EXTREMAL PROBLEMS IN DIMENSION THEORY FOR PARTIALLY ORDERED SETS by Robert Joseph Kimble, Jr. B.S. United States Naval Academy (1970) SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY at the MASSACHUSETTS INSTITUTE OF TECHNOLOGY Signature .Qepartment of Mathematics, May 4, 1973 Certified b.. . . .. t ( Thesis Supervisor Accepted by...... Chairman, Departmental Committee on Graduate Students Archives (AUG 8 1973 2. EXTREMAL PROBLEMS IN DIMENSION THEORY FOR PARTIALLY ORDERED SETS by Robert J. Kimble, Jr. Submitted to the Department of Mathematics on May 4, 1973 in partial fulfillment of the requirement for the degree of Doctor of Philosophy. ABSTRACT This thesis is concerned with answering the following "Given a finite poset, P, how many lists of question: the elements of P are needed to satisfy the condition that x is below y in P if and only if it is before y in each of the lists?" Chapter 1 gives a new proof of a theorem by Hiraguchi which states tha& for a poset containing n > 4 elements, at most [N] lists are needed. In Chapter 2 we use the ideas of Chapter 1 to characterize those posets on 2n > 6 elements which need n such lists. The last two Ehapters solve the same problem for posets on 2n + 1 > 7 elements which need n such lists. Thesis Supervisor: Curtis Greene Title: Assistant Professor of Mathematics 3. Acknowledgements The author would like to thank Curtis Greene for serving as thesis advisor and for investing much taluable time and effort in the preparation of this thesis and in the general education of the author. Special thanks are also due to W. Thomas Trotter and Kenneth P. Bogart for several interesting and enlightening conversations on the subject. 4. Table of Contents Introduc tion Chapter 1 - Hiraguchi's Theorem Chapter 2 - Characterization of 2n element Posets with Dimension n for Chapter 3 - Characterization of 2n+1 element Posets with Dimension n for Chapter 4 - n > 3 n > 5 Characterization of 2n+1 element Posets with Dimension n for Appendix References Biographical Sketch n < 4 5. Introduction The idea of dimension pervades many branches of mathematics, extending far beyond its geometric origins. In many cases the introduction of an intrinsic dimension has been a fruitful source of new ideas. As a purely combinatorial invariant, however, the dimension of a discrete structure is often extremely hard to calculate or even characterize in any simple way. The case of Kuratowski's theorem and the general problem of testing graphs E6r planarity is an outstanding exception. The theory of partially ordered sets (posets) provides a natural but difficult problem of this type: given a poset P, find the smallest integer that P can be imbedded in Fk . componentwise ordering of dimension of P. It R k, k such preserving the natural We define k to be the then turns out that this invariant has another important combinatorial interpretation: it is the smallest number of lists of the elements of P such that before y x < y in P if and only if x is in every list. Despite the elementary nature of the problem, 6. very few results were known until recently. papers of Szpilrajn [8], Dushnik and Miller [6], - etc. The first gave simple classes of examples and proved the equivalence of the two definitions given above. The main result was that a product of k chains itself has dimension k. More recently, a paper of Baker, Fishburn and Roberts [1] gives a thorough analysis of the case k = 2. The starting point for this paper, however, is the work of Hiraguchi [71 in 1951, the subject of which is primarily concerned with bounds on the dimension of P. In his paper, Hiraguchi proves a basic inequality: if P is a poset on a set is at most 1.XI. X, then the dimension of P His proof was extremely long and complex, and was shortened somewhat by Bogart [3]. The first main result of this thesis it a strengthening of Hiraguchi's theorem, together with a new proof which is far shorter and more illuminating than either of the previous ones. This proof is contained in chapter 1. In recent work, Bogart and Trotter were able to characterize those partially ordered sets the dimension is -7iXI provided that JXj P for which is even, and 7. k > 3. k = 3, With a single exception when they are obtained by taking the elements of ranks 1 and k-1 in a Boolean algebra with k atoms. In chapter 2 we show how the methods of section 1 lead naturally to a short proof of Bogart and Trotter's theorem. The next two chapters are concerned with solving the same problem when JXI i characterize those posets with dimension k. odd. That is, we 2k + 1 elements and The final solution is that, aside for 13 exceptions when k = 3, every such case is obtained by adding a single point arbitrarily to one of the Bogart-Trotter examples. The proof of this result is much more difficult than the preceding ones, although most of the difficulty lies in handling the small cases. In fact, it is relatively easy to give a short, self-contained proof for the case k > 5. This is the content of chapter 3. In chapter 4 we continue the much more difficult case k = 4. These arguments in turn are based on a list of exceptional posets for k = 3 obtained by exhaustive search of all posets on 7 points. One of the most difficult problems in this area - 8. still largely unsolved - is to find good methods fdr computing the dimension of explicit posets. Even when the number of points is small, the problem can be prohibitively difficult. In the course of proving the main results of this thesis, it was necessary to develop a wide variety of computational tools. of good algorithms, it In the absence is resillts of this type which may be the most useful for developing a full understanding of the subject. 