between all pairs of species. . and Y the set of all species which reach vertices of W by a path. sink food webs. Suppose F is a community food web.5 for connected. 10. II}15 and Y = {1. Let X be the set of all species which are reachable from vertices of W by a path. The food web of Fig. 5.3 is a sink food web obtained from some larger food web. 5. one obtains an estimate for k(G}. 4. 8. 7.

D. since Z4 is a generated subgraph. then for every set W of vertices of F. Hence. source food webs cannot be expected to tell us much of interest about the dimensionality of the ecological phase space required to represent niche overlap.E.9 (Cohen (1978)). The theorem follows since every generated subgraph of an interval graph is an interval graph. we must be careful. is an interval graph. NICHE OVERLAP GRAPHS. z. AND BOXICITY 47 THEOREM 5. to be sure not to use source food webs.FOOD WEBS. and a niche overlap graph of a source food web which is not an interval graph. FIG. Then x and y have a common prey in F if and only if they have a common prey in the sink food web generated by W. Proof. Q. In general. Let x and y be vertices in the set X of vertices reachable from vertices of W. It follows that H is a generated subgraph of G. . This graph is not an interval graph. then H is an interval graph. f}. it is only necessary to prove that if F is a community food web and its niche overlap graph G is an interval graph.7. / has the niche overlap graph shown in the figure. z. It is possible for a community food web to have a niche overlap graph which is an interval graph while some source food web contained in it has a niche overlap graph which is not an interval graph. y. The source food web corresponding to the vertices jc. The corresponding niche overlap graph. Food web Niche overlap graph Niche overlap graph correspond ing to source food web obtained from W = {x. To give an example. y. in gathering empirical data. consider the (community) food web of Fig. Thus. A community food web has a niche overlap graph which is an interval graph if and only if every sink food web contained in it does. if H is the niche overlap graph of the sink food web corresponding to W. also shown in the figure. 5. A community food web. its niche overlap graph which is an interval graph. 5.7. Every community food web is a sink food web: take W= V.

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Let us try to color the vertices of G. street cleaning schedules. However. The problem is equivalent to the following: is it possible to assign to each vertex (tour) one of six colors (days) so that if two tours are joined by an edge (visit a common site) they get a different color? Thus the question becomes: is the tour graph 6-colorable? 49 .1. If such a vertex coloring can be carried out using k (or fewer) colors. they get different colors. if n is odd.1. A coloring of Z5 in 3 colors.3. FIG. we say that G is kcolorable.CHAPTER 6 Colorability 6.1. To formulate this problem graph-theoretically. each vertex receiving exactly one color. and which has an edge between two tours if and only if they visit a common site. It is obvious that x(Kn) = n (each vertex must receive a different color). then x(Zn] .1. A tour of a garbage truck is a schedule of sites it visits in a given day.) Graph coloring problems arise in a variety of applications. The smallest k so that G is k -colorable is called the chromatic number of G. Applications of graph coloring. for example milk or newspaper deliveries. and is denoted . We shall mention several of these here.1. in such a way that if two vertices are joined by an edge.f(G). The following problem arose (Beltrami and Bodin (1973). they get a different day? A similar problem can be posed for other service schedules. no 2-coloring exists. 6. let G be the tour graph. Suppose G is a graph. Tucker (1973)) from a problem posed by the New York City Department of Sanitation. is it possible to assign each tour to a day of the week (other than Sunday) so that if two tours visit a common site. if n is even. the graph whose vertices are the tours. as is easy to see. 6. Tour graphs. and so on. Given a collection of tours of garbage trucks. (A coloring of Z5 in 3 colors is shown in Fig. Moreover. then \(Zn) = 2: alternate colors around the circuit. 6.

Given a map. Nievergelt and Deo (1977. Each member of one house of a state legislature belongs to several committees.1. This question. The depth-first search procedure described in §2. Then the problem of coloring the map is equivalent to the problem of coloring its graph.3. The problem of computing x(G) is in the class NP which we defined in § 2. It is easy to discover deterministically in polynomial time whether or not a graph is 2-colorable. A schedule of committee meetings is to be drawn up during a weekly period.2). Map coloring. Haken and Koch (1977)). the vertices can be partitioned into two classes. Calculating the chromatic number. In fact. the committees correspond to classes. 6. we form a graph G with vertices the committees. they get different colors. Garey.) 6. Each committee is to meet exactly once. pp. to use the terminology of § 3. and we insist only that if two countries have a common boundary. of course. unde some reasonable assumptions about maps.1. Appel. i. so that all edges in the graph go between classes. a famous question asked whether every map could be colored using four or fewer colors. Stockmeyer (1973) shows that the problem of determining whether a planar graph is 3-colorable is NP-complete (and hence. The smallest number of meeting times required is the chromatic number of the graph G. we wish to use a variety of colors to color the countries. but two committees with a common member cannot meet at the same time. so is the problem of determining ^(G)). they get different meeting times. . We wish to assign to each vertex (committee) a color (meeting time) so that if two vertices are joined by an edge (have a member in common). It is interesting to note how translation of a problem into a precise mathematical one can cast light on why the problem is difficult.2. Here. exactly the graphs which can be drawn in the plane without edges crossing. In general. and an edge between two committees if and only if their members overlap (this is the intersection graph of the committees. 400)). How many meeting times are required? To answer this question. Committee schedules. and joining two vertices with an edge if and only if the corresponding countries have a common boundary. it is not known whether there is a polynomial (deterministic) algorithm for computing \(G). for they correspond to coloring problems which are hard in a very precise way. We can translate a map into a graph by letting each country be represented by a vertex.4. A similar problem obviously arises in planning final examination schedules at a university..50 CHAPTER 6 6. For a graph is 2-colorable if and only if it is bipartite. In particular. which was recently answered in the affirmative (Appel and Haken (1977). as they are.2.e. it is a hard problem to calculate the chromatic number of a graph. These results show why such problems as routing of garbage trucks and scheduling of committee meetings are hard problems. Johnson and Stockmeyer (1976) have recently shown that even the problem of determining 3-colorability in planar graphs each of whose vertices has at most four adjacent vertices is NP-complete.3 can be used to find a polynomial deterministic algorithm for testing bipartiteness (Reingold. was equivalent to the question: could every graph which arises from a map be colored in four colors? (The graphs which arise from maps are called planar. 399.

D.1 (Konig (1936)). Z5. while it is not possible to calculate chromatic number of subsequent graphs by making only local searches. or indeed Zn. since every vertex of a clique must get a different color. (These graphs Zn are sometimes called odd holes. determination of chromatic number must be done over and over for a continually changing set of tours. If there were an odd length closed chain. v) be the length of the shortest chain between u and v. then every circuit must alternate between the two colors. x(Zs) — 3 while o>(Z5) = 2. It is also easy to see that x may be larger than cu. is not weakly y-perfect.) The term y-perfect arises from the fact that y(G) is sometimes used to denote the minimum number of independent sets which partition the vertices of G. In particular. Clique number. n odd and greater than 3. However. graphs representing some relation among members in a group. for example. A graph is 2-colorable if and only if it has no circuits of odd length. we have remarked earlier that the problem of finding the clique number is NP-hard. Conversely. the clique number w(G). the tour graph gets changed only locally.1. This makes it easy to calculate clique number for subsequent graphs from previous ones by making only local searches. we let d(u. 6. Since the set of tours is changed bit by bit. it is easier to calculate clique number than chromatic number. for otherwise. A similar argument shows that A and B are disjoint. within the contexts of certain algorithms. Proof. is an important procedure.1. and hence can only have even length.COLORABILITY 51 The following theorem characterizes 2-colorable graphs. Thus. we let Notice that u is in A. suppose every circuit of G is even. It is easy to see that x(G) =5 w(G). The vertices of a given color form the independent sets. If G is 2-colorable. If G is connected. If a graph is weakly y-perfect. The chromatic number is closely related to another number associated with a graph. For example. We may assume without loss of generality that G is connected. in procedures for solving the tour graph problem described in §6. we perform the 2-coloring separately on each component. For this reason. which is defined to be the size of the largest clique.3. The clique number arises in a number of applications. where finding cliques in sociograms. a shortest such would have to be an odd circuit. and hence they can form the two classes of vertices in a 2-coloring. Although on the surface this seems like an easier problem. THEOREM 6. Tucker (1973) suggests using clique number to . then there would be an odd length closed chain in G. A graph is called weakly y-perfect if \(G) = cu(G). It is easy to see that x(G) = y(G). The argument proceeds by showing that if there were such an edge. It is important in present day sociology. It is easy to show that there are no edges between vertices within class A or between vertices within class B. since d(u. Q. u) = 0. Picking an arbitrary u in V(G).E. then of course its chromatic number can be calculated from its clique number.

The concept of y-perfect is due to Berge (1961).4. we only need to identify circuits in a graph after local changes have been made in previous graphs. A graph G is y-perfect if and only if its complementary graph is y-perfect. However. . (1962). The procedure works only if there is a method of determining whether or not these two numbers are the same. Then. (1969). y-perfect graphs. We say that a graph is y-perfect if every generated subgraph is weakly y-perfect. can its complementary graph. Tucker's (1973) idea is to use the strong Berge conjecture to determine whether or not x(G) = o>(G). then G is y-perfect. This conjecture. but we shall see that a large class of graphs are y-perfect. the transitively orientable graphs. but which in fact cannot be so assigned. If the answer is affirmative. then one can use the improved local procedure for finding w(G) and use the result to calculate #(G). ] ( / — !)! circuits of length i). or weak perfect graph conjecture. The converse of this statement was suggested by the work of Berge (1963). The vertices a and c form an articulation set in the graph of Fig. (1967).2. and is called the strong Berge conjecture or the strong perfect graph conjecture. THEOREM 6. i.e. FIG. and neither. We shall sketch a proof that every rigid circuit graph is y-perfect. whether or not a given graph is weakly y-perfect. 6.. one would have found a counterexample to the Berge conjecture! Note: use of the Berge conjecture involves determining the existence of odd holes.52 CHAPTER 6 calculate chromatic number. a y-perfect graph cannot contain an odd hole as a generated subgraph. was proved by Lovasz. 6. We shall discuss such a method. There can be exponentially many circuits in a graph (consider Kn. It says that if neither G nor Gc contains an odd hole as a generated subgraph.2. known as the weak Berge conjecture. As Tucker points out.b)). Vertices a and c form an articulation set. Among the interesting classes of graphs which are y-perfect are the bipartite graphs. Since no odd hole is weakly y-perfect. which has I . and the rigid circuit graphs (and hence the interval graphs and indifference graphs). who conjectured that a graph G is y-perfect if and only if its complement is y-perfect. The notion of y-perfectness might seem rather restrictive. by Lovasz' result. A cutset or an articulation set in a connected graph G is a set of vertices U such that the subgraph generated by V(G)— U is disconnected. 6. the worst possible situation which could arise from the use of the Berge conjecture in sanitation scheduling is to obtain a set of tours which is supposedly assignable to the six days of the week.2 (Lovasz (1972a.

COLORABILITY

53

THEOREM 6.3 (Hajnal and Suranyi (1958)). In a connected rigid circuit graph G, every minimal articulation set is a clique. Proof. Let U be a minimal articulation set and H be the subgraph generated by V(G) — U. Then H has connected components KI, K2, • • • , Kp, with p = 2. Given u and v in U, we shall show they are joined by an edge in G. Now every vertex a in U has an edge to each Kh otherwise U — {a} would be an articulation set contained in U. Hence there must be x and y in Kl so that {u, x} and {v, y} are edges of G. Since KI is connected, there is a chain x\, x2, • • • , xr from x to y in K I . Thus, there is a chain u, x\, JC2, • • • , xr, v with xt, x2,---,xr in KI. Let C be such a chain of minimal length. Let C' be a similar minimal length chain «» yi, yi, • • • , ys, u with yi, y 2 , • • • , ys in K2. Then C followed by C' is a circuit in G. Since G is a rigid circuit graph, this cannot be a generated subgraph, and hence there must be some edge joining two vertices in this circuit. By minimality of C and C', there are no edges joining vertices on C except possibly u to v, and similarly for C'. Moreover, since KI and K2 are different components of H, there are no edges joining any xt to any y/. Thus, the only possible edge in this circuit is the edge {u, v}. Q.E.D. COROLLARY (Berge). Every rigid circuit graph G is y-perfect. Proof. It is sufficient to show that G is weakly y-perfect, since every generated subgraph of a rigid circuit graph is also rigid circuit. It is also sufficient to assume that G is connected. The proof is by induction on the number of vertices of G. The case where G has one vertex is trivial. Assume the result is true for graphs with fewer vertices than G. If G is complete, the result is trivial. If G is not complete, there is a pair of vertices a and b not joined by an edge, and so all remaining vertices form an articulation set. Let U be a minimal articulation set. Let KI, K2, • • • , Kp be the connected components in the subgraph generated by V(G) - U, and let d be the graph generated by vertices of U and Kt. Using the fact that U is a clique, one shows that *(G) = max x(&i) and w(G) = max w(G,). Since by inductive assumption x(Gt) = a}(Gi) for all i, ^(G) must equal w(G). Q.E.D. COROLLARY. Every interval graph is y-perfect. 6.5. Multicolorings. An n-tuple coloring of a graph G is an assignment of a set S(x) of n different colors to each vertex of G so that if (jc, y} is an edge of G, then S(x) and S(y) are disjoint. If U S(x) is a set of k elements, we say that the n-tuple coloring uses k colors. Given n, the smallest k so that G has an n-tuple coloring using k colors is called the n-chromatic number of G, and is denoted Xn(G). This notion has been studied by, among others, Clarke and Jamison (1976), Garey and Johnson (1976), Scott (1975), Stahl (1976), and Chvatal, Garey and Johnson (1976). To give an example, if Ip is the graph consisting of p isolated vertices, then xn(Ip) - n. For each vertex can receive the same set of n colors. If G is bipartite and has at least one edge, then Xn(G) = 2n, for each vertex in the same class can receive the same n colors, but the two vertices joined by an edge must receive disjoint sets of colors. To give one final example, Fig. 6.3 shows a 2-tuple coloring of Z5 using 5 colors.

54

CHAPTER 6

FIG. 6.3. A 2-tuple coloring of Z5 using 5 colors.

The idea of n-tuple coloring arises in the problem of assignment of mobile radio telephone frequencies, which we discussed in § 3.7. We start with a conflict graph whose vertices are zones and whose edges represent conflict between the zones. We wish to assign a band of frequencies B(i) to each zone / so that if there is an edge between i and y, then B(i) f l B ( j } = 0. In § 3.7, we thought of these bands as intervals or unions of intervals, and we restricted them to having a certain minimal length. If we think of them all as having the same length or sum of lengths, we may treat them as discrete sets, say of n integers. Then, an assignment of bands which does not cause conflicts corresponds to an n-tuple coloring of the conflict graph. For a further discussion, see Roberts (to appear). It is interesting to relate the n-chromatic number to the chromatic number. To do so, we follow Harary (1959b) and define a notion of lexicographic product G[H] of two graphs. The vertex set of this new graph is the Cartesian product V(G)x V(H), and there is an edge from (a, b) to (c, d) if and only if either (i) (a, c} is an edge of G or (ii) a = c and {b, d} is an edge of H. Figure 6.4 gives an example of a lexicographic product of two graphs. As Stahl (1976) observes,

FIG. 6.4. The lexicographic product of two graphs.

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It will be helpful to make several observations about G[H], some of which will be useful here and some of which will be useful in the next chapter. We shall use the notation a(G) for the size of the largest independent set of vertices in G. THEOREM 6.4.

