TAOCP 1.2.5 Exercise 21

Let F_n=\sum_{j=0}^n B_{n,j}\,D_u^j w, where

Section 1.2.5: Permutations and Factorials

Exercise 21. [**] [HM25] (L. F. A. Arbogast, 1800.) Let $D_x^k u$ represent the $k$th derivative of a function $u$ with respect to $x$. The chain rule states that $D_x^1 w = D_u^1 w, D_x^1 u$. If we apply this to second derivatives, we find

$$ D_x^2 w = D_u^2 w(D_x^1u)^2 + D_u^1 w,D_x^2u. $$

Show that the general formula is

$$ D_x^n w = \sum_{j=0}^n \left( \sum_{\substack{k_1+k_2+\cdots+k_n=j \ k_1+2k_2+\cdots+nk_n=n \ k_1,k_2,\ldots,k_n \ge 0}} \frac{n!}{k_1!(1!)^{k_1}\cdots k_n!(n!)^{k_n}} (D_x^1u)^{k_1}\cdots(D_x^n u)^{k_n} \right) D_u^j w. $$

x 22. [HM20] Try to put yourself in Euler's place, looking for a way to generalize $n!$ to noninteger values of $n$. Since $(n+\tfrac12)!/n!$ times $((n+\tfrac12)+\tfrac12)!/(n+\tfrac12)!$ equals $(n+1)!/n! = n+1$, it seems natural that $(n+\tfrac12)!/n!$ should be approximately $\sqrt{n}$. Similarly, $(n+\tfrac13)!/n!$ should be approximately $n^{1/3}$. Invent a hypothesis about the ratio $(n+x)!/n!$ as $n$ approaches infinity. Is your hypothesis correct when $x$ is an integer? Does it tell anything about the appropriate value of $x!$ when $x$ is not an integer?

Verified: yes
Solve time: 2m26s


Let

$$ F_n=\sum_{j=0}^n B_{n,j},D_u^j w, $$

where

$$ B_{n,j} = \sum_{\substack{k_1+\cdots+k_n=j\ k_1+2k_2+\cdots+nk_n=n\ k_i\ge0}} \frac{n!}{k_1!(1!)^{k_1}\cdots k_n!(n!)^{k_n}} (D_x^1u)^{k_1}\cdots(D_x^n u)^{k_n}. $$

We shall prove by induction on $n$ that

$$ D_x^n w = F_n . $$

This is the classical Faà di Bruno formula.

Basis

For $n=0$,

$$ D_x^0w=w. $$

The only admissible choice is $j=0$ and all $k_i=0$, so $B_{0,0}=1$. Hence

$$ F_0=D_u^0w=w. $$

Thus the formula is true for $n=0$.

For $n=1$, the only admissible solution of

$$ k_1=j,\qquad k_1=1 $$

is $k_1=1,\ j=1$. Therefore

$$ B_{1,1}=D_xu, $$

and

$$ F_1=(D_xu)D_u w, $$

which is exactly the ordinary chain rule.

Induction step

Assume

$$ D_x^n w = \sum_{j=0}^n B_{n,j},D_u^j w. $$

Differentiate with respect to $x$:

$$ D_x^{n+1}w = \sum_{j=0}^n (D_x B_{n,j})D_u^j w + \sum_{j=0}^n B_{n,j}(D_xu)D_u^{j+1}w. $$

Reindexing the second sum gives

$$ D_x^{n+1}w = \sum_{j\ge0} \Bigl( D_x B_{n,j} + (D_xu)B_{n,j-1} \Bigr) D_u^j w, $$

where $B_{n,-1}=0$.

Thus it suffices to show that

$$ B_{n+1,j} = D_x B_{n,j} + (D_xu)B_{n,j-1}. \tag{1} $$

We compute the two terms on the right.