9. Chapter 1 Hiraguchi ' s Theorem A poset, P, on a set, X, is a partial order relation P C X X. x A linear extension, L, of order L C X write x <P-y in or P x y X such that or y > P C L. and y of is above X x in P. any P x x < y or y > x. is below An antichain, A, in P is a subset of X is a subset of P. P if X whose A chain, C, linearly ordered by x c X, [x] + = {y s Xjx > y} P. For and is called the closed principal ideal determined by x; dually, (x) + = {y s Xix < y} and is called the open principal filter determined by x. linearly ordered by L will represent this as sets X and Y If and X = {x , x 2 x2 < x1 < L = x1x 2 '' X n. are linearly ordered by is x'I} .'' se <' n-, we If two disjoint K and L, respectively, then concatenhbion of the two strings, KL will represent K U L U (X x y Two elements (and we write P is in <y,x> we If the partial order elements are mutually incomparable in in <x,y> e P are said to be incomparable in nor <x,y> either x 1% y). If is a linear -x, and we say that is obvious we simply write x P Y). Finally, let P 10. be a poset on X and let Now, let P be a poset on Y C X. X. of all linear extensions of P. Szpilrajn [8], we have that P = PY =P Then Let t n Y x Y. be the set Then by a theorem of L. With this we L ej can make the following Definition: The dimension of P, d(P), is the smallest size of set of linear extensions of section is P whose inter- P. We conclude this preliminary section with one last Definition: The width of size of an antichain of P, w(P), is the greatest P. For the rest of the paper we assume that In this chapter we assume on a set X. P is a poset IXI = n. We begin with some basic elementary results concerning the calculation of d(P). Lemma 1: (i) (ii) If If Y C X P disjoint union of then d[PIY] < d(P). is a poset on PlY and Y U Z PIZ, then and P is the li. 21. d(P) = max {d(PIY), d(PIZ), If (iii) P has a maximal element x, then = d[PIX\{x}]. d(P) If (iv) other z > x and then z c X), have the same comparabilities y and z < y if f (z x d(P) = d(PIX\{xl) d(P) = max {d(PIX\{x}), 21 (v) X if x % for all x 96y if and y. d(P) is a chain, then X If z > y iff = 1 and if d(P) = 2. is an antichain, Proof: (i) P = L in If ... n Lk, then p|y = L1 Yno.. .eL LkIY (ii) PlY = L in ... nLk Let Piz = min .. a. n where (iii) P = j < k. ..MJ,\LJ P = L M1 00 PIX\{x} = L C) Let and let Then M Lk ) .. Lk Then L1 xn...' Lkx. (iv) for some Let M1 PIX\{x} = L1n... and N f or f 0Lk 1 < i < k. Then If L i = M iyNI y < X, then 12. n P = M 1yxN (.. P = M 1 y xN 1 (v) r MkyxNk. M2 xyN2 If X Proof: let Li let Li = If Let y n... O MkxyNk iti = 1. P = (x x 2 ' 'x PIX\{xl = Lj \ ... * Lk = For Lk. be a linear extension of Let If X is 2 x1 ) d(P) < 1 + d[PIX\{x}]. then x C X, * LitX\{x}. then x, ' is a chain then an antichain, then Lemma 2: If P 1 <i such that [Lk! (x)+]x[LkiX\Ex]+] Lk+l = [Lk IX\[xl+]x[LkI(x)+]. and Then P = L *o.,..Lk+l. Corollary 3: If Lemma 4: Le t C Y C X then d(P ) < be a chain in a linear extension of P P. jX\Yj + d(PIY). Then there exists in which every element of is above everything with which it is incomparable. Proof: Let Let C = {xl,... xm} X0 = XVX 1]I, let X = with x 1 < ... < xm. = [x il+\[ i+l1I for C 13. 1 < i < m L XM and let = [x m+. be a linear extension of L = L0 Li ... LM 0 < i < m, let For PjXi. Then is the required linear extension. We are now in a positibn to prove two basic inequalities for Hiraguchi [7]. The first was known to d(P). The second is new. Theorem 5: (i) d(P) < w(P) (ii) d(P) < max {2, n-w(P)} Proof: (i) By Dilworth's Theorem [5] there is a set of w(P) chains in P whose union is For each chain of X. P such a set construct a linear extension of Lemma 4. Then P as in is the intersection of these linear extensions. (ii) w(P) Let A C X and assume that any two elements of be an antichain of P |X\AI > 2. and X\A. Let x of size y Then by Corollary 3, d(P) < d(PJA U {x,y}) + n-w(P) - 2. But by the reduction of Lemma 1, it is clear that PIA U {x,y} be has the same dimension as one of the four following posets: / / a1 a2 a3 A Ix x x A y Y A ar A It is easily verified that all of y these posets have dimension 2; for instance, the first is a 1 a 2 xa 3 y a 3 a 2 ya 1 x. d(P) < 2 + n - w(P) n - w(P) > 2. 2 = n - Thus, w(P) provided that d(P) < 2. Otherwise We obtain as an immediate corollary the following Corollary 6: containing (Hiraguchi) n > 4 Let elements. P Then be a poset on a set d(P) < [n]. This was the main result of Hiraguchi's 1951 paper [71. His proof was extremely long and Bogart recently gave a shortened version [31. In a sense, Theorem 5 can be regarded as a refinement of Hiraguchi's theorem. The proof is much simpler and more direct than those of Bogart and Hiraguchi and it contains more information. X 15. In fact the technique used here is the basis for our attack on the next two problems of this paper. 