Proof. Part 1) is easily verified from the definition and part 3) follows from parts 1) and 2) given the observation that for any graph F, a(F) = cu(Fc). To prove part 2), we observe that if K is a maximal clique in G and L is a maximal clique in H, then KxL is a clique in G[//], and so a)(G[H])^aj(G)<i)(H). Conversely, suppose C is a clique of G[H]. Let

Then if a ^ c belong to K, there are b and d so that (a, 6) and (c, d) belong to C. Since C is a clique, it follows that {a, c} is an edge of G. Hence, K is a clique of G. For each a in K, the number of times a pair of the form (a, x) occurs in C is at most a)(H}. Hence,

Finally, we prove part 4). We shall use the fact that x = 7 an^ show the result for y. Suppose 7 l5 /2, • • • , Ip and J\,Ji,---,Jq are independent sets which partition V(G) and V(ff) respectively, and so that p = y(G), q = y(H). Then the sets /„ x J^ are clearly independent in G[H] and partition V(G[H]). Q.E.D. Note that strict inequality may hold in part 4). It is easy to show, for example, that if G is Z5 and H is K2, then ^(G[//]) = 5, which is smaller than THEOREM 6.5. // G /s weakly y-perfect, then Xn(G} — nx(G). Proof. By Theorem 6.4, part 2),

By Theorem 6.4, part 4)

Since G is weakly y-perfect, x(G) = o)(G). Thus, (6.2) and (6.3) imply that

Since for any graph, x = w, the theorem follows from (6.1). COROLLARY. If G is weakly y-perfect, then so is G[Kn].

Q.E.D.

where [x] is the greatest integer less than or equal to x.5. in Chapter 7. Multichromatic number. we have Stahl (1976) defines an /7-tuple coloring of G with k colors to be efficient if A coloring is efficient if the ratio of the number of colors used to the number of colors used per vertex is as small as possible.5) is always reached.5. k/n = x*(G). Hilton. 6. the infimum in (6. It is clear that for an efficient coloring. is Z5. Clarke and Jamison (1976) show that there always is an efficient coloring. The next theorem follows from Theorem 6..6.56 CHAPTER 6 The first interesting graph which is not y-perfect. i. then x*(G) = x(G) and G has an efficient {-tuple coloring. and Scott (1973) define the multichromatic number x*(G) as follows: Of course. and hence for which the n-chromatic number is not covered by Theorem 6. We shall present an analogous result. THEOREM 6. .e.6. Rado. which has applications to coding problems.0/p]. Stahl (1976) shows that Xn(Z2p+i) is 2/i + 1 +[(n . // G is weakly y-perfect.

In communication theory. and e. a noisy channel consists of a transmission alphabet T. d}£ E(H). and e. The capacity of a noisy channel. y. even if b * d and {b. d] e £(//). and information about what letters of T can be received as what letters of R.1. 7. We 57 . /3. confusion is possible: a can be received as either a or /3. b as either /3 or y. a. Analogous to the lexicographic product defined in § 6. Unfortunately. 7. The vertices are the pairs in the Cartesian product V(G) x V(H).1 shows a normal product. b) and (c.5.) Figure 7.1.5 and of another number cal-ed the domination number.CHAPTER 7 Independence and Domination In this chapter. b. There is an edge between (a. d. To give an example.2. c}e E(G). (iii) b = dand{a. 7. we define the normal product G • H as follows. and <? as either e or a. Suppose G and H are graphs. suppose a transmitter can emit five signals. we shall discuss applications of the independence number defined briefly in § 6. c}eE(G). A receiver receives signals a. d) whenever {a. d as either 5 or e. d) if and only if one of the following holds: (i) {a. (ii) a = cand{fc. c. d}eE(H). c} e E(G) and {b. Notice that it differs from the lexicographic product because the lexicographic product allows edges between (a. These letters form the set T. c as either -y or 8. FIG. The normal product of two graphs. a receiving alphabet R. another term in use for this is strong product. The normal product. (The term normal product is used by Berge (1973). 6. b) and (c. because of the noise.

58 CHAPTER 7 may summarize this situation by a "receivable as" digraph D. Proof. b} of graph G.3.2. Given a fixed noisy channel. we would like to make errors impossible by choosing a set of signals which can be unambiguously received.3.2.3. This corresponds to choosing an independent set in the confusion graph G. i. 7. Every graph is the confusion graph of some noisy channel.D.2. A "receivable as" digraph. 7. Given a noisy channel. We can find such an alphabet by allowing . Corresponding to D is a confusion graph G. say a and c. FlG.E. the largest independent set consists of two vertices. 7.. whose vertices are elements of T and which has an edge between two letters of T if and only if they can be received as the same letter. and use these as an unambiguous code alphabet for sending messages.2 is shown in Fig. we might ask if it is possible to find a larger unambiguous code alphabet. 7. THEOREM 7. Confusion graph corresponding to digraph of Fig. (The reader might wish to compare the confusion graphs to the niche overlap graphs of Chapter 5.e. 7.1. 7. Q. Thus. 7. include a vertex jc« in the receiving alphabet and include arcs from a and b to xa in the "receivable as" digraph D. so that no signal in the set is confusable with another signal in the set. For every edge a = {a. The confusion graph corresponding to the digraph of Fig. as shown in Fig.) FIG. we may choose two such letters. In the graph G of Fig.

In general. that consisting of the strings aa. we have already observed that one independent set or unambiguous code alphabet in G • G may be found by using the strings aa. and /3/3. is inefficiency. We can draw a new confusion graph whose vertices are strings of length two from T. the new confusion graph is the normal product G • G. 7. (5y. none of which can be confused with any of the others. Proof. since the only possible strings aa can be received as are aa. aft.) If G is the confusion graph of Fig. if we consider strings of length k from the transmission alphabet of a fixed noisy channel. for the strings in this alphabet are longer. We shall study a(Gk). In general. strings aa and ac cannot be confused. pa. the confusion graph is the normal product Gk = G • G . two strings of letters from the transmission alphabet can be confused if and only if they can be received as the same string. and ed. In this sense. and consider strings of length two with the first element coming from the first transmission alphabet and the second element from the second transmission alphabet. If / and J are independent sets in G and H respectively. suppose we consider all possible ordered pairs of elements from T.. be. a(Gk)^a(G)k. we shall denote it a*(G) for reasons of comparison with earlier results. with k terms. and to consider the number The number a*(G) is called the capacity of the graph or the zero-error capacity of the channel. we let a(G) be the size of the largest independent set in G. while the only possible strings ac can be received as are ay.. ac. ac. ce.D. However. then the resulting confusion graph is the normal product of the two confusion graphs of the two channels. This graph has the following property: strings xy and uv can be confused if and only if one of the following holds: (i) x and u can be confused and y and v can be confused. LEMMA!. For example. (ii) x ~ u and y and v can be confused. and cc. and (38. then the code cannot be improved by using longer words. and if we send the first element of a string over the first channel and the second element over the second. . This observation led Shannon (1956) to compensate by considering the number k Va(G fc ) as a measure of the capacity of the channel to build an unambiguous code alphabet of strings of length /c. Q. However. (In general. then the Cartesian product / x / is independent in G • H. db. aa. If a*(G) — ot(G).INDEPENDENCE AND DOMINATION 59 combinations of letters from the transmission alphabet to form the code alphabet. ca. and hence a larger unambiguous code alphabet. and cc. or strings of two elements from T. We search for an independent set in Gk. if we have two noisy channels.E. ca. (iii) y = v and x and u can be confused. According to this lemma.3.. As before. and is usually denoted c(G) in the literature. a(G • H)^a(G)a(H}.. In terms of the original confusion graph G. aB. The cost of obtaining a larger independent set in Gk. G. Then we can find four such ordered pairs. there is a larger independent set.

Proof. L2. Ls are cliques partitioning V(H). • • • . By Lemmas 1. c] and {d. Note that in this example. each vertex must be in a different clique in any partition. a(G) = B(G).D.E. If G is weakly ex-perfect. that Meanwhile. 0(G • H) ^ 0(G)6(H). and 3.perfect if every generated subgraph of G is weakly a -perfect.4. Of course. e}.} is a set of cliques of G • H partitioning V(G • H).. 7. THEOREM 7. even the capacity of the graph G = Z5 which we discussed above was not known precisely until Lovasz (1977) showed that it equals Vs. a graph G is y-perfect if and only if its complement is y-perfect. Kr are cliques partitioning V(G) and LI. K2. Let 0(G) be the minimum number of (not necessarily dominant) cliques which partition V(G). Indeed. Now it is clear that . LEMMA 2.E. neither of which has been solved. 7. by Lovasz' theorem (Theorem 6.4. A general upper bound for capacity of an arbitrary graph is given by Rosenfeld (1967). If / is an independent set of G. • • • . as of this writing. Let us now observe that there are many examples of weakly a-perfect graphs. Suppose K\.2).60 CHAPTER 7 Computation of the capacity of a graph. For example. Then (K. in the graph of Fig.e. Q. i. FIG. We shall give some sufficient conditions for a*(G) to equal a(G). Proof. and determination of graphs whose capacity equals their independence number are both difficult problems. it is easy to give examples where a < 6. 2. then a*(G) = a(G). c(Z7) remains unknown.D. For.2 (Shannon (1956)). The graph Z5 has a — 2 while 6 = 3 (two edges and a single vertex are required). 0(G) — 2 and two cliques which suffice are {a. Q. We shall call a graph G weakly a -perfect if a(G) = 0(G) and a. x L. b. LEMMA 3. Since G is weakly a-perfect.E. A graph with 9(G) = 2.D. We shall show that the condition a = B is sufficient for the conclusion that a* = a. Proof. the first and last terms are equal. Q.

We should also note that Theorem 7. Hence. have a* -a.5. This is the situation called linear noise. Proof. then.INDEPENDENCE AND DOMINATION 61 Moreover. Q.5.6) which says that if G is weakly y-perfect. and ed in G • G . G is a -perfect if and only if G is -y-perfect. Channels with interval graph confusion graphs arise when a signal is determined by its modulation frequency and two signals are confusable if and only if their corresponding intervals overlap. Let Then / is independent in G • Gc. In particular.D. ce. Z5 is an example of such a graph. we conclude that all rigid circuit graphs. then a(G2) ^ | V(G)\. the independent set / of the proof of Lemma 4 corresponds to the independent set aa. in particular interval graphs. LEMMA 4. We follow Rosenfeld (1970).2 is analogous to the result (Theorem 6. 7. there is an independent set in G2 of at least |/| elements. cannot be improved by using longer strings. for the chromatic number is the smallest number of independent sets which partition the vertices of a graph. Since G • G is isomorphic to G • Gc. there is a graph Gk so that a*(Gk) = ka(Gk). be. Z5 is self-complemented. with the isomorphism from Z5 to ZC5 given by a -> a. capacity can be arbitrarily larger than the largest independent set.complemented if G is isomorphic to Gc. We conclude this section by showing that for every positive number k. if noise is linear. being y-perfect. A graph G is said to be self. then #*(G) = *(G). as Berge (1973) points out.E. // G is self-complemented. b -» c. Thus. a code cannot be improved by using longer strings. 7. FIG. channels whose confusion graphs are rigid circuit graphs. e -> d. and hence all interval graphs. ^b. The isomorphism is shown in Fig. db. c -» e. It follows from Lovasz' theorem that for every graph G. Thus. It is interesting to note that for Z5.

there is a graph Gk so that 7. Dominating sets.4. To give an example. part 1). for example. Before returning to independent sets. let us consider another type of set. Gfc is self-complemented.3. Let D be a digraph. 7. the set {a. by Lemma 4. c j .4.6. This independent set is exactly the one w identified earlier. A set B of vertices is called a dominating set if whenever x is not in B. Now let GO be a self-complemented graph with a(G0)~<\V(Go)\ = n. where the lexicographic product is taken m times.j> a dominating set and a stable set.5. Proof. 7. there is an m >0 so that and hence Let Gfc = GO[GO[GO • • •]]. By Theorem 6.D.6. By Lemma 5. there is some y in B so that (y.3 (Rosenfeld (1970)). then G[H] is self-complemented. G0 = Z5.62 CHAPTER 7 under the isomorphism of Fig. Now Thus. x) is an arc of D. The next lemma concerns the lexicographic product G[H] defined in § 6. Use Theorem 6. For every k>0.5 LEMMA 5. 7. Q. The set [a. If G and H are self-complemented. Hence. we have proven THEOREM 7. Th domination number of a digraph is the size of the smallest dominating set FIG. c} is a dominating set.E. . Given k. part 3). in the digraph of Fig.

7. The former problem might be important if the vertices are locations in a city and the fe-cover we seek is a set of locations in which to put emergency services such as police stations or fire stations. How can we determine a set of locations in which to place the radar stations? We draw a digraph D with vertex set the locations in question. Stable sets were introduced into the theory of games by von Neumann and Morgenstefn (1944). We draw an arc from x to y if it is possible to observe y from a radar station at x. How many guards are needed to observe all of the warning lights. we are searching for a dominating set. as Liu (1968) points out. Let each member of the group designate that individual who he feels best understands his needs and would best represent his views. A similar problem arises in nuclear power plants. or a k-cover.4. The latter problem is clearly of importance in modifications of the radar station and nuclear power plant observation problems. A number of strategic locations are to be kept under observation. and we wish to find such a set of minimum size. Suppose a group is trying to form a responsive committee to represent it. where they were used to define possible solutions to a .INDEPENDENCE AND DOMINATION 63 Dominating sets arise in a number of related problems. we might have a designated subset 5 of V(D). The notion of independent set makes sense for a digraph as well as a graph: a set of vertices in a digraph D is called independent if there is no arc joining any two vertices in the set. However. An acceptable set of locations in which to place radar stations corresponds to a dominating set in this digraph. then {jc} is a 2-dominating set in the digraph which has an arc from player a to player b if a beats b. (due to Landau (1955)) says that if * is a winner of a round-robin tournament. it is desired to put radar for the observation process at as few of these locations as possible. A famous result about tournaments. c} in the digraph of Fig.6 is an example of a stable set. For example. Here. Or. a set C of vertices in a digraph D so that every vertex of D can be reached by a path of length at most k from a vertex of C. Again. and we want to set up transmitting stations at some of the cities so that every city can receive a message from at least one of the transmitting stations. a player having a maximum number of victories. we might be willing to find a k-dominating set. dominating sets have an interesting application in voting situations. suppose we have communication links in existence between cities. Then a minimum dominating set would make a representative committee. Let the group members be vertices of a digraph and draw an arc from vertex x to vertex y if x was designated by y. and we draw an arc from location x to location y if it is possible for a watchman stationed at x to observe a warning light located at y. and where should they be located? The answer again corresponds to a minimum dominating set. The set {a. Berge (1973) talks about the problem of locating radar stations. Finally. Similarly. A set of vertices which is at the same time an independent set and a dominating set is called a stable set or a kernel of the digraph. Stable sets. we have various locations. and search for a set of vertices which dominates every vertex of S. as pointed out by Harary. The notion of dominating set can be modified in various ways. Norman and Cartwright (1965). 7.