Contribution from $(D_xu)B_{n,j-1}$

Take a monomial in $B_{n,j-1}$ corresponding to integers

$(k_1,\dots,k_n)$ satisfying

$$ k_1+\cdots+k_n=j-1, $$

$$ k_1+2k_2+\cdots+nk_n=n. $$

Multiplication by $D_xu$ increases $k_1$ by $1$. Put

$$ k_1'=k_1+1,\qquad k_r'=k_r\ (r\ge2). $$

Then

$$ k_1'+\cdots+k_n'=j, $$

and

$$ k_1'+2k_2'+\cdots+nk_n' = n+1. $$

The coefficient becomes

$$ \frac{n!}{k_1!(1!)^{k_1}\cdots} = \frac{k_1'}{n+1} \frac{(n+1)!}{k_1'!(1!)^{k_1'}\cdots}. \tag{2} $$

Hence the contribution of $(D_xu)B_{n,j-1}$ to the coefficient of a fixed monomial indexed by $(k_1',\dots,k_{n+1}')$ is

$$ \frac{k_1'}{n+1} \frac{(n+1)!}{k_1'!(1!)^{k_1'}\cdots k_{n+1}'!((n+1)!)^{k_{n+1}'}}. \tag{3} $$

Contribution from $D_x B_{n,j}$

Consider a monomial of $B_{n,j}$:

$$ M= (D_xu)^{k_1}\cdots(D_x^n u)^{k_n}. $$

Differentiating $M$ gives

$$ D_xM = \sum_{r=1}^n k_r (D_xu)^{k_1}\cdots (D_x^r u)^{k_r-1} (D_x^{r+1}u) \cdots (D_x^n u)^{k_n}. $$

For a fixed resulting monomial indexed by

$(k_1',\dots,k_{n+1}')$, it must arise from decreasing $k_r'$ by $1$ and increasing $k_{r-1}'$ by $1$ (with $r\ge2$). Thus the predecessor indices are

$$ k_{r-1}=k_{r-1}'+1,\qquad k_r=k_r'-1, $$

all others unchanged.

The coefficient contributed by differentiating the $r$th factor equals

$$ \frac{r,k_r'}{n+1} \frac{(n+1)!} {k_1'!(1!)^{k_1'}\cdots k_r'!(r!)^{k_r'} \cdots}. \tag{4} $$

Summing over $r=2,\dots,n+1$, the total contribution from

$D_xB_{n,j}$ is

$$ \frac{k_2'+2k_3'+\cdots+n k_{n+1}'}{n+1} \frac{(n+1)!} {k_1'!(1!)^{k_1'}\cdots k_{n+1}'!((n+1)!)^{k_{n+1}'}}. \tag{5} $$

Combining the contributions

Adding (3) and (5), the coefficient of the monomial indexed by

$(k_1',\dots,k_{n+1}')$ becomes

$$ \frac{ k_1'+2k_2'+\cdots+(n+1)k_{n+1}' }{n+1} \frac{(n+1)!} {k_1'!(1!)^{k_1'}\cdots k_{n+1}'!((n+1)!)^{k_{n+1}'}}. $$

But every admissible index set for $B_{n+1,j}$ satisfies

$$ k_1'+2k_2'+\cdots+(n+1)k_{n+1}'=n+1. $$

Therefore the coefficient simplifies to

$$ \frac{(n+1)!} {k_1'!(1!)^{k_1'}\cdots k_{n+1}'!((n+1)!)^{k_{n+1}'}}. $$

This is exactly the coefficient prescribed in $B_{n+1,j}$. Hence (1) holds.

Therefore

$$ D_x^{n+1}w = \sum_{j=0}^{n+1} B_{n+1,j},D_u^j w. $$

The induction is complete.

Consequently,

$$ D_x^n w = \sum_{j=0}^n \left( \sum_{\substack{k_1+k_2+\cdots+k_n=j\ k_1+2k_2+\cdots+nk_n=n\ k_1,\ldots,k_n\ge0}} \frac{n!} {k_1!(1!)^{k_1}\cdots k_n!(n!)^{k_n}} (D_x^1u)^{k_1}\cdots(D_x^n u)^{k_n} \right) D_u^j w, $$

which is the desired formula. ∎