16. Chapter 2 Characterization of 2n element Posets with Dimension n. In 1941 Dushnik and Miller [6] gave an example of a poset, P, on a set, X, where d(P) = n; namely, let X lxi = 2n be the set of n-i element {l,...,n} subsets and 1 element subsets of the set and let P and be set inclusion. We call this poset S 2 n* Furthermore, there is a six element poset, , of dimension 3. C6 = showed that for n > 3 Bogart and Trotter [4] these are the only examples. In this chapter we show how the methods of Chapter 1 can be used to give a relatively short proof of this result. The main idea is to find conditions under which the basic inequality d(P) < n - w(P) can be made strict. In Lemmas 9, 12 and 13 we give three important conditions of this type. By Corollary 3 it is sufficient to give conditions under which IX\Al = 3 and d(P) < 2 adding more elements preserves the relation d(P) < |XI-|AI. since 17. But first we need some ground work. will be a maximal antichain in A C X element of A and we define Given A, we P. X\A to be the elements of A define In this chapter, above some dually. A* Thus, X is * the disjoint union of A, A and A*. In Lemma 1 we gave some conditions whereby we could remove an elemet from a poset without lowering its In such a case we say, after Hiraguchi [71, dimension. that We now give another such is d-removable. x condition Definition: is no z e X Let y incomparable with element. x >- y x < y iff Then unless x. x and there Furthermore, we as a cover. be a maximal element of precisely one element X x) x < z < y. such that refer to such a pair, Lemma 7: covers (y x < y P covering Suppose that the element of have a minimum or a maximum X\{y} y is a chain, is d-removable. Proof: Let PIX\{y} = L ()...ILk, that the elements incomparable with element, z. We may assume that in k > 2. x Ll, Suppose have a minimum x is below z. 18. Let L1 ' be t P = L Then with L placed immediately above y We may assume that in 2 < i < k, let above x. Suppose then that the l L 2yf...CLky. elements incomparable with Li' Then Corollary 8: x L1 be have a maximum element z. x is above z. Li x. with y Then for placed immediately P = Lly 0 L 2 'fl ... G\Lk * y Let that the elements of and x incomparable with X Then if k minimal elements. Suppose be as in Lemma 7. x have d(PIX\{y}) > k, y is d-removable. Let Proof: assume that PIX\{y} = L 1 x O. m > OVLm, k is below each of the k. We may minimally incomparable elements at least once in the first k linear extensions. For 1 < i < k, let placed immediately above P = ... L Lemma 9: nLk' Suppose .... A* x. Lk+ly L ' be d(P) < 2. with y Then ... is empty, Lmy' w(.PIA*) does not contain a subposet isomorphic to Then Li * < 2 and PjA* 19. A | = 1, 2. assertion is true for and lA j. By Theorem 5 the By induction on Proof: IAI = n > 3 If has a maximum element, then by application PIA Suppose then of Lemma 1 we can use the inductive step. w(PIA*) = 2. that Then by Dilworth's Theorem, there C1 are two maximal chains, C lU) C2 = A . that x, and Suppose C1 x or y+ and a and a < yi 1 y1 . } for and a Iyi+1 } n a1 ... Then an-l xbn-n-1 assume that elements. y > z P =b C Let and w > x ... .*.. C2 Yi Let By Lemma 1, Yi = {bi} b n-a yn-1 ... for 1 1 We can therefore both contain at least two be the top two of be the top two of {A c Ala 4x and b y1 . a < yi and 1 < i < n. for Xi = {a i} we can assume that 1 < i < n. 1 < i < n. By is below A Xi = {a e Ala < x Let such > yn-1* ... Lemma 1 we can assume that everything in either P A* in has one element, y1 > has n-i elements, C2 C2 , and C2 . Lemma 1 and we can assume that Now, by hypothesis we must have C1 We can assume x # z w > z and w # y by by Lemmas 1 and 7. or y > x. If both, we can again use Lemmas 1 and 7 to reduce to the 20. inductive step. Thus, we can assume w > z and By Lemmas 1 and 7 we can assume everything in below both w and y. PIX\{wl = L1 elements, fn and x P minimal in Proof: Since and Suppose PIX\{w} we have and Suppose A "' x. is By the inductive step y, M for suitable Lemma 10: L2 . y M2 . x contains two maximal L1 = M 1 x Then P = M xw is maximal in x nv y. Then and P L 2 = M 2y M 2 wy. and y is d(P) < 1 + d(PIX\{x,y}). PjX\{x,y} = 1L., ... Then Lk. P = yL1x...flyLkx 0 (LkI(x)+)x(LkIX\[xl+\[yl+)y(Lkt(y)+). x < y, is said to be a cover of A cover, Definition: rank k iff there are precisely k pairs, x < a, b < y that and <ab>, such a ev b. The following very useful lemma is due to Hiraguchi [7]. Lemma 11: d(P) If x < y is a cover of rank 0 or 1, then < 1 + d(PIX\{x,y}). Proof: Let PIX\{x,y} = LCn.fLk. cover of rank 1, let <a,b> If x -< y is a be the pair of incomparable 21. x < a elements such that a linear extension of let PIX\{x,y} 1 < (LklX\[x]+)x(Lk i < k that L let = Example: Proof: x -< y Then P I(A U A A*) Then are possible: x*y A* = {zl. and \ z; x > z P such n+L' x is covered x,z * or d(P) PJA 1 < 2. Assume then that Then the following cases x > y > z; x > y and and let is empty, then the A* or assertion follows from Lemma 9. = {x,y} Lin ... Now, is a cover of rank 0. has one element. If either = be a cover in which x < y Then P and ' y; or x > y,z and y \ z. In the first case we can assume by Lemmas 1 and 7 that everything is below x. the result holds. Then by Lemma 1 and Theorem 5, The second case follows immediately from Lemma 1 and Theorem 5. is For be a linear extension of Suppose Lemma 12: A* Li' Lk b < a. in which x)+\[y]+)y(LkI(y)+). Li' X\{x,y}. Let only by y. A and assume Lk' = (Lk1(x)+)x(Lk1y)+Ex+)y(T kIX\[yl+) L'+1 = and b < y and In the third case we can assume, using Lemma 7, that everything in A is either 22. between x and z we can assume that or below both A x and y. has two elements. By Lemma 1 The resulting poset has 5 elements, and hence its dimension is 2. In the last case P has the same dimension as x We may remove the circled z element by Lemma 7 and we may remove A* |A Suppose is empty. Proof: by Lemma 1. d(P) < 2. Thus we have Lemma 13: y Then U A*= 4 and neither A nor d(P) < 3. By use of the elementary reductions from the preceding lemmas (incomparable minimal and maximal elements or covers of rank 0) we-reduce