Norman and Cartwright (1965)).5. but has sufficient power to make its preference effective (this term is defined more precisely in game theory).6 (von Neumann and Morgenstern (1944)). Unfortunately. then the sets {a.64 CHAPTER 7 game. there has been considerable interest in studying the existence and uniqueness of stable sets. c. In particular. Then von Neumann and Morgenstern seek a set of outcomes which has the properties that no outcome in the set is effectively preferred to any other outcome in the set (independence) and that for every outcome y not in the set there is an outcome x in the set so that x is effectively preferred to y (domination).7 (Harary. 7. d. THEOREM 7. deterrence.d}. Every stable set is a maximal independent set and a minimal dominating set. If the graph G of Fig. thus illustrating Theorem 7. and which has the property that no book in the set refers to any other book in the set.4 and 7. The digraph of Fig.6. For example. Every symmetric digraph has a stable set. b. disarmament. in the economic marketplace. This illustrates Theorems 7. To illustrate some of these results. and we draw an arc from vertex x to vertex y if and only if some group of players effectively prefers x to y. a cycle of length 3 does not have such a set. 7. A stable set in this digraph corresponds to a set of books from which it is possible to branch out to all other books in the library. Every digraph with no odd cycles has a stable set. THEOREM 7. not every digraph has a stable set.6 illustrates Theorem 7. Other digraphs. and include an arc from book x to book y if x refers to y. These are also all the stable sets. Modern-day game theorists apply stable sets as "solutions" to games representing bargaining situations such as in voting. and in international relations (oil cartels. and {c} are the maximal independent sets.6. i.4. not only prefers x to y. It is clearly a maximal independent set and a minimal dominating set. c} and {b. Draw a digraph which has as vertex set the books in the system.. let us note that the set {a. We shall state some results here. {b. {b. e}. have more than one stable set. such as that of Fig. THEOREM 7. 7.2. 7.e.4 is considered a symmetric digraph. Liu (1968) points out that stable sets are also of interest in cross-referencing in computerized automatic library systems. suppose the vertices of a digraph represent possible outcomes of a game. . the sets {a. See also Roberts (1976a) for a discussion of stable sets and their applications to game theory. and in such a digraph a set is stable if and only if it is a maximal independent set. etc.5. THEOREM 7. d}. Every acyclic digraph has a unique stable set. Every strongly connected digraph D consisting of more than one vertex and having no odd cycles has at least two stable sets. following Berge (1973) for those theorems for which credit is not given. for there are two stable sets. e] is the unique stable set in the digraph of Fig.8 (Richardson (1946)). d}.). Thus. THEOREM 7.7.

b.e.2. If a multidigraph has an eulerian closed path. b.2 has an eulerian chain a. but no eulerian closed chain since vertices a and d have odd degree. i.1 illustrates this theorem. c. If a multigraph has an eulerian closed chain. We abbreviate these notions by od and id respectively. We still define a chain or path as eulerian if it goes through each edge or arc once and only once. THEOREM 8. To illustrate this theorem. each vertex is reachable from each other vertex. Loops will also be allowed. path. Every vertex of the multigraph G has even degree.1. It will be useful in this chapter to allow a graph or digraph to have more than one edge or arc between vertices. then it must be connected up to isolated vertices. A multidigraph D has an eulerian closed path if 65 . In today's world. If D is a multidigraph the outdegree and indegree of a vertex are defined to be the number of outgoing and incoming arcs respectively.1 Existence theorems. going over each once and only once. A multigraph G has an eulerian chain if and only if G is connected up to isolated vertices and the number of vertices of odd degree is either 0 or 2. In the course of showing this was impossible. a. Moreover.1. Figure 8. b. since an eulerian closed chain must leave every 'vertex as often as it enters. c. An eulerian closed chain is the following: a. untangling genetic information. which asked whether the townspeople in Konigsberg could traverse a series of bridges. and designing telecommunications systems.3 (Good (1947)). c. b. THEOREM 8. Eulerian chains arose from the Konigsberg bridge problem. d. and returning to the starting point. d. a as a circuit). e. We shall investigate these applications in this chapter. For a proof of Theorem 8.CHAPTER 8 Applications of Eulerian Chains and Paths 8. the notions of eulerian chain and path are applied to such problems as routing street-sweeping and snowremoval vehicles. The notions of chain. each vertex must have even degree. see for example Harary (1969). where the degree of a vertex is the number of edges joining it. are unchanged (though the definition now sometimes allows a. d. A multigraph G has an eulerian closed chain if and only if G is connected up to isolated vertices and every vertex has even degree. Euler produced techniques which gave birth to graph theory.. note that the multigraph of Fig. We shall use the terms multigraph and multidigraph to make it clear that multiple edges and arcs are allowed. d. A chain (path) in a graph G (digraph £>) is called eulerian if it uses every edge of G (arc of D) once and only once. THEOREM 8. if direction is disregarded. c. /. a. it must up to isolated vertices be weakly connected. a. etc. 8.

Let xt be the number of units of the commodity at warehouse i and yy be the number of units of the commodity required at market /. and so loops make no difference as to existence of eulerian chains. closed chains. THEOREM 8. but simply refer the reader to such texts as Hillier and Lieberman (1974) or Wagner (1975). paths. the indegree equals the outdegree. Notice that since the sum of the indegrees equals the sum of the outdegrees.66 CHAPTER 8 and only if D is weakly connected up to isolated vertices and for every vertex. Note that these theorems hold if there are loops. and closed paths. Let there be a certain number of warehouses and a certain number of markets. Determine how much of the stock at each warehouse should be shipped to each market so as to minimize the total transportation cost.1. FIG. and for at most two vertices. In the next section. A multidigraph D has an eulerian path if and only if D is weakly connected up to isolated vertices and for all vertices with the possible exception of two. Let a^ be the cost of transporting one unit of a commodity from warehouse / to market /. The following problem arises in a variety of applications.4 (Good (1947)). 8. The second multidigraph does not have an eulerian path because there are four vertices where the indegree and outdegree differ by one. while the other has id = od. We shall not present any such algorithm here. we shall show how to make use of algorithms for solving the transportation problem in finding certain kinds of eulerian closed paths. 8.2. A multigraph with an eulerian closed chain. and one will have id = od+ 1. it follows from Theorem 8. 8. This problem has been extensively studied. the indegree equals the outdegree.4 that if there is one exceptional vertex. . The first multidigraph of Fig. and is called the transportation problem. We shall refer to it in applications of eulerian paths. there will be two.3 does not have an eulerian path since there are vertices where the indegree and outdegree differ by two. and there are very practical algorithms for its solution. The transportation problem. the indegree and outdegree differ by one.1. A loop will contribute indegree and outdegree of 1 to the given vertex.

we shall draw a multidigraph. Our discussion follows Tucker and Bodin (1976). to correspond to the streets of a city. A muhigraph with an eulerian chain but no eulerian closed chain.3. 8.APPLICATIONS OF EULERIAN CHAINS AND PATHS 67 FIG. 8. This subgraph is called the sweep subgraph. certain curbs are kept free of parked cars in order to allow for street sweeping. We shall show how the notion of eulerian closed path enters into the determination of optimal routes for street-sweepers and snow-removers. and the arcs correspond to curbs. We shall speak in the language of street-sweeping for concreteness. We obtain a multidigraph because in a one-way street.2. In general. The curbs which are free during a given period of time define a subgraph (subdigraph) of the curb multidigraph. For a similar discussion. with examples from the city of Zurich. Street-sweeping. The vertices are street corners. FIG. 8. the curb multidigraph. etc.3. snow-removal. Now in any given period of the day in large cities such as New York. the so-called deadheading time. there are two curbs which can only be swept by going in the same direction along the street. Two multidigraphs without eulerian paths. there is an arc from street corner x to street corner y if there is a curb which can be traveled along from x to y. see Liebling (1970). Millions of dollars are spent each year by municipalities in performing services such as street-sweeping. Thus. one giving the amount of time required to sweep the corresponding curb and the other giving the amount of time required to follow along the arc without sweeping. Each arc of this multidigraph has two numbers associated with it. (It is an interesting question in its own right to determine how to choose these .

The sweeping time is shown in a circle next to each arc.4 gives an example of a curb multidigraph. with solid arcs representing the sweep subgraph. 8.68 CHAPTER 8 subgraphs so as to save money on street sweeping.)1 FIG. These delays can be introduced by defining a system of penalties for turns and other delays as well as for time spent sweeping or deadheading. A curb multidigraph. we seek a closed path in the curb multidigraph. and the deadheading time in a square. Our discussion omits time delays associated with turns—some turns may take longer tha others—and other delays. Figure 8. Thus. See Tucker and Bodin (1976) for details. (We show sweeping times only for solid arcs. sweeping times given in circles. We wish to start out from a garage and return to there. 16 .4. and after that the deadheading time is used. The time associated with this path is the sum of the sweeping times over arcs swept plus the sum of the deadheading times over arcs traversed but not swept. we shall not discuss that problem. the other arcs as dashed. Also shown are the degrees of vertices in the sweep subgraph and the transportation problem whose solution gives rise to an optimal eulerian path.) We would like to find a way of sweeping every curb in the sweep subgraph and completing the job in the shortest possible time. The arcs in the designated subgraph to be swept are shown as solid arcs. However. it is considered to be swept the first time (if it is swept at all). and deadheading times given in squares. If an arc is used several times in the path.

5. d. e. a. The arcs added (deadheading arcs) are dashed. In our example.APPLICATIONS OF EULERIAN CHAINS AND PATHS 69 FIG. e. 8.4 the closed path /. To give an example. b. We would like to add arcs to the sweep subgraph so that in the resulting multidigraph.5.4) are unequal in the sweep subgraph. b. The added arcs may be arcs in the curb multidigraph not in the sweep subgraph. Hence. Any closed path of the curb multidigraph which uses each arc of the sweep subgraph at least once can be looked at as obtained from the sweep subgraph by adding arcs to obtain a multidigraph with an eulerian closed path. 8. Tucker and Bodin .4 by adding paths corresponding to the solution of the transportation problem. 8. /. A multidigraph obtained from the sweep subgraph of Fig. 8. A given arc may be added more than once.6. 8. there are four vertices where the indegrees and outdegrees (shown in Fig. d.4. a. We would also like to do this so that the sum of the deadheading times on the arcs added is minimized. A multidigraph with an eulerian closed path obtained by adding dashed arcs to the sweep subgraph of Fig. c. This corresponds to an eulerian closed path in the multidigraph shown in Fig. consider in Fig. The problem is to handle the situation where there is no such path. Notice that if there is an eulerian closed path in the sweep subgraph. 8. or arcs in the sweep subgraph which are used again. there is no eulerian closed path. then that closed path must be an optimal solution. c. 8. every vertex has outdegree equal to indegree. /. FIG.

The deadheading arcs which need to be added to obtain an optimal street-sweeping route correspond to the solution to this transportation problem in the sense that if 6. then the shortest path from i to / is included 6iy times. One such chain is CUACUAC. This can be done in I 1 ways. In general. obtaining the multidigraph of Fig. For example. for market / is d(j). the degrees d(i) are shown in Fig.7 units of commodity are shipped from / to / in the solution. of commodity at warehouse / is \d(i}\ and the amount y. we have such chains.5. and d.70 CHAPTER 8 (1976) show that the problem can be solved as follows. /. b. The. e. c. An eulerian closed path in this multidigraph is the path a. each link of which is one of four possible chemical compounds: Thymine (T). one from d to e. 8. RNA is a messenger molecule whose links are defined from DNA. We choose 2 of the remaining 4 /4\ positions for U. we use the remaining positions for A. this sum is 24. and Guanine (G). where length of path is taken to mean the sum of the deadheading times on the path. Finally. e. Adenine (A). and yy. in the eulerian closed path of Fig. The corresponding shortest paths are b. fc2 U's. with deadheading arcs indicated using dashed lines. e. An optimal solution is to send one unit of commodity from b to c. d. 8. b.) and the amounts jc. By way of comparison. a. . Let d(i) be the outdegree of vertex i in the sweep subgraph minus the indegree of / in this subgraph. b. and k4 G's is given by This can be quite a large number of chains. and one from d to c. The possible bases are the same except that the base Uracil (U) replaces the base Thymine. The transportation cost ati is the length of the shortest path in the curb multidigraph from i to /'. A sequence of bases encodes certain genetic information. We have seven positions. e. This can be done in ( j ways. In our example. as are the matrix (ai.6. d.4. The warehouses are the vertices of the sweep subgraph with negative d ( i ) and the markets are the vertices with positive d(i}. c. amount jc. DNA is the basic building block of inheritance. e. 2 U's and 2 A's is obtained as follows. Cytosine (C). Hence we add each path once. The sum of the deadheading times on the deadheading arcs in this path is 10.4. b. and we choose 3 of these for C. Formulate a transportation problem as follows. It is an elementary problem of combinatorics to count the number of possible RNA chains with certain link makeup. c. d. the number of chains with ki C's. DNA is a chain consisting of bases. Altogether. RNA chains. 8. c. the number of such chains with 3 C's. & 3 A's. 8.

since we can pick out which fragment came last. C: C. C. Let us illustrate the procedure by starting with an example of an unknown RNA chain. knowing either the U. GGAC. For example. AC. In fact. G. there are fewer chains with these G fragments. C enzymes. There are now only 3!/2! = 3 possible ways to order these beginning fragments and hence only 3 possible chains with the given G fragments: GAUGGACC GGAUGACC AUGGGACC. neither of which appear among the given U. The fragment ACC could be a G fragment only if it ended up the chain. the chain can only start with the three G fragments G. we find the following fragments: G: AUCG. AUG. C enzymes leads to the following fragments: G: G. Thus. C fragments. if we don't know the order in which the fragments occur? The answer is that there are 3! such chains. GGAGU. G. How many RNA chains are there with the given U. For the second has GGAU as a U. C.1). GAU.APPLICATIONS OF EULERIAN CHAINS AND PATHS 71 Sometimes we can learn much more about what an RNA chain looks like by considering the break-up of the chain after certain enzymes are applied. it is easy to check that only the first has the proper U. there are not 4! distinguishable chains with the given fragments. C fragment and the third has AU. AUG. However. Of the possible chains we have identified as having the proper G fragments. The number of chains with these fragments is therefore 41/21— 12. Some enzymes break up an RNA chain after each G link and others break up the chain after each U link and each C link. C fragments. we know both sets of fragments. . CCG. Thus. for the fragments may occur in any order. UAC U. Thus we have been able to uncover the original RNA chain from all 1680 chains with the given link makeup by applyin appropriate enzymes. We shall see how to perform this procedure using eulerian closed paths in a certain multidigraph. Applying (8. suppose we have the chain GAUGGACC. C fragments or the G fragments significantly lowers the number of possible chains. As for the G fragments. Digest by the G and U. and G. we see that there are 8!/(2!l!2!3!) = 1680 chains with the sam link makeup. AG. Our discussion will follow Mosimann (1968) and Hutchinson (1969). C. since there are two indistinguishable fragments. Suppose after application of the G and U. ACC U. C fragments. C: GAU.

or C. namely C and AC. Note that the last two interior extended bases come from the fragment GGAGU. We label this arc differently.7 illustrates this procedure. and Y is the first extended base in the chain. In our example. AG. Each piece is called an extended base. For example. U. after each G. For example. AG Fragments consisting of one extended base: G. AC is the last extended base of the abnormal G fragment UAC. we label the arc from U to C by UAC*C. G. namely UAC—and drawing an arc from the first extended base in this abnormal fragment to the first extended base in the chain. the fragment AUCG gets broken into AU • C • G. C fragments can now be identified from this multidigraph. By using the corresponding arc labeling. C. Figure 8. For example. one giving all interior extended bases of all fragments of both digests. This arc is obtained by identifying the longest abnormal fragment—here there is just one. Hence. we observe that there are two bases on the second list which are not on the first. we use the first and last extended bases of the fragment as vertices and we draw an arc from the first to the last. Whenever there is a normal fragment with more than one extended base. by marking it X* Y. it will be the last extended base of a G fragment not ending in G or a U. The reader can check that this chain has the proper G and U. we would put two arcs from vertex AU to vertex G. we obtain the chain CCGAUCGGAGUAC. C. if there were fragments AUCG and AUAUG. We obtain the following: Interior extended bases: C. and one giving all fragments consisting of one extended base. C fragments. one labeled with each fragment. Here. Moreover. We now build a multidigraph as follows. the only such eulerian closed path goes from C to G to AU to G to U to C. in our example. we know that the chain begins in C and ends in AC.72 CHAPTER 8 Let us begin by further breaking down each fragment. How do we tell which is last? The answer is that one of these will always be from an abnormal fragment. By comparing our two lists. We will first see how to discover both the beginning and end of the chain. Hence. Each such chain corresponds to an eulerian closed path which ends with the special fragment X* Y. We make two lists. we add one additional arc to this multidigraph. AC. Notice that there might be several arcs from a given extended base to another if there are several fragments beginning and ending with the given extended bases. * is a symbol marking this as a special fragment. Finally. This will always be the case. . In this case. where X is the longest abnormal fragment. we have included an arc from AU to G labeled with the name of the corresponding fragment AUCG. C. namely. and all but the first and last extended bases are called interior extended bases. C fragment not ending in U or C. labeled with the name of the corresponding fragment. Every possible RNA chain with the given C and U. it is not hard to prove that one of these will be the first extended base of the RNA chain and the other will be the last. C. we add an arc from U to C.