the cases to the following two: an antichain and A* = {c,d} A = {a,bc} a,b,c > d A* = {d} and or = {a,b} A with both being antichains and Using Lemma 1 we can assume that A with A and a,b > c,d. has at most 15 elements - a 1 , comparable only to a; a 2 , comparable only to b; a 3 comparable only to c; a 4 comparable only to d; a 5 comparable only to a and b; a 6 , comparable 23. only to a and c; a7 , comparable only to a and d; a 8 , comparable only to b and c; a9 ; comparable only to b and d; alo, comparable only to c and d; a1 1 , comparable to all but d; a 1 2 , comparable to all but c; a 1 3 , comparable to all but b; a 1 , comparable to all but a; and a 1 5 , comparable to all four. first case, P = a 1 a 3 a 6 a 8 a 1 da 1 5a a2 13 apa 1 0ca 2 agaa 5 aa 2 ba 5 da 7 a 6 a1 3 al1 a1 2 a1 5 alaaga 8 a1 4ba 1 0 n daa Then in the 1 0 a 4 a 8a 9 a1 5 a1 2alla 5 a 2 ba1 3 a 6 a7 f... a 3ca . . a 3 ca1 a In the second case, P = da 4aa a 7 0a 1 2 ca1 0 a 1 3 a 6 a1 5 a1 1 a 5 aa1 a 8 a9 a 2 ba 3 2 da 9 ca 3 a 1 0 aa 1 4 a 5 a 1 1a 15 a 12 ba6 n a a ca 1 5 1 3 a7 *0 a aa 4 3 a 2a 1 1 a 6 a8 daal2a 1 3 a 5 a9abaa 1 0 a4 The above proof is an example of a proof by "brute force". There appears to be no elegant reduction in view of the 24. fact that any of the elements of A U A* may be removed and still leave a poset of dimension 3. Further- more, there are plenty of examples of posets where removing two maximal or two comparable extremal elements lowers the dimension by 2. The only recourse then was to find three linear extensions of intersection yielded P. P whose These were found by the author in a relatively short time, but they were done mainly by trial and error. Thus, if the reader attempts to find the motivation for these lists, he may encounter some difficulty. We can summarize the results of Lemmas 9, 12 and 13 in the following form. Corollary 14 jX\Al > 3. Suppose Then A is a maximal antichain and d(P) < IX\Al except possibly in the following cases: (i) X\A is an antichain lying either entirely above or entirely below A (ii) with of A X\A. *X\Al = 3 and PIX\A or lying between the minimal and maximal elements 25. Proof: IX\AI > 4 If and A*, then the A* # $3 corollary follows from Lemma 13. A* = 0 If and X\A is not an antichain, then the corollary follows from Lemma 9. Hence (i) must hold. If IX\AI = 3, then either (i) or (ii) holds by Lemmas 9 and 12. The main theorem now follows easily: Theorem 15: |X| = 2n (Bogart and Trotter [4]). and n > 3. Then C6 or P = S2 n d(P) = n Suppose (or the dual of C6 . n = 3, then there are only a few six element If Proof: posets satisfying the restt±ictions of Theorem 5 and Corollary 14. If then we may assume from Theorem 5 and Corollary 14 n > 4 that Examination of these yields the conclusion. X = A U A * x1 e A Now, let for two n element antichains y1 c A and be incomparable. such pair exists, then d(P) = 2 < n. d(P|X\{x ,y1 }) = n - and by induction S2n-2. where Thus, xi ". Yi 1 A = {x,...,xn for I and 1 < i < n. allows us to conclude that A A A If no Thus, by Lemma 10, PIX\{x1 ,y1 } m = {yl,...,Yn} Removing xi < yj for and xi and yj 2 < i, J < n * 26. and i that j. x < Yj Removing for Finally, removing x < y2 and x2 x2 y2 and 1 < i, j < n x3 y1 . and Thus y3 allows us to conclude and 2 # i / j # 2' allows us to conclude P = S 2 n* 27. Chapter 3 Characterization of 2n+1 element Posets with Dimension n,. n > 5 After Bogart and Trotter proved the preceding theorem, they posed the question of characterizing maximal The dimensional posets with an odd number of elements. techniques they had used to prove Theorem 15 were too cumbersome to attack this problem. They had not discovered Theorem 5 (11), which is extraordinarily useful. Using this fact, we conclude that a 2n+l element poset having dimension n must have width n or n+l. Armed with this knowledge, we proceed in the following manner; first, if the poset has width n+l, we show that it consists of two antichains, one of size n and the other of size n+l. If the width is n, we show that the poset has two disjoint n element antichains. If n > 5 we then show that the poset in fact has a subposet which is isomorphic to S n* 2 This says that there are no really new examples of posets of dimension n, if we are allowed 2n+l elements in our poset instead of only 2n. To make this more precise, we first make the following 28. D-efinition: A poset if for every P on X x e X, d(PjX\{xl) is said to be irreducible = d(P) - 1. In other words, if we remove any element of X, we lower the dimension. In this chapter, we will prove the following Proposition: For n > 5 there are no irreducible 2n+1 element- posets of dimension n. Suppose then that w(P) = n We know that w(P) = n + 1. Let element antichain. Lemma 9, A lX| = 2n+l or n+l. n = 3 and Suppose for now that A C X and let Assume that d(P) = n > 3. A* be a four is empty. By must be a three element antichain. Examination of the seven element posets satisfying the above oonditions yields the following seven examples: and Note that first four contain a subposet isomorphic to S6. 29. and the last three are irredudible. We are now in a position to state for n > 4. Proof: lXi Suppose Lemia 16: Then Let A P = 2n + 1, d(P) = n A* be an antichain of size n + 1. Then there is at least one pair of is empty. n = 4, A = {al, a 2 , a3 , a 4 , a 5 } {b1 , b2, By is also an antichain A incomparable minimal and maximal elements. A w(P) = n + 1 contains a d-removable element. Corollary 14 we may assume that and and b 3 , bg} a1 with Suppose and b1 . ", By removing them we must be left with one of the seven posets of dimension 3 listed above. irreducible poset: first b2 2 If that Suppose we are left with the a5 b, a b3 b4 a3 a4 < b 2 , b3 , b 4 . would be d-removable. Now removing a5 then removing them allows us to conclude a2 , b 3 But then either So we may assume must leave either a or a5 < bi. a5 30. b b2 b b b2 b4 or al a3 a4 ai a5 In both instances we conclude that '\ b 2 , then removing dimension 2. b > a and a4 a4 a5 By symmetry Now if leaves a poset of Again by symmetry we may thus conclude a 1 < b2 , b 3 , b . that b3 b b1 > a 2 , a4 . we are also led to conclude a a3 b2 b3 Thus b4 P But then removing a b 2, a 3 a2 a3 a4 a5 leaves a poset of dimension 2, contradicting the hypothesis that d(P) = 4. Suppose that removing irreducible poset: a1 , b 1 leaves the last 31. b2 b3 b4 a2 a3 a4 a5 As befoDe, we may assume that a5 < b1 . allows us to conclude that Now removing a4 , b4 a ,< b2 , b But then removing a3 , b4 leaves a poset of dimension 2. a, b leaves the a4 a5 b3 allows us to deduce that a1 < b 2 , b4 Finally, suppose that removing second irreducible poset: b2 b3 a2 a3 Removing a2 and a a5 < b1 . < b 3. b4 Removing Removing dimension 2. a 5, b 2 a4 , b3 allows us to deduce that then leaves a poset of 32. Thus, by induction removing a pair of incomparable minimal and maximal elements leaves a poset containing S 2 n-2* Proceeding in a manner similar to above allows us to conclude that to P contains a subposet isomorphic S 2 n, thus establishing the Lemma. We now proceed to develop the tools necessary for handling w(P) = n. the case The following lemma gives important d(P) < n - w(P) - conditions under which 1. The proof is very much like the proof to Lemma 12 and the lists used here are based on those of Lemma 12. Due to the length of the proof and the fact that it has little expository value, it is given in the Appendix. Lemma 17. A Let be a maximal antichain of P such * that neither A nor is not an antichain. then Proof: A* If is empty and at least one A*U A*I < 5, d(P) < 3. Given in the Appendix. Lemma 18: Let A a poset, P. Then Proof: PtA Let be the set of all minimal elements of d(P) < 1 + w(PIA ). = C1 U U0.. Ck where each C is a 33. Li, 1 < ± < k Let chain. be a linear extension of C in which every element of Let incomparable to it. M P = L . IA* I A Let = If Proof: 5 and L1 = C1 U A where Then be the set of minimal elements of w(PIA*) < 3, then d(P) P. d(P) < 3. < 3 by the w(PIA*) = 3. we may assume that Hence, where these are disjoint C2 U) C3 we may conclude that d(P) < 1 + d(PIA P jC 2 (UC A. 1 IA*) By the now legendary pigeon-hole principle chains. Then on w(PIA*) < 2, then previous lemma. Then (MIA)(L Lk+l* Lemma 19: If is below everything Lk+l reverses the order of P 3 . C1 U has only one element. C2 U C3) < 3 by Lemma 9 unless We can remove either C1 or C2 and use Lemma 9 unless neither is a cover of rank 0 which can happen only if \/ PIA removing the top element of C2 . But then allows us to use Lemma 9. We can summarize the results of Lemmas 17 and 19 in 34. Corollary 20: IX\A| > 5. Suppose A d(P) < Then is a maximal antichain and IX\Al - 1 except possibly in the following cases: (i) and X\A lies either entirely above or below IX\Al - 1 w(PIX\A) > U X\A = A (ii) A A* and A and A* are both nonempty antichains. Proof: (i) follows from Lemma 19 and (ii) follows from Lemma 17. w(P) = n. We are now ready to start on the case where Lemma 21: Furthermore, in P, A * is an n element set. * A Let {c,bn I n > 5. Then P contains a subposet S 2 n' A* = {al,...,an}. an antichain. = suppose that for some n-element antichain, A, isomorphic to Proof: IXI = 2n+l, d(P) = w(P) Suppose {c}, A = {bl,***.bn I and Then Corollary 20 says that We may assume that c < bn. * A Removing by Lemma 11 allows us to conclude that is 35. PIA U A \{an,bn} with 2n- 1 < i < n - 1, let Now for as follows. Place bi L place it above Now, if bn > c, below b an be constructed as Now c bn, keeping in mind that bi, place it is incomparable to but above is either otherwise, it must be put a,; Do the same for below ai. J P If it is incomparable to incomparable to or below ai. ai l< i<n-1. bi aj. above for ai ai and bi. Otherwise it must * be place above b and above between elements below j some an and and above n A and place the remaining bn ai. c < ai P = L hen bn " c c i, then an > b, A arbitrarily, place the elements of an c Now place the rest of bi. Note that if c < b by hypothesis. n-. ... for Now, if So we may suppose an > c, then we use the same linear orders If as above with the following modifications. We find some bn nu ai i between or an % bi. If bn below \,ai an and n - 1 such that If none exists, then and in a 1 Lii and If bn an and for some an , bi, then PA U A bn reverse them. an > bi, place j $ i, for which Z S2n' is immediately Then bn P = L1 .. Ln-10 immediately above bn < aj, place 36. b immediately above must exist or else If bn < a below ai bn and bn an \,b., P an = note that such Then then we place an L in L1 ... - an > b , place If an then follow the above instructions replacing Again, if this is not possible, then Ln-l* immediately again such Ln-l. a (\...n P = L j # i, for which and for some Then L w(P) = n + 1. immediately below must exist. in PIX\{bn} bn a C, - by c. X Now suppose we have a seven element poset with three minimal elements and three maximal elements. Further- more, suppose that the remaining element is below at least two of the maximal elements and above at least two of the minimal elements. The only two such posets which