i. times and with / followed by j vtj times'? If so. it opens up the possibility of grave danger from the creation of potentially harmful individuals of previously unknown genetic makeup. To give a second example. A multidigraph from a complete digest by G and U. They then ask the following question: given nonnegative integers u.. et al. v2 = v^ = 1 and vtj is given by the following matrix Then one word which has the prescribed pattern is ABC4. (1966).APPLICATIONS OF EULERIAN CHAINS AND PATHS 73 Notice that we are not claiming that there is a unique eulerian closed path in the multidigraph. mostly from an algebraic point of view. Indeed. i. More on eulerian closed paths. • • • . with bases (not extended bases) as the letters. To give an example..e. the frequency with which one letter follows a second.7. i. and coding. see for. n. They make the simplifying assumption that all of the information is carried only in the number of letters of each type and in the frequency of ordered pairs of letters. it is easy to give examples of RNA chains with ambiguous digests. For further information on the theory of digests by enzymes. C enzymes. suppose v\ = 2.5. can a word be made from an alphabet of n letters with the rth letter occurring t>. Techniques of the type discussed above allow for the possibility of identifying all potential recombinants after a given enzyme break-up. FIG. 2. This work on recombinant DNA opens up great possibilities such as in the production of insulin.example Mosimann. so that it is impossible to recover the chain uniquely from its G and U. e. if A corresponds to the first letter. C fragments. B to the second. We follow Hutchinson and Wilf's solution. 8. what are all such words? This question is of general interest in the construction of codes. / = 1. 8. . or that there is a unique RNA chain with the given G and U. It should be remarked that current work of great societal import is based on the idea of breaking up DNA chains with enzymes and splicing together fragments from different species. DNA.e.. from humans and bacteria. and C to the third. However.g. Hutchinson and Wilf (1975) treat a DNA or RNA molecule as a word. t>iy-.. C fragments.

2). Aitt is a solution word. Let us suppose w = A(I.9. We consider first the case where i\^iq. The multidigraphs corresponding to the matrices of (8. We also have a consistency condition.q. then D must be weakly connected up to isolated vertices. using 8 to be the Kronecker delta.8. An.74 CHAPTER 8 suppose One word which has the prescribed pattern is BBCBACBAC. 8. Then it is clear that w corresponds to an eulerian path in the multidigraph D which begins at A. 8. • • • .9 respectively. Multidigraph corresponding to (8. except in two places where they are off by one in the indicated manner. It follows that if there is a solution word.iq. For / = /i.3) are shown in Figs. and with vtj arcs from A. which relates the vt to the u iy : FlG. FIG.. A2. we have This condition says that in the matrix (u^). For every i^i\. . we have indegree at A. to Af. Thus.8 and 8.2) and (8. Multidigraph corresponding to (8. we have outdegree one higher than indegree and for / = iq.2. 8. let us draw a multidigraph D with vertices the n letters AI.t and ends at A. the row sums equal the corresponding column sums. Loops are allowed. equal to outdegree. we have indegree one higher than outdegree. A. To analyze our problem.3). • • . It is easy to see this for the two solution words we have given for our two examples.

ii^iq. conditions (8. In sum. each giving rise to a solution word.. Moreover. then the pattern of conducting and nonconducting material will be so chosen that the pattern of activated and nonactivated terminals will tell us the position of the drum. i\ ^ iq. i. we wish to arrange 2" O's and 1's around a circle so that every sequence of n consecutive digits is different.r This is the situation in our first example with /i = 1. More generally. If we are clever.e. A terminal will be activated if it adjoins a sector with conducting material. suppose D is weakly connected up to isolated vertices. The vertices are strings of O's and 1's of length n — \. Let each sector receive a 1 or a 0. Telecommunications.6) holds and (8. if i\ = iql Then there is an eulerian closed path. (8. (8. 8. then there is a solution and all solution words correspond to eulerian closed paths beginning and ending at Atl.4) holds for i\ and some iq. or for /i and some iq. There is an arc from string ' ' fln-i to the two strings #2^3' • ' #n-iO and #2^3 ' ' ' #n-il. and every solution word corresponds to an eulerian path which begins in Ait and ends in Aift. Place three terminals adjacent to the drum so that in any position of the drum.5) hold for some /i and /«.6) says that in (t>iy).6) holds. If (8. A rotating drum has 8 different sectors. as shown in Fig.4) and (8. either (8.. and D is weakly connected up to isolated vertices. and if D is weakly connected up to isolated vertices.5) holds for ij. The following problem arises in telecommunications. then D is weakly connected up to isolated vertices and (8. We can reformulate this as follows. We wish to arrange 8 O's and 1 's around a circle so that every sequence of three consecu tive digits is different.5) holds for some i\ and (8. Condition (8.4) holds. There are a number of eulerian paths from B . that if conditions (8. iq = 3. using Theorem 8. The question is: can we tell the position of the drum without looking at it? One approach is by putting conducting material in some of the sectors and nonconducting material in others of the sectors.4. What if the solution word begins and ends in the same letter. In our second example. 8. every row sum equals its corresponding column sum. We follow that discussion. let us define a digraph D as follows. i\ ^ iq.APPLICATIONS OF EULERIAN CHAINS AND PATHS 75 It is easy to see.5) holds for /i. Conversely.6) holds. the terminals adjoin three consecutive sectors. if (8.6.4) and (8. Conversely. how? To see the solution.5) holds for some /i. A second example is BACBBCBAC. Can this be done? If so. then there is a solution and every solution word corresponds to an eulerian closed path in the multidigraph D.Label each . then there is a solution word. If (8.10. and is discussed in Liu (1968). and we have Also.5) holds for some i\ and (8.Afl to C = Ai(t. then there is a solution and all solution words correspond to eulerian paths beginning at Aiv and ending at Aifi. if there is a solution word.5) hold with /\ = 2. beginning and ending at A.

76

CHAPTER 8

FIG. 8.10. A rotating drum with 8 sectors and 3 adjacent terminals.

FIG. 8.11. Digraph for solution of rotating drum problem.

FIG. 8.12. Arrangement of O's and I's which solves the rotating drum problem.

APPLICATIONS OF EULERIAN CHAINS AND PATHS

77

arc with the new digit added. The resulting digraph with n = 3 is shown in Fig. 8.11. It is easy to see that every vertex of the digraph D has indegree equal to outdegree, and hence there is an eulerian closed path. Any such path gives the desired solution, if we use the sequence of arc labels. In our example, one such eulerian closed path is 00 to 00 to 01 to 11 to 11 to 10 to 01 to 10 to 00. The corresponding arrangement of arc labels is 01110100. If we arrange these around a circle as shown in Fig. 8.12, the following sequences of consecutive digits occur going counterclockwise beginning from the arrow: Oil, 111, 110, 101, 010, 100, 000, 001. These are all distinct, as desired. Thus, each position of the drum can be uniquely encoded.

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race. and the + indicates one of the relationships. For example. Let us for the sake of discussion deal with the concrete relation liking/disliking and let us assume that it is symmetric. Such a digraph is sometimes called a sociogram. b likes both a and c. In this chapter. and so on. for example likes/dislikes. work without tension. in a group of type II. but a and c dislike each other. it has been observed that groups of types I and III tend to work well together.1. The theory of balance. or by using signs to distinguish them.CHAPTER 9 Balance Theory and Social Inequalities We shall turn in the remainder of these notes to applications of signed and weighted graphs and digraphs. which is a forerunner for much of the work on social interaction. and in which there is an arc from vertex x to vertex y if x is in some relation to y. x chooses y for a business partner. by replacing a sign + or . Then.1. We shall sometimes consider signed graphs or digraphs as special cases of weighted graphs or digraphs. we shall associate a sign with a chain or path. 9.if they are disliking. 79 . The possible signed graphs if there are three individuals all of whom have strong feelings toward each other are shown in Fig. etc. We obtain a signed digraph. and so on that leads to inequalities in social interaction? We shall begin with the theory of balance. education. 9. x associates with y. The sign will be + if the number of . associates with/avoids. One main thrust of the work is the attempt to understand social inequalities. for example. A graph or digraph is signed if there is a sign (+ or -) on each edge or arc. Groups of types II and IV do not. For example. while the — indicates the other relationship. the positive one. and so on. we shall consider some problems of interest to social scientists. A great deal of work in twentieth century sociology has concerned itself with the behavior of small groups of individuals. if x likes y. a . What is it about such characteristics as sex. In that case. and put a + if these feelings are liking. Going back to the work of Heider (1946). so that we can summarize the information in a signed graph. It is called weighted if there is a real number on each edge or arc. Perhaps the simplest approach to studying such a group is to draw a digraph in which the individuals are the vertices.by a weight + 1 or -1. we can include two different relations in one digraph by using two different kinds of arc. In a signed graph or digraph. Many of the relationships of interest have natural opposites. and — otherwise. occupation. and would like to cooperate with them. we might let an arc from jc to y mean that x has strong feelings toward y. the presence of an arc means that one of the relationships is present.signs on the chain or path is even.

For every circuit must begin in one of the classes and end there. b.signs) while the latter form circuits of negative sign. The possible signed graphs if there are 3 individuals all of whom have strong feelings toward each other. while groups of types II and IV do not.1. 9. We may obtain Konig's theorem from Harary's by taking all edges to be — . This observation led Cartwright and Harary (1956) to suggest calling a signed graph and hence its underlying group of individuals balanced if every circuit was positive. which says that a graph is bipartite if and only if it has no odd circuits. Sociologists have used the imprecise term balance to describe groups which work well together. where . it has been applied to the study of international relations.1 can be considered a generalization of Konig's theorem (Theorem 6. 9. where a and b like each other. A signed graph is balanced if and only if the vertices can be partitioned into two classes so that every edge joining vertices within a class is + and every edge joining vertices between classes is —. One shows without loss of generality that the signed graph is connected. the signed graph of Fig. The following theorem characterizes balanced signed graphs. and each of these has exactly two — signs. d. c.2 are {a. lack tension. groups of types I and III tend to be balanced. In general. But what about groups whose signed graphs are more complicated? The signed graphs of types I and III can be distinguished from those of types II and IV because the former form circuits of positive sign (an even number of . e. In this sense. b'. They are perfectly content to let c work on his own. Balance theory has been applied to a variety of problems outside of sociology. a. d.2 is balanced. work well together. This causes tension. etc. the reader is referred to Taylor (1970). and hence only an even number of — signs. d.1 (Harary (1954)). Then. one defines one class to be all the vertices joined to u by a positive chain. For a discussion of tests of this theory. we observe that two classes which provide such a partition for the signed graph of Fig. b. e. and so on. 9. The same kind of tension does not appear in a group of type III. b. and c is quite satisfied with this arrangement.1). To illustrate this theorem. and the other class to be all remaining vertices. and both dislike c. choosing a vertex u at random. Theorem 9. for the circuits are a. /. THEOREM 9. e}. d. c. a. /} and {b.80 CHAPTER 9 FIG. and a. d. The converse is also easy to prove. and so has only an even number of crossings between classes. In particular. The balance hypothesis is exactly what is needed to prove that this partition has the desired properties. The theory of balance suggests that groups with balanced signed graphs will exhibit lack of tension. It is easy to see why the existence of such a partition implies balance. c.

2. (c. in Fig. Thus. +1 . u2. in a semipath. • • • . arcs may be traversed in either direction. • ' • . but c dislikes b. and at is the arc (w. the tension will be resolved by changing a sign of a major relationship to obtain balance. and would like to work with them both. a). «1+1) or the arc (u. An unbalanced signed digraph with no negative cycles. FIG. 9. That is. c).+i.1). a. In Fig. u. We say a signed digraph is balanced if and only FIG. 9. are arcs. a2. (a. play. To be precise. see Taylor (1970).3 vacuously balanced. So is a. b). 9. An appropriate generalization of the balance concept is obtained by disregarding direction of arcs. uh at.. a. It is hypothesized that at a stage of tension in such a piece of work. c). (a. and the relation is liking/disliking. . b}. the main characters will exhibit an unbalanced signed graph. a2. 9. we say that a semipath in a (signed) digraph is a sequence M I } a\. c). while there is tension in this situation: a likes both b and c. The length of the semipath is t. with many references. this makes the signed digraph of Fig. (b. (a. where the vertices are characters in a novel. (d. Let us briefly discuss how the notion of balance generalizes to a signed digraph. b). § 3. It is natural to try to call a signed digraph balanced if every cycle is positive. Balance in signed digraphs.2. 9.+ 1 and all the vertices u l 5 u2. b. The sign of a semipath is defined analogously to the sign of a path. the a. For a more detailed discussion of balance theory. where the ut are vertices. A semicycle is a semipath in which HI = w. u. c). Uj). c.4. • • • . b.3. It has been applied to political science. c. or short story. d is a semipath of length 2. are distinct and all the arcs #!. These are different as the first arc used differs in the two cases. 9.BALANCE THEORY AND SOCIAL INEQUALITIES 81 the vertices become nations and the relation is allied with/allied against. Later. c. for example.4. A balanced signed graph. where the vertices are politicians and the relation is agrees with/disagrees with. (a. However. at are distinct. (c. a. a is a semicycle. See also Roberts (1976a. It has been applied to the analysis of literature.

and tm = pm + nm. i.b).e. A signed digraph. where n is the number of negative circuits (semicycles). and possibly more important.4. counting shorter circuits (semicycles) as being at least as important. etc. has an even number of .3. For a discussion of the measures p/t and p/n. .signs. see Norman and Roberts (1972a. An alternative is to use the ratio p/n. It is a little simplistic to say that every group is either completely balanced or completely unbalanced. nm the number of negative circuits (semicycles) of length m. For a discussion of the measures (9..2).1) and (9. This definition seems to be an appropriate generalization of the definition in the symmetric case. than longer ones. Degree of balance. One way of taking account of length is the following.82 CHAPTER 9 FIG. it probably makes more sense to speak of degrees of balance. and might be something like /(m) = 1/m. we might use or The function /(m) might be monotone nondecreasing. 9. see Harary (1959c). One natural way to measure balance is to use the ratio p/t of the number of positive circuits (semicycles) to the total number of circuits (semicycles). and an axiomatic derivation of them. Rather. /(m) = 1/m2. The function f ( m ) = 1 gives the measures p/t and p/n. /(m) = 1/2"1. Let us discuss briefly some ways of measuring balance in a signed graph or digraph. Variants on this approach take account of the length of a circuit (semicycle). if every semicycle is positive. Then if /(ra) is a measure of the relative importance of circuits (semicycles) of length m. Let pm be the number of positive circuits (semicycles) of length m. 9.