don't have a d-removable element by Lemma 1 are or The ones which do have a d-removable element all have dimension 2 and so do these two. Thus, all such posets 37. We are now ready for have dimension 2. Lemma 22: lXI Suppose more, suppose P = 9, d(P) = w(P) = 4; further- has four maximal elements, four minimal elements and a ninth element below at least two of the maximal elements and above at least two of the minimal elements. Then P restricted to the maximal and minimal elements is isomorphic to Proof: Let a1 , a 2 , a 3 , a 4 b 1 , b 2 , b3, b 4 S3 . be the minimal elements, let be the maximal elements and let a 1 , a 2 < c < b3 , b . a3 If either incomparable to either b1 or leaves a poset of dimension 2. or a4 is b 2 , then removing them Now a1 and a2 must have different comparabilities and so must a3 and a4 , b1 and therefore assume if a2 \,b 2 , then Likewise for c < b2 a3 b2 , b 1 > a 1 n,b 2 b2 b3 b and We may b4 > a 4 and \ b 3. Now, is d-removable by Corollary 8. a3 if 'v b 3. If a 2 < b1 , then is a cover of rank 0, and removing it leaves a poset of dimension 2. a 3 -v b 4 . below and c, But then Thus, PIX\{c} then we must have a 2 '\ b1 . - S8. If Similarly, a3 a1 , a 2 , a 3 is also all below 38. b 1and b2 or else removing two leaves a poset of dimension 2. a1 , a2 or a3 But then is d.-removable. Thus, we have the lemma. Lemma 23: and P Suppose IXi = 2n + 1, d(P) = w(P) = n > 5. has n minimal elements. subposet isomorphic to Proof: Let elements. B = {b Then P contains a S 2 ne A = {a1 ,...,an} be the set of minimal Then by Corollary 20, w(PIA*) = n. ,.-.,bn} the element of two elements of CA be an antichain and let A*\B. A Now if c c be is not above at least and below at least two elements of B, then the lemma is established by Lemma 21. then that Let a 1 , a 2 < c < bn-1, a 3 ,...,an < bl...,6bn-2. bno Then Suppose Now suppose that PIX\{a 1 ,bn} has dimension 2 which contradicts the hypothesis that d(P) = n > 5. Assume then that a3 b3 . Removing them gives a poset satisfying the hypothesis of Lemma 22. Thus we conclude that a < b; for i < i < 2 ai \ bi 2 # i # j # 2. for Now, if 1 < i < n a 3 q bi, then removing them implies that the same comparabilities as bi and b3 has and is therefore 39. d-removable. a3 < bl, b2. Thus b3 > an-1 a1 < c Now 1 < i < n c, 1 < I < n implies that bn ± # 3. and is a cover of rank 1. a 3 < bi, Removing it implies that i # 3, and removing Similarly, and b3 > a , PIA U B = S2n' Thus We wrap us the remaining difficulties with Lemma 24: Suppose such that JA *, d(P) A |Aj is a maximal antichain in > 2 jA U Agl = 6. and P Then < 4. Proof: Given in the Appendix. This immediately strengthens Corollary 20. Suppose Corollary 25: IX\AI > 5. Then is a maximal antichain and A d(P) < IX\Aj - 1 except possibly in the following cases: (i) size either IX\AI (ii) - 1 A* or A* contains an antichain of or IX\Al = 5, IA*I, IA, > 2 and both are 4o. antichains. Lemmas 16, 21 and 23, and Corollary 25 are summarized in Theorem 26: For n > 5, there are no irreducible 2n+1 element posets of dimension n. 41. Chapter 4 CharacterIzation of 2n+1 element *Posets .with Dimension n, n < 4 In Chapter 3 we were able to show that there were no irreducible 2n+1 element posets of dimension n for n > 5. In this chapter we will show that this same statement holds for n = 4, but not for n = 3. The existence of seven element irreducible posets of dimension 3 has been known for some time. Baker, Fishburn and Roberts [1] give an example isomorphic to and Bogart and Trotter give the following example: Subsequently Trotter and this author have independently examined all seven element posets of width 3 and 4 to discover all those irreducible of dimension 3. 42. Including the first two mentioned, here - along with duals of course - is a complete list: 0 073- I x 43. With this knowledge we can ask the question, "are there any irreducible nine element posets of dimension 4?" If the width is 5, the answer is no by Lemma 16. If the width is four, then by the previous lemmas we can conclude that such a poset has two disjoint antichains of size 4 * or it has a four element antichain, A, such that A* are antichains of sizes 2 and 3. A and In the first case we can assume by Lemma 22 that we have a four element * antichain A, such that A has one element and A* is also an antichain. Lemma 27: lXi Suppose = 9 Furthermore, suppose that of size 4. Proof: Then P and P d(P) = w(P) = 4. has two disjoint antichains contains a subposet isomorphic to S . The only case not covered by Lemmas 20 and 21 is the case in which the remaining element is above both antichains, and removing it along with an element it covers, leaves an irreducible poset of dimension 3 in seven elements. Let Then we can assume A be a four element antichain. A = {al, a 2 , a 3 , a 4 }, * A* = {b1 , b 2 , b 3 , b4} c is above and A* {c}. a 1 , a 2 , a 3 and a4, then Clearly, if PJA U A4 * ~ 8 44. of al, c c > a,, a 2 , a 3 . a 4' Assume that leaves Suppose the removal . Then we can assume without loss of generaltty that the poset is labelled a2 as follows: b b2 c, a3 b3 b c, a 2 , we can conclude that Now, by removing Removing a4 a3 b3 , b4 < a . we can also conclude that But then removal of a 4 , b3 Suppose that the removal of b2 < al. bh, leaves a poset of dimension 2. a1 , c leaves 04 a2 a3 a b2 b3 b4 Then it can be labelled either a2 a4 b a or 4 b b2 b3 In either case, removal of that N a > b, , b b c, a 2 Then allows us to conclude a or a2 can be 45. removed. Finally, suppose removal of a1 , c leaves a a2 3 a4 Then it can be labelled either 4 2 b2 b3 b b2 3 b4 or 1 b4 In either case, removal of a 4 , b4 leaves a poset of dimension 2. Assume that of c, a a1 , a 2 < d ~'j a 3 , a4 . Suppose removal leaves a2 a3 a4 b3 b4 Again we can assume it is labelled b1 Removing or a a or c, a 2 we can conclude > b 1 , b2, b3, 1b4. a2 b2 b1 , b 2 < a1 r, b 3 , b4 In the first case either can be removed. In the second case a 4 > b4 is a cover of rank 0 and removing it leaves a poset of dimension 2. 