the measure (9. etc. and wants to see if justice has been done. + if the individual in question (P1 or O) possesses the high state of the characteristic. hair color. Finally. 13.1) and (9.) We study the situation from the point of view of P. On each of these arcs. one signed graph (digraph) is more balanced than another under (9.5. and 16 correspond to what Berger et . (P' can be thought of as the image P has of himself. The key idea is one of expectation: an individual compares his characteristics and rewards to those of others. This count is called the line index for balance. see Taylor (1970). An individual is positively evaluated if he has a high level of education. we draw arcs from P' to GO(P) and O to GO(O) with + signs indicating possession.e. if he possesses the low state of the characteristic. Interesting results are obtained if we allow the vertices to be other variables as well. promotions.2) are equivalent in the sense that once /(m) has been determined. assume that the characteristic is relevant to the goal object. We feel education is relevant to salary.1 below.1) for each choice of sign in this digraph. The signed digraph obtained is shown in Fig. The measures (9. We draw arcs from P to P' and P to O. 9. On each of these arcs. A theory of distributive justice is sketched out in Zelditch. Cases 1.1) if and only if this is also the case under (9. Zelditch. we put a sign indicating the evaluation by P. However. The results are shown in Table 9. privileges. the characteristic might be education and the goal object salary. We study one characteristic and one goal object. P' O. Distributive justice. For a discussion of other measures of balance. etc.4. and GO(O).2). and Cohen (1966) and Berger. 4. + for the high state. To treat the simplest case of this theory graph-theoretically. there are simple examples of signed graphs (digraphs) GI and G2 so that G\ is more balanced under the line index than G2 but less balanced under measure (9. Anderson and Cohen (1972).BALANCE THEORY AND SOCIAL INEQUALITIES 83 An alternative is to count the smallest number of signs whose negation would result in balance. i. and such goal objects or rewards as salaries.1) and the line index for balance are not equivalent. So far. Under the assumption that the parameter /(m) is positive. GO(P). Harary (1959c) proves that in a signed graph (digraph) the line index is the same as the smallest number of edges (arcs) whose removal results in balance. This theory is concerned with the relation between such characteristics as sex.1). Let GO(P) and GO(O) denote the states of the goal objects possessed by P and by O respectively. we have calculated the balance measure (9.. — for the low state. We draw an arc from P to GO(P) and to GO(O). The vertices are P. In this section we shall use this idea to discuss the theory of distributive justice in sociology. Berger. we follow Norman and Roberts (1972b). high or low. For example. A salary is positively evaluated if it is high.. We build a signed digraph as follows. we have dealt with the situation where the vertices of a signed graph or digraph are individuals in a group. and let P' be P considered as a referrent for evaluation by P. and that the characteristic and goal object can each have one of two states. race. Let P and O be two individuals. 9. we put a sign indicating the evaluation by P of the state.

the situations where both individuals are unjustly rewarded are perfectly unbalanced. 7. since all have the same semicycles. This is a situation of Guilt. We draw an arc from P' to O representing attraction/repulsion and ask whether the arc should receive a + or — sign.2. 9. Adding more FIG. The balance measure indicates that the situations of Justice are perfectly balanced. The remaining cases have one individual justly rewarded. and 11.) The results are shown in Table 9. the state of the characteristic matches the state of the reward. (The denominat is always the same in all cases.5. Now coalition formation occurs in Cases 6 and 1 1 if and only if and in Cases 7 and 10 if and only if Hence. 10. In each case. or it takes place only in situations where both individuals are treated with equal injustice (Cases 6 and 11). In Case 10. In Cases 6. . Notice that this conclusion follows independently of the specific value of the parameter /. Suppose we assume that P' and O form a coalition if and only if the signed digraph is more balanced with attraction than with repulsion. we can study coalition formation to distinguish the four cases where both individuals are unjustly rewarded. For example. By adding more information to this signed digraph. 7. 9. we conclude that either there is no coalition formation (/(3)+/(5) = 2/(4)). We obtain the signed digraph of Fig. 10. + for attraction. Norman and Roberts (1972b) show how further distinctions among the different cases can be made. — for repulsion. for example.1) for the two choices of sign on this arc in each of the cases 6. and 1 1 . P is over-rewarded (he has a low level of education and a high salary) while O is under-rewarded. both individuals are unjustly rewarded. but the other not.6. (1972) call Justice. or it takes place only where the two individuals are treated with opposite injustice (Cases 7 and 10). Signed digraph for the distributive justice situation. We have calculated the numerator of the balance measure (9.84 CHAPTER 9 al. and the situations where one individual is unjustly rewarded are in between.

5. TABLE 9. we simply mentioned this example to illustrate the kind of analysis which is sometimes made using signed digraphs where the vertices are other than just individuals and where the arcs represent different kinds of relationships.BALANCE THEORY AND SOCIAL INEQUALITIES 85 FIG. Rather. We shall not go into further detail here. 9. I 1 Justice Other unjustly rewarded (under-reward) Other unjustly rewarded (over-reward) Justice Self unjustly rewarded (under-reward) Both unjustly rewarded Both unjustly rewarded Self unjustly rewarded (under-reward) Self unjustly rewarded (over-reward) Both unjustly rewarded Both unjustly rewarded Self unjustly rewarded (over-reward) Justice Other unjustly rewarded (under-reward) Other unjustly rewarded (over-reward) Justice .6. Signed digraph for the distributive justice situation with attraction/repulsion between P' and O added. 9. information to the digraph allows the conclusion that coalition formation will take place in situations of equal injustice. Case Number 1 PP PGO(P) PO POO(O) Balance Description + + + + + + + + + - + + - + + 1 3 1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 + 4- 3 + + + _ + _ + _ 0 0 I + + + + + + _ + + _ 1 0 0 1 - - + + + " 1 A ^ 2 .1 Relative balance in 16 cases of signed digraph of Fig.

6. with 11. (1977). with + 11. processes by which differences in evaluations and expectations of individuals affect social interactions.5. The theory of distributive justice was an early theory in the work of Berger and his colleagues. The sentiment sik of / for k can be changed by sentiments of / for / and / for k—this is called an inductive change—and by sentiments of / for / and k for /—this is called a comparative . Johnson. The basic idea is that the variables are individuals. chains in a signed graph are used to study induced expectations. goal objects. If there are several chains from P to G of the same sign. One of the weaknesses of the signed graph approach to balance is that it omits strengths of likes and dislikes. with 10. The expectations are calculated quantitatively using a parameter much like /(m). How do sentiments change over time? Hubbell et al. with - /(3)+/(5) 2/(4) 2/(4) Both under-rewarded Self under. with + 10. much as in our discussion of § 9. Let s^ be the sentiment of / for j at time t. while i there are chains of opposite sign. A major goal of studying such processes is the explanation of social inequalities. • • • .2 Relative balance of attraction and repulsion in cases where both individuals are unjustly rewarded. 9. this leads to inconsistent expectations (there is imbalance). other under Both over-rewarded /(3)+/(5) 2/(4) /(3) + /(5) /(3) + /(5) 2/(4) 9. One approach which attempts to use such strengths is due to Hubbell. assume changes take place only at discrete times t = 0. states. In the resulting signed graphs. which tried to explain the tension resulting from violation of expectations by showing that certain signed digraphs were unbalanced. with — 7. • • • and make the following assumption. with + 7. Case Number Numerator of Balance Measure Description 6. other over Self over. 1. « . Status organizing processes and social inequalities. and are used to predict reactions of one individual to another when they disagree. with + 6. Let the individuals in a group be labeled as 1. 2. 2. sociologists have been concerned with status-organizing processes. and Marcus (1978). or relatively unbalanced. Since the early twentieth century. Strengths of likes and dislikes. if there is a chain from an individual P to a goal object G. the sign of this chain indicates whether the individual is expected to be rewarded with the high or the low state of the goal object.4. except that direction of relationships is disregarded. this leads to stronger expectations. and so on. In Berger et al.86 CHAPTER 9 TABLE 9.

Assuming these effects take place equally. changes of sign can take place only abruptly. The conclusion depends only on the sign pattern of S.3) becomes where S7 is the transpose of St. Hubbell et al. we know that if the initial sentiments of the individuals are given by (9. then all matrices St defined by (9. the sequence of matrices might or might not approach a limit.5).) Of more interest to us is the corresponding sequence of sign patterns. For example. discuss this problem matrix-theoretically. The matrix S of (9. and to our knowledge. does this sign pattern correspond to a balanced signed digraph? How can we tell if a given matrix S = Si gives rise to a sequence of sign patterns which eventually stabilizes? How can we tell if the sequence eventually stabilizes to a pattern corresponding to a balanced signed digraph? Does the answer depend on the specific numbers in S? We have asked lots of questions.4). = (sjf)..4).4) have the same sign pattern (9. no one has made progress on them. if S. . Does this approach a limit. specify that In terms of matrices. we can associate a sign pattern with it. the matrix has the sign pattern The sign pattern defines a signed digraph in a natural way.5) has the property that if 5 = Si. The questions we have raised (which are also raised by Hubbell et al. Thus.) seem to be difficult ones. The advantage of the model we have discussed over those using only signs is that in the latter. (Hubbell et al. model (9. Given a matrix S.BALANCE THEORY AND SOCIAL INEQUALITIES 87 change. i. while here sentiments can change gradually. and not on the specific entries.6). Under the assumption (9.e. Let us give an example. is there some point beyond which all of the sign patterns are the same? If so. and if they change according to the Hubbell et al. The corresponding signed digraph is balanced. then (9. then the group will always be balanced.

if we know the entries in the matrices only up to sign? We shall see that we can draw many such conclusions. we shall see in the next two chapters that one can answer a large number of similar questions which arise in public policy situations. These questions deal with matrices whose elements are known only up to sign. by making use of the signed digraph corresponding to the sign pattern. applied ecology. and the like. The questions then ask: can we draw various conclusions about such things as systems of linear equations or systems of differential equations which use these matrices for coefficients.88 CHAPTER 9 However. economic analysis. .

CHAPTER 10 Pulse Processes and their Applications 10. Usually. health care delivery in British Columbia (Kane. Kane (Kane (1973). Vertinsky and Thompson (1972). and a real number or weight measuring the strength of the effect of x on y is obtained. communications. (1973)) calls such approaches arithmetic. and sometimes a structural model. (1975). A digraph is constructed with vertices the variables and with an arc from variable x to variable y if x is in some strong relation to y. Beyond that. and for analyzing the structural model. y) is called a weighted digraph. strength of effect is sometimes taken into account. These often end up with an optimization problem. pattern. or general tendency. It is usually assumed that more complicated interrelations among these variables are captured by their pairwise interactions. Thus. with little emphasis on specific values. Many mathematical approaches to the study of complex systems emphasize a careful study of their numerical properties. which relates geometric properties of complex systems to certain structural properties of these systems. The exact procedures for constructing the structural model." Loops are allowed. The method we discuss has been applied to energy use. The very complexity of real-world systems involving energy. and transportation systems (Roberts (1971c). (1973). for obtaining and interpreting the arcs. in contrast to the approaches which emphasize structure. Other structural modeling approaches have been applied to the analysis of coastal resources (Coady et al. This has given rise to an increasingly widespread effort to develop techniques for studying systems geometrically. For information. shape. (1976b). as in our discussion of the previous chapter. Roberts and Brown (1975)). is coming to be known as structural modeling. Structural modeling. Surveys of structural modeling techniques have recently been carried out by a number of authors. (1974). Kane 89 . or otherwise deal with matters which are closely tied to specific numbers.1. Most structural modeling techniques start out by identifying variables relevant to a problem being studied. food. air pollution. (1973)). Canadian water policy (Kane. The resulting digraph with a real number w(x. (1976a). Kane et al. signs. y) on each arc (x. or weights. Naval manpower (Kruzic (1973a)). and apply it to the relationship between energy use and food production. a signed digraph is constructed. and the like makes it very difficult to get precise enough information to approach them arithmetically. transportation. Thompson and Vertinsky (1972)). We shall present just one such approach in the following sections. the relation in question is treated as "signed. One general geometric approach. see Cearlock (1977) and Lendaris and Wakeland (1977). vary from methodology to methodology. The latter approaches Kane calls geometric." and the sign of the effect of x on y is identified. commonly the relation "causes" or "effects.

the deliberations of governmental bodies and historical personages (Axelrod (1976)). Unfortunately. during the same time span. Variants of the method we discuss have been developed by McLean (1976) and McLean and Shepherd (1976). U. (1974) report that yields of corn increased from about 85 bushels per hectare in 1945 to about 203 in 1970. in irrigation.S. . the use of coal in inland waterways (Antle and Johnson (1973)). For the sake of discussion. and so on.2. the study of ecosystems (Levins (1974a. style agriculture (a highly productive. figures obtained from an almanac.1 Variable Unit Current Value* Population (P) Demand for food (D) Food yield (Y) Cost of food (R) Energy input into food production (E) billions of people 1015 kcal (kilocalories) per year millions of kcal/hectare/ year dollars per person per year millions of kcal/hectare/ year 4 4 17.S. Canadian environmental policy (Kane (1973)).1 and the current (as of 1970) values of these variables are estimated there. energy policy (Kruzic (1973b)). and are obtained from Pimentel et al.b)). (1973) and Pimentel et al.S. this productivity has come at a price: the use of vast amounts of energy. and continues to expand as food becomes available. TABLE 10. or almost two and one half times as much.b). Pimentel et al. there is increasing concern about mankind's ability to feed itself. 10. we construct a small talking-purpose example of a structural model to discuss this problem. total energy input into a one hectare corn field essentially tripled. (1974). However.9 $700 7. Cost of food is estimated from U. food yield (Y). and energy input into food production (£"). transportation problems (Kane (1972)). demand for food (D). We shall use five variables in our simple example. cost of food (R). Energy is used in modern agriculture in the form of fossil fuel to run farm machines. The units we shall use are identified in Table 10. (1978a. We shall consider world food production under U. Demand for food is calculated under the assumption that one person requires approximately 3000 kcal per day and there are 4 billion people. highly energyintensive kind of agriculture). We assume that population is not curtailed. With the increasing scarcity of energy. it might not be possible to continue the pace of production of modern agriculture.S. for example. and so on.1 * The values of Y and E are based on data for corn production in the U.90 CHAPTER 10 (1973)). (1973) or Pimentel et al. in the production and application of chemical fertilizers and pesticides. Yields of food on a particular field have risen dramatically. Energy and food. These are population (P). let alone to expand this pace. Although we have begun to see famine in parts of the world. more serious starvation has been avoided so far by the tremendous productivity of modern agricultural systems. As world population continues to grow.

and tend to put pressures on the system to continue changing in the direction of an initial change. i. The latter two are positive cycles (the number of — signs is even). but t-o include the inhibiting effect of price on demand. Although loops are allowed. to positive feedback. y) will have in our approach the following specific interpretation: whenever variable x increases by u units. and most variables are not related in quite so simple a way. However.PULSE PROCESSES AND THEIR APPLICATIONS 91 We shall use these variables as vertices of a signed digraph. we note that there are three cycles in this digraph. Y. increase leads to increase. 10. This is a very special linear assumption. /?. and positive cycles. y) units. We draw an arc from variable x to variable y if a change in x has a significant effect on y. i. R. increase leads to decrease and decrease to increase. but not the time lag problem. decrease to decrease. In this structural model. E. For example. We shall not discuss how these weights were .2.1 shows such a signed digraph obtained from the five variables we have identified. The simplifications include the tacit assumption that two variables are always related in the same way (in an augmenting or inhibiting relationship).e. we see two important processes which lead to positive feedback..e.) Figure 10. and a . 10. Hence. which leads to more food yield. They are included as weights in a weighted digraph in Fig. we shall use this assumption to gather weights. £>. which leads to more demand for food. it is easy to see. all other things being equal.1. In particular. We also see one important negative feedback process. P\ and D. we have chosen to disregard the effect of demand on price. Cycles correspond to feedback processes. Note that one could argue that other arcs should be included. (The effect is said to be augmenting if whatever happens at x is reflected by a change in the same direction at y. and the effect is said to be inhibiting if whatever happens at x is reversed in y. We shall discuss the addition of strength of effect. The weight w(x. a change in x augments y. The signed digraph makes certain omissions and certain simplifications. D. all other things being equal. D. while the former is negative. Y. but we have included only those which seem most important. Certain things can be learned about the food-energy system without knowing any more information about it than what is contained in a signed digraph like that of Fig. which makes it possible for population to grow further. y) if. P. independent of their levels.1.. which leads to increased use of energy in food production. We can include strengths of effects by adding weights to a signed digraph. supply (yield) and energy use are the primary direct influences on price. that operating through the increase in price of food when more energy is used in food production. E. One such process starts with increasing population. Weights with the stated interpretation have been obtained for the signed digraph in Fig. The omissions include no discussion of strength of effect and no discussion of the time it takes for an effect to take place. understanding that the use of the same weight independent of time and of the levels of the variables in question is a rather serious simplifying assumption. then variable y increases by u • w(x.sign if. D. 10. the change inhibits y. y) on the arc (x. E. we choose to treat them as insignificant in our example. We put a + sign on the arc (x.

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obtained, except to say that the procedure was, as is usually the case, a subjective one, and involved some use of real data (for example that of Pimentel et al. (1973) and Pimentel et al. (1974)), and some guesswork. Note that, for example, the weight —1.4 on the arc (Y, R) means that every time food yield increases by 1 unit, i.e., 1 million kcal/hectare/year, then food cost goes down by $1.40 per person per year. This is assumed true independent of the level of yield or the current price—undoubtedly a somewhat faulty assumption. Under the stated interpretation of weights, it makes sense to associate a weight with a cycle as well as with an arc, and to do so by multiplying the weights of the arcs on that cycle. If this is done, we note that the cycle P, D, E, Y, P has weight 1.613 and the cycle Z>, E, Y, R, D has weight .025. This suggests that the former cycle will correspond to increasingly larger augmentations (since its weight is greater than 1), while the latter cycle will correspond to increasingly smaller augmentations. In the next few sections, we shall analyze the use of the weighted digraph to predict future levels of the different variables, and we shall ask to what extent the corresponding signed digraph can help us in making such predictions. Even without further analysis, the signed and weighted digraphs constructed have given us certain insights into the food-energy system. Indeed, the very

FlG. 10.1. Signed digraph for the food-energy system.

FlG. 10.2. Weighted digraph for the food-energy system.

PULSE PROCESSES AND THEIR APPLICATIONS

93

process of constructing them has forced us to concentrate on the basic variables in question and on the fundamental interrelations among these variables. Analysis of these digraphs has helped us to identify basic sources of feedback, and has helped us to begin to understand the dynamic relationships among the variables in question. In this sense, the tools of graph theory are to be regarded as learning devices, used to help us understand complex systems. The more quantitative models we shall discuss in the next few sections also play primarily the role of a learning device, in helping us to identify basic processes, understand basic interrelationships, and pinpoint possible strategies to analyze further. 10.3. Pulse processes. Let us suppose D is a weighted digraph and MI, «2, • • • , un are its vertices. We shall assume that each vertex ut attains a value or level v t ( t ) at each time t, and that time takes on discrete values, / = 0, 1, 2, • • • . We shall be interested in the change in value or the pulse at vertex «, at time t. This will be denoted p,(0 and will be obtained by For f = 0, p,-(0 and t?,-(0 must be given as initial conditions. Then, our interpretation of the weight w(x, y) gives rise to the following rule for change of values:

It follows from (10.1) and (10.2) that

We shall say that the initial conditions p,(0) and u,(0) and the rule (10.2) define an autonomous pulse process. For example, in the weighted digraph of Fig. 10.2, suppose y,(0) = 0, all /, and pi(0) = 1, p2(0) = 2, p3(0) = 5, p4(0) = - 3, and ps(0) = - 2, where P = u\, D = w 2 , Y — "3, R = "4, and E = u5. Then, for example, using (10.3), we obtain

That is, at time 1, variable 4 decreases by 47 units. Hence,

In an autonomous pulse process, we make some initial changes, and trace them out over time. It is easy enough to forecast future values u,(f). Suppose we let
and

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Let A be the weighted adjacency matrix of the weighted digraph D, the n x n matrix with /, / entry equal to w(uf, «/) if there is an arc from ut to «/ and equal to 0 otherwise. Equation (10.3) then says that and hence we see that It follows that From (10.5), forecasts of future values can be made." We shall be interested not so much in the specific values which come out of such forecasts, but, in the spirit of structural modeling, in the general question of the behavior of the sequences of values or pulses. In particular, we say that a vertex w, is pulse stable under an autonomous pulse process if the sequence is bounded, and w, is value stable under the pulse process if the sequence is bounded. It is easy to show from (10.1) that value stability implies pulse stability. However, the converse is false. We say a weighted digraph is pulse or value stable under an autonomous pulse process if every vertex of the digraph is. If a digraph is pulse or value stable under all autonomous pulse processes, then its structure is such that the system is not liable to "blow up" after it is initially perturbed, no matter what the nature of the initial perturbation. The following theorems about pulse and value stability follow from results in Roberts and Brown (1975). THEOREM 10.1. Suppose D is a weighted digraph and A is its weighted adjacency matrix. If D is pulse stable under all autonomous pulse processes, then every eigenvalue of A has magnitude less than or equal to one. THEOREM 10.2. Suppose D is a weighted digraph and A is its weighted adjacency matrix. If every eigenvalue of A has magnitude less than one, then D is pulse stable under all autonomous pulse processes. THEOREM 10.3. Suppose D is a weighted digraph and A is its weighted adjacency matrix. Then D is value stable under all autonomous pulse processes if and only if D is pulse stable under all autonomous pulse processes and 1 is not an eigenvalue of D. To illustrate these theorems, we note that for the weighted digraph of Fig. 10.2, the characteristic polynomial is given by

Conditions both necessary and sufficient for pulse stability under all autonomous pulse processes are also given in Roberts and Brown (1975).

17

strongly connected. Figure 10. It is easy to see that a strong component corresponds to a maximal. Chap. or price of food. Theorem 10. since the product of the roots of the polynomial in parentheses in (10. they can be used to find ways of changing the system which will avoid instabilities. It is easy enough to see that most changes in this particular system will have this property.3.4 we defined a strong component of a digraph to be an equivalence class of vertices under the equivalence relation where two vertices are equivalent if and only if each is reachable from the other by a path. see Roberts (1976a.3 implies that the system will therefore be value unstable under some such process. and FIG. In particular. and in particular that any initial increase in population will.1 to 10. energy use. In § 1.PULSE PROCESSES AND THEIR APPLICATIONS 95 We shall see below why this is true. generated subgraph. for example in population. Structure and stability.6) is plus or minus the constant term — 1.3. Hence.4. An early result along these lines is due to Harary. There is some way of introducing a perturbation or change in the energy-food system which will lead to both increasing changes and values elsewhere. Use of strong components to calculate eigenvalues. 4). The interpretation of this result is as follows. Once one has such methods. we shall discuss methods of determining the source of instabilities from the structure of the digraph.3 shows a weighted digraph and its strong components.1 implies that the system (weighted digraph) is pulse unstable under some autonomous pulse process and Theorem 10. A major problem with the eigenvalue theorems stated in the previous section is that they do not explain why instabilities occur.638. the kinds of results we shall describe relate the eigenvalues and characteristic polynomial of a weighted digraph (of its weighted adjacency matrix) to the structural properties of the digraphs. we observe that there must be a root of magnitude larger than one. In any case. The strong components partition the vertices of a digraph. 10. For other applications of Theorems 10. In this section. 10. .

The set of eigenvalues of a weighted digraph is the union (counting multiplicity) of the sets of eigenvalues of its strong components. THEOREM 10. To state a second result along these lines. c. FIG. Then where Gk is a k.025.E. The characteristic polynomial of a weighted digraph is the product of the characteristic polynomials of its strong components. c.P.) THEOREM 10. 10. in the weighted digraph of Fig. 1. A 1-factor in a digraph is a spanning subgraph which is a 1-factor. Hence.E. Since each pair of these cycles has a common vertex.vertex generated subgraph of D.5 (Chen (1967).128.613. We already observed that there are only three cycles.R.D. a and d.D. (These results can also be turned around and used to calculate eigenvalues of an arbitrary matrix. Its weight is (l)(-5)(-l)(2)(l)= 10.factor in Gk. Their weights ar respectively -.2. (1971)). .6) above. For example. COROLLARY. 10.4. d define a 1-factor. a and d. Suppose D is a weighted digraph and is its characteristic polynomial. b. P. d. Lfl is the number of cycles in Hu.4. we define a digraph to be a I-factor if every vertex has indegree one and outdegree one. b. e. It is easy to show that a 1-factor is a union of disjoint cycles. Y.4 (Harary (1959a)). The weight w(H) of a 1-factor H in a weighted digraph D is the product of the weights of the arcs of H. e. and . and D. Hu is the u-th I. these cycles also form the only 1 -factors in generated subgraphs.Y. D.96 CHAPTER 10 the computation there illustrates the following results. R. and It is now easy to show that C(A) is given by (10. Let us apply this theorem to the weighted digraph of Fig. E. 10. D. the cycles a. A \-factor consists of the cycles a. and w(Hu) is the weight of Hu.

Theorem 10. We can accomplish this in a variety of ways.638. E. we know immediately that the system will be pulse unstable under some autonomous pulse process. Y. In particular.5. The control on population has cut down on unbounded increases in changes or in values in the system. we might drive bs down below 1 in magnitude. we have Hence. Since 1 is not a root.— 1. P) is deleted in the weighted digraph of Fig. then.19. and have a chance at having created a pulse stable system. Hence. Using the identification of 1 -factors shown in this figure. If this arc (Y.2. . Theorem 10. using Theorem 10. 10.2 that s is 4 and bs . We see in our example of Fig. This change corresponds to eliminating the assumption that population will be allowed to increase to the available food supply. -.2. . eliminating the arc (Y.PULSE PROCESSES AND THEIR APPLICATIONS 97 The weighted digraph of Fig. P.5 presents a slightly more difficult example. P) eliminates this cycle. the new weighted digraph is pulse stable under all autonomous pulse processes. We also observe that the cycle with highest (absolute) weight is P. then C(A) factors as and hence bs is plus or minus the product of the nonzero eigenvalues. 10. by Theorem 10. 'The roots are approximately 0. if s is the highest number so that the coefficient bs is nonzero.46/'.18 Hence. For.5 gives us some hope of relating instability to structure.1. It corresponds to some form of population control. If we could somehow break up this cycle. D. By Theorem 10. the only hope for pulse stability is to have \bs\^ 1.3 implies that it is also value stable. 10. . one obtains the following characteristic polynomial: It is easy enough to show that all of the roots of this polynomial have magnitude less than one.56.19±.

5 we have b2 = -5.6.5 leads to some interesting results about stability if we are willing to assume that all the weights of a weighted digraph are integers.7. THEOREM 10. 10.6. Suppose D is an integer-weighted digraph and is its characteristic polynomial.5 and . A weighted digraph and its I-factors. Using Theorem 10. Since s . 10.6. Theorem 10.5.98 CHAPTER 10 FIG.-1 and b$ — 1. In this case. Under the hypotheses of Theorem 10. then and THEOREM 10. Suppose some b^ ^ 0 and let s be the highest subscript so that bs ^ 0. If D is pulse stable under all autonomous processes. we say the digraph is integer-weighted. 10. Integer weights.5. 6 3 . To illustrate these theorems. consider the integer-weighted digraph of Fig. D is value stable under all autonomous pulse processes if and only if D is pulse stable under all autonomous pulse processes and £)=] bt ^ -1.

Let D' be considered a weighted digraph with weights +1 and -1. Hence. the product of the nonzero eigenvalues is larger than 1. At the end of Chapter 9.19 One simply substitutes our bk for — ak as used by Roberts and Brown. For. what can one learn about properties of a system knowing only signs? As far as stability is concerned. On the other hand.1 implies the corresponding weighted digraph is pulse and value unstable under some autonomous pulse process. For.PULSE PROCESSES AND THEIR APPLICATIONS 99 bs = 1.6 is satisfied. in contrast to these negative results. Hence.. a can be picked small enough that all eigenvalues of aA have magnitude less than 1. we can sometimes learn a great deal from the sign pattern. we shall see that. and so the second condition is violated. b2 ^ £563. However.7 are proved in exactly the same way that Theorems 7 and 8 of Roberts and Brown (1975) are proved in the special case called in that paper advanced rosettes. and Theorem 10. suppose D is a weighted digraph and D' is the corresponding signed digraph. but signs replacing weights.5 is greater than 1.3. namely. by Theorems 10. FIG.2 and 10. the answer is very little.6. An integer-weighted digraph. 10. the eigenvalues of a A are a-multiples of the eigenvalues of A. the first condition of Theorem 10.e. it is easy to show that there is always some assignment of weights having the given signs under which the resulting weighted digraph is pulse and value stable. and hence. In the next chapter. Theorems 10. 19 The author thanks Professor Philip Straffin for suggesting these ideas. and we conclude that the digraph is pulse unstable under some autonomous pulse process. . let A be any real matrix. i. Stability and signs. given a signed digraph which has at least one cycle.6 and 10. 10. it is easy to find an assignment of weights having the given signs for which the highest nonzero coefficient bs in Theorem 10. Can we infer from the pulse or value stability or instability of D' any results about the stability of D? The answer is: almost never. we asked a general question. aA gives rise to a pulse and value stable weighted digraph for sufficiently small a. If a is any real number. For.6. a signed digraph with the same set of vertices and arcs.

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b)) and in chemistry (Clarke (1975). we shall study properties of a matrix or. and was solved by 101 . 11. /) entry of A is nonzero.1. an arc from row i to row / if and only if the (/.1) has a solution. and a sign + on the arc (/.e. Samuelson (1947)). and if Ax' = b'. hold for all matrices in this class. We shall usually study the class QA by using the digraph DA. we say that the system (11. if they hold for one matrix in a class QA. (1965) and by Gorman (1964). We shall be interested in those properties which. Is the sign pattern of the solution determined from the sign patterns of A and b! If not. of a weighted digraph. /) if and only if this entry is positive. in Chapter 9 we talked about the eventual stability of sequences of matrices representing sentiments of members of a small group. In general. if D is a weighted digraph (with loops allowed).CHAPTER 11 Qualitative Matrices In this chapter.. when is it so determined? Apparently Samuelson (1947) was the first to propose this question in an economic context. we asked when pulse or value stability was a property of sign pattern alone. Levins (1974a. if A e QA. we ask the following: if Ax = b. The classes QA will be called qualitative matrices. we shall study the class of all real matrices of the same size as A and with entries having the same signs as the corresponding entries of A (and having O's in the same places as A}. The problem of characterizing sign solvable systems was discussed at length by Lancaster (1962). (1964). Sign solvability. In Chapter 10. Tyson (1975)). in ecology (Jeffries (1974). In many situations. A common problem encountered in social or biological contexts is to solve a system of linear equations where A is a square matrix and b is a vector. which depend only on the sign of the entries or weights. the entries of the matrix A and of the vector b are known only qualitatively. i. May (1973a. and A is its weighted adjacency matrix. Corresponding to the class QA will be a signed digraph DA. This signed digraph has vertices the rows of A. is x' necessarily in Qx? If so. equivalently.1) is sign solvable. In particular. Using the notation defined above. and asked when eventual stability was a property of sign pattern alone. Similar questions arise in economics (Quirk and Ruppert (1965). This class will be denoted QA. up to sign. if b' £ Ob. We have already mentioned a number of questions which can be formulated in this language. Suppose we know that the system (11.b). to use the terminology of Maybee and Quirk (1969).