46. Suppoee that removal of c, a1 leaves Then it can be labelled either a2 a3 a a a3 a2 or bi b2 b3 b4 In the first case, removing b1 c, a 2 that But then removing b 1 , b3P b 4 < a1 " b 2* leaves a poset of dimension 2. removing b < a1 c, a 2 In the second case, But then either Suppose then that removing a or a1 the same comparabilities as a2 c, a1 For any way that this is labelled, removal of gives a4 , b1 allows us to conclude that k b 2, b 3 , b . be removed. b2 b3 b4 allows us to conclude leaves c, a 2 a 2 , and hence, either can be removed. Finally, assume that Suppose that removal of a1 < c c, a1 'V a 2 , a3 , a 4 . leaves can 47. that it Again we can assum a2 b1 Then a4 > b b4 < a a4 , b4 3 2 and is labelled d4 13 -4 is a cover of rank at most 1 unless b, . c In the first case, removing leaves a poset of dimension 2. case removing a4 , b 3 Suppose that removal of leaves a poset of dimension 2. c, a1 leaves Then we can label it 2 3 bi b2 b3 Randoving a 3 , b3 we can conclude that I a2 b P = a4, b4 a2 a a b2 b we conclude a3 a4 3 4y b 1 b4 3C PIX\{a 3 , b3 Then removing In the second 2 48. But then removing leaves a poset of dimension 2. al, b 1 So we may assume that removing c, a which can be labelled a b1 But then removing a b2 a b3 b3 leaves b4 leaves a poset of dimension 2. The proof of this last statement illustrates the straightforward technique used to show that certain types of nine element partially ordered sets have dimension three or less. The same technique can be used to show that for the type of nine element poset mentioned immediately before Lemma 27, its dimension is at most 3. Since the proof is tedious and unenlightening, consisting essentially as an exhaustion of such posets, only the statement of this result is given here. It has also been verified by Trotter. In view of Lemma 27, the statement of Theorem 26 holds for n = 4. Thus, summarizing the results of this chapter gives us 49. Theorem 28: There are 13 seven element irreducible posets of dimension 3 up to isomorphism and dual isomorphism classes. For n > 4, there are no 2n+l element irreducible posets of dimension n. 50. App end ix We have two possibilities: Proof to Lemma 17: Aj = 3 or 4. then d(P IA U A ) < 2 Lemma 9. I= jA Suppose unless 4. P JA If < 2, w(PIA ~ by In that case, removal of one of the two top chains by Lemma 11 and Corollary 14 gives the conclusion. Thus we may assume that = 3. w(P IA) This gives us five cases: a b a b C c C 2) 1) 3) x x x x c 6 5) a b or 5) c b a b be the element of A*. For the rest of this lemma, Let d let ai, 1 < i < 15 have the same interpretation as in Lemma 13; also, let xj, 1 < i < 15, be comparable only to x. and the same things to which ai is comparable. 51. Let be comparable only to x0 can assume that x has only the elements listed. By removi ng Case 1: b, c > d. If As in Lemma 13, we x. d, a a, x we can assume that then removing b leaves a a poset equivalent t 0 x a3 al xi x6 a4 a6 d Using Lemma 7, we can replace a a3. and by an element covering But this poset has dimension 2 by Lemma 9. Thus, we may assume that When a4 a > d. x > d, P = xla1 a 3 x 6 a 6 a8 x 1 lalldx 1 5 a1 5 x 3 a1 3 al a1 0 cx1 2 a1 2 a9 x7 a 7 x 5 xa 5 aa 2 ba 4)... a 2 x 5 a 5 dx7 x 6x1 3xllxl 2 x1 5x 1 xa7 a 6 a1 3a1 al 1 2 a 1 5 alaaga 8 al 1 ba1 0 a3ca 4 ( da 4 ala g When x "' x 5 al2 x12 8 a 9a1 ' a3xa 55 a2 ba3 ns... 13 a 6xa 7 x 7 a 3 calxxa d, we use the same linear orders as above with the following modifications: we drop x7 , x1 2 3 x 1 3 and x 1 5; and in the second linear order we put d immediately above x. 52. Case 2: As above we can assume that a, b, c > d. We can also use the same linear orders with the following modifications: we drop x 6 , x7 , X 1 4 the third linear order we put Case 3: x and x1 5 ; and in immediately below b. As in case I we can assume a, b, c > d. We can also use the same linear orders with the following modifications: x11 we drop first linear order we put Case 4: and x12; and in the immediately below x Again we can assume that a, b, c > d. c. Then x1 a 3 x 3x 6 x 8 x1ldx 1 5 xl3x 1 4a1 0 x 1 0 cx 1 2 x 9x 7 x 5 ax 2 bagxgxex ( n a0 x2 x 5 dx 7 x 6 x 1 3xllxl2x 1 5 xlaxgx 8 x 1 4bxlox 3x4xa1 0 a 3 ca4 n x0dx 4 agx 1 0 a1 0 x14x 8 x 9 x1 5 x 1 2x1 1 x 5 x 2 bx 1 3 x 6 x 7 x 3 a 3 cslax Case 5: Again we can assume that a, b, c > d. P = ... Then we can use the above linear orders with the following modifications: we drop a3 second linear order we put Suppose SAo I = 3. If A* and x a10 ; and in the immediately above c. is a chain, then removal of .. 53. A* antichain. Let and A*= {x > d A is an A by Lemma 11 gives the result unless = {a, b, c}. a, b, c > d, and. we have the Then we can assume that following cases x < a, b, c. Case 1: a a 3 a 6 a 8 aldxx 1 5 a1 a 2 a 5 da 7 a 6 a, 3 xx7 Gn da 4 a 5 a14aix 1313 1 3 allal2x 12 a 10 a 1 4 a 9 a 1 5 a 1 2 xx 4x 1 0 c ,-x < a, b. Case 2: P= Then 14 1 0 a1 0 cx12 12 5 x 1 5 alaa 9 99 77'5aa 2x4a4n... xga 8 x1 4 al4 bx1 0 a 1 0 a 3 cx4 a'n... a8 x 9 xl5x 1 2 ll 5 a 2 ba 1 3 x 1 3 x 7 a 6 a 7 a 3 ca 1 a Then we can use the above linear orders with the following modifications" we drop x 1 0 9 x1 3 , x1 4 and x 1 5 ; and in the first linear order we place Case 3: x immediately above c. a, c I\ x < b. Then we use the linear orders of case 2 with the following modifications: x we drop and x12; and in the second linear order we place immediately above Now, assume a. A, = {c,d} is an antichain. x 54. a x a b b Then PIA ~ ) 2) * , a x 3) or x b x 4) b Using elementary facts we can assume that Case 1: a, b > c, d. If x > c, d, P = then da xa a 7x 7al2 x2ca 1 0x 1 3 x 6 x1 5x 11 x 5 xa 3a6a 15aa 5aa n a 2 da 9 ca 3 a 1 0 a8a 14x5 a 5 xllx n x 1 a 5x 5 ca 3 a2a1 xx 1 a6x 6 agda If 14a8 aga 2 ba 3 1 5a 1 5x1 2 al 2 ba 6x 6x 1 3 x 7x1 xa1 3 a7 aaK... 4 a1 3 x1 3a1 5 x1 5 a9 a7 x7 x1 2 xal2baa1 0 d \ x > c, then we can use the same linear orders as above with the following modifications: we drop x7 , x12, x1 3 and x 1 5 ; and we put x 6 xl1x 5 x below If c x n,c, d, then we can use the preceding linear x ; we put x5 x immediately below first linear order and we place x immediately in the first linear order. orders with the following modifications: and in the third linear order. n a4 we drop d x6 in the immediately below a4 55. that a, b > c, da 4 x 4 xx C> x, a By removing Case 2: d. 7 x 1 2 ca10 10 Then P = 1 3 x6 x 1 5 xlx we can assume x, b and 5a 1 4x 8x 9xx 2 bx 3 x 0 xa3 x 2 dx 9 ca3 x3 x 1 0 a 0 x 8x 1 4x 5x 1 x 1 5xl 2 bx 6x 1 3 x 7 x 1 ax 4 xoxa 4 n ' 0.. x 0 x1x5 ca 3 x 3 x 2 x 1 1 x 6 x 8dx 1 4 x 1 2x 1 3x 1 5x 9x 7 bax1 0 Nxxal 0 a4 that a By removing Case 3: a, b > c, d. and then b, we can assume Then we can use the same linear orders as in case 1 with the following modifications: x1 , x 6, x 7 and x 1 3 ; and we place we drop below b Case 4: x immediately in the second linear order. we are left with a poset of c By removing dimension 2. Proof to Lemma 24: A U Let We can assume that A- a10 of the three elements to none, a A* = {a, b, c, d, x, y}. < i, J < 7}, {a, b, x} a 0j is comparable only to comparable only to b, a 3 3 as follows: is comparable a, a 2 j is is comparable only to x, 56. a a4 j is comparable only to and b, a 5 j is comparable only to a and x, a6 j is comparable only to b and x, and a is comparable to all three for three elements ai {c, d, y} 0 < J < 7; of the aiO is comparable to none, is comparable only to c, a1 2 is comparable only to d, a13 is comparable only to y, ai4 is comparable only to c and d, ai 5 is comparable only to c and y, a16 is comparable only to d and y, and a 0 < i < 7. Let M. {ai J0 < j < 71 for 0 < i < 7. to all three for ordering of N ibe a linear ordering of 0 < J < 7. is comparable 7 < = {a, b, y} A Suppose {a i0 be a linear < 7} and Let for A* = {C, d, x}. Then by Corollary 20 and Lemma 13 we can assume that both a, b, y > c, d, x. are antichains and L Let = dxM 0M 1 Ma xM5M7aM6M2bM3 L2 = dcM 2 xM 3 M 6 M 7 g4 bM 5 M 1 aM0 Z L3 L as xdN 1 N 5 cN4N 7 N 6 N 3 yN 2 N0 ba = xNoN 3 cN 2 N 6 dN 7 N 5 yN4 Njba. L1 K2 Let with the following changes: immediately above Let and y and put be the same as L2 a4 5 K1 be the same put a3 4 just above with the following a 5 4. 57. modifications: a2 3 put a5 2 immediately below at the bottom. 233 Let K L4 a4 5 right below put d. and put a2 3 necessary for M, a5 0 a52 Let with the following changes: a25 put Now suppose A * b just below a 3 2. Tt is also to be the last two elements of the bottom element of N5 * with 3 be the same as a34 to be the first element of two elements of L right above K4 immediately above a4 3 a4 0 and be the same as the following modifications: and put a4 3 N2 and Then = {a, b, c, M 5, a2 5 a 4 5 a3 2 to be to be the last P = K1 K2 d} A* = {x, y}. and K30 K4. Again we can assume both are antichains and a, b, c, d > x, y. Let Li = yMMlM4 xM 5 M7 aM 6 M 2 bM3 dc, L2 = yM 2 xM 3 M 6 M7 M4 bM 5 M1 aM 0 cd, L3 = xN0N N4 yN 5 N7 cN 6 N 2 dN 3 ba L L = xN 2 N 3 N 6 N 7 N4 dN 5 N1 cN0 . and Let with the following changes: above a55 and be the same as a33a35 L2 . Let between K3 K be the same as put c a4 4 a 4 2 and c. be the same as immediately Let L3 K2 58. with the following modifications: immediately below Let K4 put a3 5 a2 2 be the same as and put L4 immediately below bottom. It is necessary for in Then M5 * P = K1 K2 put a4 a3 3 at the bottom. with the following changes: a2 4 a51 K3 and a4 2 at the to be below K . a55 59. Ref erences 1. K. Baker, P. Fishburn and F. Roberts, "Partial Orders of Dimension 2, Interval Orders and Interval Graphs," RAND memorandum, p. 4376 (1970), 2. G. Birkhoff, LAttice Theory, Amer. Math. Soc. Colloquium Publs., Vol. 25 (1967) 3. K. Bogart, "Maximum Dimensional Partially Ordered Sets I", J. Discrete Math. 4. To appear K. Bogart and W. Trotter, "Maximal Dimensional Partially Ordered Sets II", J. Discrete Math. To appear 5. R. P. Dilworth, "A Decomposition Theorem for Partially Ordered Sets", Annals. Math. 51 (1950), pp. 161-166 6. B. Dushnik and E. Miller, "Partially Ordered Sets", Amer. J. Math. 63 (1941) pp. 600-610 7. T. Hiraguchi, "On the Dimension of Partially Ordered Sets", 8. E. Sci. Rep. Szpilr&Jn, Kanazawa Univ. 1 (1951) pp. 77-94 "Sur l'Extension de li6rdre Partiel", Fund, Math, 16 (1930), pp. 386-379 60. Biographical Sketch The author was born in Allentown, Pennsylvania on 9 July 1 9 48. He graduated from William Allen High School there in June 1966. At the end of that month he entered the United States Naval Academy from which he graduated four years later with majors in Physics and Mathematics. Since that time he has been a Lieutenant in the U.S. Marine Corps studying at M.T.T.