1 does not affect sign solvability. We begin with two examples.(6. one can show that the problem can be reduced to the case where alt < 0. j is a solution to A'x' = b'. independent of the values of a. let us consider A and b of (11. ^ 0. if del A ^ 0. then every simple path from k ^ j to j in DA is positive. all /. Our discussion follows the latter and also Maybee and Quirk (1969). Suppose a.1. The characterization of sign solvability can now be stated in terms of the signed digraph DA defined above.. y. Maybee and Quirk (1968). x' & Qx. Then the equation Ax — b is sign solvable if and only if 1) every cycle of the signed digraph DA is negative and 2) whenever bf > 0. 8. THEOREM 11. we observe that renumbering of equations or variables or multiplying equations and or variables by . We conclude that Ax — b is sign solvable. Hence. 8. If A' = A and />' . and x = ( J is a solution with x. For if A' e QA and b' e Qh. all /'. and *' = ( To state a characterization of sign solvability. then one can show that the system is not sign solvable. 2). Xj g 0. To give a second example. b.102 CHAPTER 11 Bassett. Suppose Then Ax = b is sign solvable.1 (Bassett. b' £ Ob. To illustrate Theorem 11. each /. let Then x = ( ^ j is a solution to Ax -b. e positive. Next. let us first observe that if d e t A ^ O . and bj ^ 0. all /. and 6/^0. y.3).r. then for a. ^0. and e. all j. (3. .<0. all /. then A' e QA. all /. and Both x{ and Jt 2 are negative. Maybee and Quirk (1968)). The diagonal entries of A are negative. . The equation A'x' = b' can be written as Thus. However. (3. ^ 0.

(3.. condition 2) of the theorem is violated.0 of the system (11. Hence. Another system of equations which arises with great frequency in economic and biological applications is the system of linear differential equations We call an equilibrium x . 11. consider If A'eQ A . we see that if b2-4ac §0.(a + 8)/2. A characterization in the general case was discovered by Jeffries (1974) and is discussed . each A' in QA is stable. b\ >0 and 2. A well-known result states that the equilibrium x = 0 is stable if and only if every eigenvalue of A has negative real part. i. 1 is a negative path into vertex 1.1. a negative number. ^ 0. not in the sense of Chapter 10) can be inferred simply from the sign pattern. since ac > 0. and A is sign stable. all /.. if stability is a property of the qualitative matrix. We shall be interested in whether stability (in this sense. FlG. More generally. then where a. However. Similarly. The characteristic polynomial of A' is Using the quadratic formula.4) is stable. 11.QUALITATIVE MATRICES 103 all/. (See for example Cesari (1971) or Hahn (1967). we shall be interested in a characterization of the sign stable matrices.e.e. 11. The signed digraph DA is shown in Fig. Hence.4) stable if for every e > 0.1 applies.) We call the matrix A stable if the equilibrium x — Q of the system (11. the matrices A with the property that all matrices in QA are stable. Theorem 11. y.2. then each eigenvalue has real part . Quirk and Ruppert (1965) characterize sign stability if a. Sign stability.3). and 8 are positive. Thus.. it is easy to verify that the real part is negative even if b2 — 4ac >0. Every cycle of DA is negative. there is a 8 > 0 with the property that every positive half-trajectory starting within 8 of the origin lies eventually within e of the origin. To give an example of a sign stable matrix.1. Signed digraph DA corresponding to matrix A of (11. i. if every eigenvalue of A has negative real part.

if it exists.2 (Jeffries). and there is an edge between rows / and / if and only if i^j and both a. 3) every white vertex has at least one white neighbor. For example. ^0 and a/. Earlier results claimed in the general case by Quirk and Ruppert (] 965) and Maybee and Quirk (1969) were shown to be incorrect in Jeffries. Klee and van den Driessche (1977) and in Klee and van den Driessche (1977). then an S-complete matching in the graph GA of Fig. an S-complete matching is a set M of pairwise disjoint edges of G such that all vertices not covered by the edges in M are outside 5. 5) GA has a (V — RA). in such a way that the following conditions are satisfied: 1) every vertex of RA is black.2 is given by the edges {1. For example. 2) Each cycle of length 2 in DA is negative. 2) no black vertex has precisely one white neighbor. 2}. 20 . An n X n real matrix A is sign stable if and only if the following conditions hold: 1 ) Each loop of the signed digraph DA is negative.104 CHAPTER 11 in Jeffries. The vertices of GA are the rows of A. let us associate with the matrix A a graph GA.2. if 5 = V — RA. is called an RA-coloring of GA. 11. 11.20 To state this result. We present Jeffries' result. Klee and van den Driessche (1977). An RA -coloring of GA in our example is obtained by coloring vertex 3 black and all other vertices white.complete matching. white and black. 7}. Let In our example. 3) DA has no cycles of lengths larger than 2. Such a coloring.. 5} and {6. let us consider the matrix The signed digraph DA and graph GA corresponding to A are shown in Fig. THEOREM 11. If 5 is a set of vertices in a graph G. A matching of a graph is a set of pairwise disjoint edges of the graph.2. the set RA consists of the vertex 3 alone. ^ 0. all vertices are black. 11. 4) In every RA-coloring of the graph GA. {4. as shown in Fig. We shall try to color the vertices of GA using two colors.

The next class of matrices of interest generalizes the Metzlerian ones. if each principal minor Ap of order p satisfies (— 1)PAP >0. A real n x n matrix A is called perfectly stable.) 3) DA is strongly connected (A is "indecomposable"). 2) There are no other negative arcs (i. then all five conditions of Theorem 11. and 5).3 is called Metzlerian.3. ^ 0 for all i ^ /. Then A is stable if and only if A is H-stable.. We say that a real n x n matrix A is a Morishima matrix if for . an < 0 for all i). As a further illustration of this theorem. there has been a considerable body of literature devoted to the study of the relationship between H-stability and the notion of stability defined in the previous section.e..) In particular. but violates condition 4).6). GM Matrices. We shall discuss conditions on the signed digraph DA which are sufficient to conclude that the two notions of stability are equivalent. 11. A matrix A such that DA satisfies conditions 1) and 2) of Theorem 11.QUALITATIVE MATRICES 105 The matrix A of (11.5). a. Since then. or Hicks stable. or H-stable. following the development of Maybee and Quirk (1973). and an RA-coloring of GA.. THEOREM 11. and hence we see that it is not sign stable. Suppose that the signed digraph DA satisfies the following conditions: 1) There is a negative loop at each vertex (i. 3). Signed digraph DA and graph GA corresponding to matrix A of (11.2 are satisfied. a number of authors have considered the problem of characterizing those matrices A for which the two notions of stability are equivalent. 11.e. it is easy to check that if A is the matrix of (11.2. This notion was introduced in a famous book on economic theory by Hicks (1939). (This literature owes-much of its impetus to a paper by Samuelson (1944) which argued that Hicks' notion of stability was not as relevant to economics as the notion of stability of § 11. 2). We shall discuss this problem.6) satisfies conditions 1). FIG.3 (Metzler (1945)).2.

4 (Morishima (1952). 11. This follows from a digraph version of the Harary structure theorem for balance (Theorem 9. Such a 21 Morishima's proof requires an additional hypothesis. It is easy to give examples of GM matrices which are not Morishima matrices. THEOREM 11. To the author's knowledge. then A is stable if and only if A is H-stable. Maybee and Quirk (1973) show that for indecomposable GM matrices with all cycles negative. then either / and / consist of disjoint sets of vertices or the vertices of / form a subset of the vertices of J. then every positive cycle goes through all the vertices. made by Maybee and Quirk. stability implies H-stability for all B e QA. namely that a. B is stable but not H-stable. no nice characterization of GM digraphs has been obtained. where An and A22 are Metzlerian matrices and all entries of A}2 and A 21 are nonpositive. it is easy to see that a matrix A whose diagonal entries are negative is a Morishima matrix if and only if DA (with loops deleted) is balanced. for indecomposable GM matrices A with all cycles negative. ^ 0. Hence. stability implies H-stability if and only if A is a GM matrix.3. it must be the case that for some B e QA. then every B e QA has these properties. A GM matrix is a real n x n matrix whose corresponding signed digraph DA has the following properties: 1) Each vertex has a negative loop. Now if A is an indecomposable GM matrix with all cycles negative.21 // A is an indecomposable Morishima matrix. It is easy to see that every Metzlerian matrix and every Morishima matrix is a GM matrix. 2) If 7 is a negative cycle of length greater than 1 and / is a positive cycle. That is. Verification of properties 1) and 2) is left to the reader.106 CHAPTER 11 some permutation matrix P. stability implies H-stability for all B e QA if and only if A is a GM matrix. This result is illustrated by the GM digraph of Fig. all /'. that among qualitatively specified real matrices A. Bassett. stability implies H-stability. Namely. of which a typical result says the following: if D is a strongly connected GM digraph with a positive and negative cycle going through the same vertex set. This suggests the conjecture. .. Figure 11. Our major reason for stating this conjecture here is that it suggests questions of graph-theoretic interest. if A is not a GM matrix. Maybee and Quirk also show that if A is an indecomposable matrix with negative elements on the principal diagonal. or GM matrices.3 shows an example of such a digraph. /. Maybee and Quirk (1968)). what are the properties of the signed digraphs DA corresponding to GM matrices? Such signed digraphs are called GM digraphs. Current work on the relationship between stability and H-stability centers on the generalized Metzlerian matrices. The latter follows since DA less loops is balanced and so has no negative cycles.1). When is a matrix Morishima? To use the terminology of Chapter 9. then. Maybee and Quirk (1973) obtain a variety of results about GM digraphs.

3. . A GMdigraph.QUALITATIVE MATRICES 107 characterization might help in the solution of a long-standing problem in economics. 11. FIG. namely the problem of determining the relationship between stability and H-stability.

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90 Coalition formation. 21. 22. 39 Boxicity. 80 Box. 99 Air pollution. 59 Chain. 24 finding largest.Subject Index Acyclic digraph. 57-62 zero-error. 35 nondeterministic. 43. 12 see also NP. 52 weak. 59 a-perfect graph: see perfect graph Arc. 31 Arithmetic models. 19 Chromatic number: computation of. 53 Chord. 94 Advanced rosette. 87. 53 Chronological order. 23 Circular 1's property. 89 116 . 18. 12. 3. 50. 91 Balance: definition. 25. 17-18 Berge Conjecture: strong. 8 British Columbia. 84. 89 Canada. 5 closed. 50-51 definition. 95-96 Chemistry. 33 weighted. 82-83 of signed digraph. 80 degree of. depth first search a(G). 22 Clique: consecutive ordering of dominant cliques. 89. 20 dominant. 56 Xn(G). 57-62 definition. 64 Adjacency. 82-83 measure of. 5 Circular arc graph. 5 length of. 52. 49 X*(G). 39-41 definition. 2. 39 Box (G). 81-83. 20 Augmenting effect. 20 Adjacency matrix. 21. 49 rc-chromatic number. 7. 89 Articulation set. 42 Bridge. 41-44 of niche overlap graph. 83 Characteristic polynomial of weighted digraph. 52 Asteroidal triple. 51-52 Coal. 60 of graph. 52 Bipartite graph. 64 Benzer's Problem. 18 Circuit. 90 Capacity: computation of. 59 of noisy channel. 3 Archaeology. 20. 5 Characteristic. 106 of signed graph. 12 good. 80 theory of. 5 simple. 101 x(G). 89 Algorithm: deterministic.24 definition. 12. 12 greedy. 39 of ecological phase space. 79-88 Bargaining. 55 a*(G). 51 Clique number. 8 in mixed graph. 85 Coastal resources. 53.

83-85.41. 86 DNA. 4 Cycle. 63 services. 65 . Codeword. telecommunications Comparative change. 73 Digraph.-coloring.1-coloring. 5 Connected Connectedness. 21. 71 Equilibrium. Edge. 5 strong. 103 Eulerian chain. 4 see also codes. noisy channel. 20 Complete Complete p-partite graph. 50-51 see also bipartite Coloring: applications of. 4. 63 see also codes. 41-44 definition. 20. 101. 58 Codeword. 64. 63 Ecological niche. 12 of strongly connected digraph. Complete graph. N-tuple. 8 Diameter of connected graph. 101 Ecology. 64 Distance: in digraph. 21. 49 Degree. efficient. 39 Complete Component. 42 41. 5 Connected Connected graph. 89. 3. 42 Competition see also niche overlap graph also overlap Competition number. 33-34 l's Consecutive ordering of dominant cliques. 24 Dominant clique-vertex incidence matrix. 65-77 definition. 33 uniqueness of. 67 Deadheading Delivery schedules. 2. 86-87 Compatibility graph. 62 Dominating set.24 Corporate interlocks. 34 Domination. 4.. Colorability. 65 Depth first search. 62-63 ^-dominating set. 90 perturbation of. 3. 18 D(G). 4 for. Economics. 107 Edge. Committee schedules. 73-75 see also noisy channel Code alphabet. 44 Complement. connected. 90 policy. C. 22 Compatible ordering. 73 as a word. Enzyme: digest by. 67 Cutset.. 20 Complement. 54 Confusion graph. 101 A Deadheading time. 3. 50 Depth first 117 Deterrence. 101 Ecosystem. 95-96 Emergency services. 95. 64 Curb multidigraph. 5 Component. 3. stable. 5 Connectedness. 89 waste. 70 recombinant. 64 Developmental psychology. 36 Competition graph. noisy channel. 24 21. 90-93. 3 Digraph underlying a graph. and food production. 64 preference. 11 in graph. 34. telecommutelecommunications Communication system. 50 Communication links. 95 Conflict graph. 21. 41. 73 ambiguous. 5. 41 Ecology. 41 Ecological phase space. 101. 105. Energy: demand for. unambiguous.INDEX Codes. 52 Cycle. 103. 8 Directed graph: see digraph Disarmament. Economics. 7 Environmental policy. 58 Connected component. 104 . 56 -R. 11 Distributive justice. G. 62-63 Domination number. 97 policy. 49-50 of. 103. 16-17 Corporate Cover: see A:-cover see fc-cover Cross-referencing system. 3 Effective preference. 12 Digest: see enzyme ambiguous. 21-22. 4 Coding: see codes Colorability. 90 use. Consecutive 1's property. 71-73 ambiguous. telecommualso codes. 71 U. 49-56 Colorable: ^-colorable. 26. Eigenvalues of a weighted digraph. 9-11. 73 Dominant clique.R. DA. computation of. 53 rt-tuple. 49 2-colorable.

65 see also DNA. 65 Eulerian path. 40 Independent set of vertices: 57-64 in digraph. 63 in graph: 37. 90 Integer-weighted digraph. 17 Joining. 72 interior. 57 GM digraph. 23-25 Guilt. 64 Eulerian chain—Cont. 84 Health care delivery. 62 Libraries. 65 Kf. 63-64. RNA. 64. 98-99 International relations. 55 largest. 86 Extended base. 50 Expectation. 65-67 definition.118 INDEX Hicks stable matrix. 23 optimal. 89 G[H]. 29 Interval assignment. 105 relation to stable. 80-81 Intersection graph: 15-26 of arbitrary family of sets. 95. 83. 18. 57 see also a(G) Independent set of edges. 90 //-stable matrix. 4. 61 characterization of. 44 sink. 65 existence of closed. 43 Forbidden subgraph characterization. British Columbia. 17 niche overlap number of. 52 definition. 49. 17-26. 30 Feedback. 17 uniqueness of. 105-107 Historical personages. 83 Graph. 20 Generalized Metzlerian matrix. routing. 91 Fire stations. 18 transitivity of. 4. 90-93. 46-47 for Strait of Georgia. 105 Indegree. 54. location of. Benzer's Problem Geometric models. 83 Examination schedules. 50 see also street cleaning and sweeping Gc. 27 Indifference graph. 72 GA. 46-47 for Malaysian Rain Forest. 66 existence of closed. 55. 46-47 source. 26 of unit length intervals. 51 . 65 existence of. 106 Genetics. 3. 89 y(G). 106 Goal object. 72 Extreme vertex. 36-37 Interval graph. 43 Isomorphism. 16-17 of arcs on a circle: see circular arc graph of boxes: see boxicity and committee schedules. 85 A'-cover. y-perfect graph: see perfect graph Garbage trucks. 104 Game theory. 33 Inductive change. 3 Greedy algorithm. 65 Evaluation. 18-22 definition. 16 of intervals: see interval graph of unions of intervals. 94 Four color problem. 39 Lexicographic product. 63 Kernel. 30 Forecasts. 17. 63 Konigsberg bridge problem. 105-107 definition. computerized. 35 Green light assignment: feasible. 91 Inland waterways. 106 GM matrix. 28 homogeneous family of indifference graphs. 86 Inhibiting effect. existence of. 53 Isolated vertex. 65 Independence. 84. 4-5 Justice. 71 abnormal. 42—47 community. 54 G-H. 97 Food web. 27-31. 50 definition. 50 Fragment. 105 Indecomposable matrix. 52. 44. 29. 57. 63 Food production. 93. 57-64 Independence number. 55 Indifference. 89. 4. 45 /P. 53.

31 developmental. 8-9 Open neighborhood. 65 Multigraph. 50 Police stations. 15-16. 18 Public policy.«. 8 Mobile radio frequency assignment problem. 63 Policy problems. 52-53 definition. 101 Q. 57 . 45 New York City. 85 P. 58 Niche overlap number. 2. 63 Odd hole. 61 Perfect graph conjecture: strong. 106 Mixed graph. 106 Multichromatic number. 63 Reaching. 67 Department of Sanitation of. 44 Map coloring. 88 Political science. 12 Partitive set. 105 Phase. 94. location of. 3. 4 length of. 49 Niche overlap. 50 TVP-complete problem. 60 weakly y-perfect. 26 Pi(t). 13 Naval manpower. 9-11 efficient solutions. 12. 65 National Park Service. 93 Pulse stability criterion for. 4-5 Receivable as digraph. 89 Neighborhood. 27 effective. 20. 84. 101 119 Qualitative matrix. 94 of weighted digraph. 2. analysis of. 93 Planar graph. 25-26. 24 Phasing traffic lights. 56. 12. 51 Nuclear power plant. 18. 37 Path. 54 Morishima matrix. 104 Measurement. 3. 96 One-way street problem. 98 of vertex. 8 orientations of. 12. 55. food web. 22-25. 101-107 see also sign pattern Radar stations. 2. 27 Metzlerian matrix. 34 Orientation. 51. 90. 37 Outdegree. 50 WP-hard problem. 18. 52 Perfectly stable matrix. 94. 65 Over-reward. 52. 97 Preference. 2. 18. 96-98 weight of. 4 closed. 7 strongly connected. 93 Pulse process. 41^47 Niche overlap graph. 56 Multicoloring. 103 Linear noise. 52 uniqueness of. 8 connected. 18. 105 generalized. 7-13 algorithms for solving. 36-37. 105. 96 use in computation of characteristic polynomial. 51 u(G). 60-61 weakly «-perfect. 8-9 strongly connected. 61 Line index for balance. 13 some streets two-way. 4 simple. 89-99 definition. 44 Noisy channel. 41-47. 31. 81 see also voting Population control. 4. 88 Pulse. 60 y-perfect classes of. 81 Loop. 104 S-complete. 93 autonomous. 11-12 inefficient solutions. 52 relation to a-perfect. 3. 57 NP. 4 Perfect graph: a-perfect. 57-62 Normal product.INDEX Linear differential equations. 53-56 Multidigraph. 45 Operations research. 83 Literature. 50 Matching. 7-13 transitive. 51 1-factor. 58 Receiving alphabet. 52 weak. 64 Psychology. 3 Malaysian Rain Forest. open.

15 Transitively orientable graph. 57 Structural model. 73 Rohhins' Theorem. 66. 94. 19. 51. 79 Signed graph. 89-90 Subgraph. 30 Relevance. 105 relation between stable and //-stable. 57 Transmitting stations. the. 86 Strait of Georgia. 32 weak. 79 of path. 64 see also orientation. 63. 61 Semicycle. 86 0(G). 89 Structural modeling. 43 . 18. 65. 36 Strong component. 81 Sign pattern. 94 of weighted digraph. 101 Sign stability. 29. 101-103 Sign solvable system. 3 Telecommunications. 32 Rotating drum problem. 79 of semipath. 65. 53. 79. 93 Value stability: criterion for. 81. 105 //-stable. 49. distributive justice Stability: and signs. 63 Status organizing processes. 99 and structure. 32 Simplicial vertex. 60 Time lag. 101 Vertex. 81 length of. 7-8 Robinson form. 94.120 INDEX Street cleaning and sweeping. 81 Semipath. 64 Reduced graph. 6770 Strengths of effects.(t). 20. 45. strongly connected Strong product. 52. 52 Tournament. stable set Stable equilibrium. 3637. 103-105 Sign stable matrix. 32 strong. 105 perfectly stable. 31-34. stable equilibrium. 103 Stable matrix. 101. 91 Strengths of likes and dislikes. 84. 19 forbidden. 79. 3. 80. 70-73 as a word. 103 Similarity. 75-77 Self-complemented graph. 75-77 Tension. 36-37 Signed digraph. 79. 30 generated.52 Transmission alphabet. 34 spanning. 83 Rigid circuit graph. 70 Transportation problems. 23 Sweep subgraph. 105107 Stable set. 65. 63 Traffic. 87-88. 95-98 see also pulse stability. 90 Transportation systems. 19 spanning. 99. 34-36 minimal spanning. 45 Small groups: see balance Snow removal. value stability. 5. 22 Transitive digraph. 68. 67 Symmetric digraph. stable matrix. 15-16. 19 Trophic dimension. 63 Transportation problem. 51. 103 Sign solvability. 86-88 Strict following. 3 v. 18 Seriation. 83 Reward. 80. 103 Hicks stable. 85 Unit interval graph. food web. 91 Tour: see tour graph Tour graph. 81 Sequence dating. 3 see also one-way street problem and phasing of traffic lights Traffic stream. 95 Strongly connected digraph. 79 Sign: of chain. flow of. 86 see also balance. 93 Voting. 42 Under-reward. 89 Tree. 34 Triangulated graph. 51. 5. 49. 34 maximal spanning. 98 of vertex. 29 Value. 63-64 definition. 61 RNA chain. 79 Sociology. 3. 83. 67 Social inequalities. 32-36 definition. 86 Sociogram. 4.

96 Weighted digraph. 89 integer-weighted. M. 56. 115 Cohen.. M. J. 83.. 49. 115 Bodin. 63. C. 111 Hilton. 89.. 42. T. 110 Garey.. S. 110 Haken. 20. E. F.. 110 Gorman. N. 96. C. F. 110 Hajnal. R.. 114 Cartwright. J. 109 Harary. 79 Word: code. F. W. 63.. 68. 110 Coady.. 53. 109. H. 110 Gross. 110 Cohen. 113 Fulkerson. 10. L. 111 Hoffman. 110. 101. 52. 110 Gilmore.. L.. 103. 113 Brown. 113 Hutchinson. T. 16. N. 110 Edmonds.. 111 Heider. W.33. 109 Benzer. 86.. 20. 12. P. 110 Golumbic. E. 113 Hicks. 95.. R. G. 114 Boesch. 87. B. K. F.. J. 61.. 102. 109 Armstrong. 73. 109 Bassett. J. 109 Appel. C.. 101. 47. W. L.. 110 Clarke. 50. 83. 114 Harrison. L. 16. 110 Cook. 11. C. A. 89. 53. 67 X. 94. 13 Zn.!. D. 18. 96. 64. F. 104. 106. 109 Bellotti... K. 50. A. 4 solution. A. 86. 30 Author Index Anderson. 53. E. H. 109 Axelrod. 54. 63. 110 Hajos. R. C.. 12. G.. 110 Ghouila-Houri. H. E. 111 Cearlock. 103. J. 57.. 90. G.. 111 Johnsen. 8. 67.66.. O.. J.. 103.... 110 Jeffries.. 110 Fisek.. 113 Beltrami. W. E. 71. L.. 50. D. 15 121 Zurich. G.. 12. A. 44. J. 16. 65 Filippov... N. M. D. 67.. 49. 64. C. M.. 110 Hubbell. 26. 87. 17.. 65.. G. 111 Hutchinson. 37. 56.. 65. 111 Hutchinson. 53. 39 Water policy. 110 Gabai. 80. M.. B. 64. 74-75 Yosemite National Park.. 79. 17. D.INDEX Water-light-gas graph. 26. S.. C. 41. 46. 99.. J.. J.. 110 Good. 22.. 101. 109 Chen. E. 26. 92 of 1-factor. 109 Boland. F. D. C. S. 83. 111 Deo. 109. W. P. 109. 53.. L. 90 Weakly a-perfect graph: see perfect graph Weakly -/-perfect graph: see perfect graph Weakly connected digraph (multidigraph). 53. 98-99 Weighted graph. 110 Chvatal... 106. M. 111 Jamison. K. 110 Hahn. 110 Euler. H. 114 . R. L. 45. A.. 110 Coombs. 111 Hillier. B.. 89. 20. 40. B. 111.. 36. 44. V. 22. 110 Gilbert.. 82.. 111 Hewes. 109. 109 Forster. 110 Clarke.. 79.. P. 83. 43. 86. S. 12. 80. E. 65 Weight: of arc. A. A. 109 Berger.. J. A. A.. 111 Hubert.. Ch.. 105.. 32. L.. 110 Griggs. 56. 89 of cycle. 27. 109 Cesari. 112 Bradley. 109. 109 Antle. T. H. J. 90. 50. 111 Hurd. 109 Berge. 69. L... I. 37. 113 Dirac. E.

92. J. 101.. 50. 64. 62. C.. M. J. 105. 43. 112 Shevrin. 112 Luce. 110 Stahl. 114 Stoffers. D.. 86.. 12. 110 Thompson. 111 Klee. 90. 112 Lovasz. 113 Pimentel.50. R. 49. 105.. J. 111 Liebling. 114 Scott. 114 Wagner.. 113 Robbins. D. 63. 112. 113 Rado. 50. 114 Ruppert. J. 101.. 114 Tucker. P. G. 114 Thomassen. 102. F. 89. 51. 71.. 112 Lendaris. E. E. 112 MacReynolds. E.. P. 104. 109 Trotter. J. 111 Marczewski. 104. L.. 63. G. G.34. J... 112 Kruzic.. 11. 115 Zelditch. 110 Johnson. G.. W. S. B.. J.. B. 113 Roberts.. 112 Lynn.. 83. S. M. S. 83. 53. 53. 1. A. H. 110 Whitman.. 113 Richardson. J. 10. 12. R. K. 112 West.. J. 54. 64. J. C. 80. 90. R. 114 Morgenstern. 113 Oka. M. M. 90.. 64. 18. 113. 113 Parsons. 80. 84. R. M.. 101. 101. 109. 52. C.. 17.. 109. 109. 104. 90.. R. M. 111. 56. P. 110 Johnson.. 113 Pianka. 46. 99 Sumner... S. 80. 24. 54... 42. 111 Karp. H. 26. V.. 111 Vinton. 82. R.... 45. 114 Tyson. H. S. H. 27. W. M. 113 Miller. 89. 115 Johnson.. H. E. H. M. 30. N. K. M. 41. 114 Shapiro. 109. 101. 62. 26. 113 Metzler. F. 110. 81.36. 113 Lekkerkerker. 75. L. 113 Marcus. D. 101. 106.. 67.. 37. 112 Vandermeer. 109 Konig. L. 111 Reingold. 112 Liu. S. R. W. 50. E. 101. 114 Straffin. H. 43. 113 Norman. 60. M. O. 103. 29. 104. M. 73. 111 Tindell. 112 Lancaster. L. S.. C. Z. 8. P. 113 Von Neumann. 37.. W. 84. R. 113 Merril... 115 Wakeland. J. 16.. 59.. J. 112 Menger. 51. T. 61. 89. 41. J.. 13.. 102. 112 Koch.. R. 110 Taylor. 90. 40. 87. W. R.. 114 Shannon. 7. C. 114 Robinson. 114 Suranyi. K... 26. M.62. 41.. 66.. H... .. 11.. 32. 94.. 90. 69. 113 Samuelson. 112 May. 111.. 61. 105. E. 68. R.122 AUTHOR INDEX Quirk. E. 106. J.. R. D. J . 61. 73. 44. 111 Kendall... 114 Rosenfeld. 27. 112 Levine. W. R. 114 Morishima. G. R. K. T. 33. L. 82. 111 Wilkinson. G. 60.. 113 Wilf. 103.. 35.. 53. 89.. M. 113 Smith. 90.... 12. 61. 113 Poincare. 18. J. 114 Van den Driessche. J. 64. 89.. 67. J. 39. D.. 83. 83. 112 Lieberman. 52. 99. 89. 31. 68. K. 21. 113 Moore. E. 56. D. 23. 12. 112 Landau.... D. 110 Kane. J. M.. 81. W. 109. 8. 90. O. L. 3. 95. 20. 22. 113 Nievergelt. 27 . 113 Shepherd. P... 50. 112 Levins. 106. 111. 53. H. E.. 104. 113 McLean.. 56. 114 Sholes. 105. 10... 60. J. 63. 112 LeBrasseur. 112 Maybee... 114 Vertinsky. P. D. 114 Stockmeyer... 32. 89. 101. 113 Rush. S. T. C. G.. R.. 18. 113 Mosimann. B. N . P. 36.

W. Second Edition GLENN SHAFER. FIFE. Spline Models for Observational Data RICHARD S. VARGA. MARSDEN. S. Probability Theory and Combinatorial Optimization WERNER C. Lectures on Geometric Methods in Mathematical Physics BRADLEY EFRON. The Jackknife. CHUI. Dynamics of Internal Layers and Diffusive Interfaces CHARLES K. GARDNER. An Introduction to Structured Population Dynamics . Data Structures and Network Algorithms PAUL WALTMAN. H. Methods of Dynamic and Nonsmooth Optimization ROBERT B. M. McCoRMiCK. BUCKMASTER AND G. Lectures on Mathematical Combustion R. Nonlinear Renewal Theory in Sequential Analysis D. Scientific Computation on Mathematical Problems and Conjectures INGRID DAUBECHIES. Navier-Stokes Equations and Nonlinear Functional Analysis.(continued from inside front cover) JERROLD E. CLARKE. Combinatorial Algorithms: An Update HENRY C. Second Edition J. Branching in the Presence of Symmetry R. Quantile Processes with Statistical Applications J. CHENEY. LuDFORD. Graphs and Convexity E. Multivariate Approximation Theory: Selected Topics JOEL SPENCER. VARADHAN. Probabilistic Expert Systems PETER J. NEWELL. Foundations of Stochastic Differential Equations in Infinite Dimensional Spaces ALAN C. Theory and Applications of Sequential Nonparametrics LASZLO LovAsz. Mathematical Aspects of Geometric Modeling ROGER TEMAM. Methods for Solving Systems of Nonlinear Equations. Navier-Stokes Equations and Nonlinear Functional Analysis MiKL6s CSORGO. TEMAM. HUBER. Solitons in Mathematics and Physics PRANAB KUMAR SEN. WILF. Competition Models in Population Biology S. TARJAN. MICHAEL STEELE. Second Edition J. D. S. Random Number Generation and Quasi-Monte Carlo Methods JOEL SPENCER. WOODROOFE. Multivariate Splines HERBERT S. and Other Resampling Plans M. TUCKWELL. R. Ten Lectures on the Probabilistic Method PAUL C. An Algorithmic Theory of Numbers. RHEINBOLDT. S. E. Ten Lectures on Wavelets STEPHEN F. Robust Statistical Procedures. Second Edition CHARLES A. the Bootstrap. The Method of Equivalence and Its Applications GRACE WAHBA. SATTINGER. Ten Lectures on the Probabilistic Method. Large Deviations and Applications KIYOSI ITO. Multilevel Projection Methods for Partial Differential Equations HARALD NIEDERREITER. GUSHING. Stochastic Processes in the Neurosciences FRANK H. MICCHELLI.

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