2.4 \(q\)-Binomial formulas
2.4.1 Combinatorial definition of \(q\)-binomial coefficients
This section formalizes Definition 2.136 from the combinatorial side: the \(q\)-binomial as a sum over partitions, and proves that this agrees with the recurrence-based definition from the previous chapter.
The \(q\)-binomial coefficient as a polynomial in \(\mathbb {Z}[q]\) via the partition sum:
where \(c(s,k,m)\) is the number of partitions of \(s\) fitting in a \(k \times m\) box. The evaluation \(\binom {n}{k}_a\) is obtained by substituting \(a\) for \(q\).
- One or more equations did not get rendered due to their size.
The combinatorial \(q\)-binomial satisfies the \(q\)-Pascal identity as polynomials:
This is the polynomial version; the evaluated version follows by evaluation.
Partitions in a \((k{+}1) \times (n{-}k)\) box split into those with \(\le k\) parts and those with exactly \(k{+}1\) parts. The latter biject with partitions in a \((k{+}1) \times (n{-}k{-}1)\) box via “removing a column” (subtracting 1 from each of the \(k{+}1\) parts), with size decreased by \(k{+}1\) (giving the factor \(q^{k+1}\)).
For \(m \ge 1\) and \(s \ge k+1\), the number of partitions of \(s\) with exactly \(k+1\) parts, each \(\le m\), equals the number of partitions of \(s - (k+1)\) fitting in a \((k+1) \times (m-1)\) box:
The forward bijection subtracts 1 from each of the \(k{+}1\) parts (and filters zeros); the inverse adds 1 to each part and pads with 1s to reach exactly \(k{+}1\) parts. Injectivity follows from the recovery lemma for filtered multiset subtraction; surjectivity is verified directly.
The combinatorial definition (sum over partitions) agrees with the recurrence-based definition from Definition 2.136: for all \(n, k \in \mathbb {N}\) and ring element \(q\),
Both definitions satisfy the same boundary conditions (\(\binom {n}{0}_q = 1\), \(\binom {n}{k}_q = 0\) for \(k {\gt} n\)) and the same \(q\)-Pascal recurrence. By strong induction on \(n\) with case analysis on \(k\), the two definitions agree.
2.4.2 Alternative characterizations from the recurrence
For \(k \le n\), the recurrence-based \(q\)-binomial equals the sum over monotone functions:
By induction on \(n\), splitting the monotone functions into those starting at 0 and those starting at a positive value, using the bijections \(\mathrm{dropFirst}\)/\(\mathrm{prependZero}\) and \(\mathrm{shiftDown}\)/\(\mathrm{shiftUp}\).
For all \(n, k\):
Via the bijection from monotone \(k\)-tuples in \(\{ 0,\ldots ,n{-}k\} \) to \(k\)-element subsets of \(\{ 1,\ldots ,n\} \): \((i_1,\ldots ,i_k) \mapsto \{ i_1{+}1, i_2{+}2, \ldots , i_k{+}k\} \). For \(k {\gt} n\), both sides are 0.
Over a field, when \([i{+}1]_q \ne 0\) for \(i = 0, \ldots , k{-}1\):
By strong induction on \(n\), using the \(q\)-Pascal recurrence and the splitting identity \([n{+}1]_q = [k{+}1]_q + q^{k+1} [n{-}k]_q\).
2.4.3 Product expansion rule
Let \(L\) be a commutative ring. Let \(n\in \mathbb {N}\). Let \(\left[ n\right] \) denote the set \(\left\{ 1,2,\ldots ,n\right\} \). Let \(a_{1},a_{2},\ldots ,a_{n}\) be \(n\) elements of \(L\). Let \(b_{1},b_{2},\ldots ,b_{n}\) be \(n\) further elements of \(L\). Then,
When expanding the product \(\prod _{i=1}^{n}\left( a_{i}+b_{i}\right) =\left( a_{1}+b_{1}\right) \left( a_{2}+b_{2}\right) \cdots \left( a_{n}+b_{n}\right) \), you obtain a sum of \(2^{n}\) terms, each of which is a product of one addend chosen from each of the \(n\) sums \(a_{1}+b_{1},a_{2}+b_{2},\ldots ,a_{n}+b_{n}\). This is precisely what the right hand side of 12 is. A rigorous proof can be found in [ Grinbe15 , Exercise 6.1 (a) ] . The formal proof follows by induction on \(n\), using the distributive law at each step.
2.4.4 First \(q\)-binomial theorem
Helpers for Theorem 2.167
For all \(n, k \in \mathbb {N}\):
This relates the subset sum over \(\{ 0,1,\ldots ,n-1\} \) to the \(q\)-binomial coefficient.
By induction on \(n\), using the \(q\)-Pascal recurrence. The subsets of \(\{ 0,\ldots ,n\} \) of size \(k{+}1\) split into those containing \(n\) and those not containing \(n\). The key algebraic identity is \(q^k \binom {n}{k+1}_q + q^n \binom {n}{k}_q = q^k \binom {n}{k}_q + q^{k+1} \cdot q^k \binom {n}{k+1}_q\), which is proved by induction using algebraic manipulation.
For all \(n, k \in \mathbb {N}\):
By induction on \(n\), using the \(q\)-Pascal recurrence and algebraic manipulation.
Let \(K\) be a commutative ring. Let \(a,b\in K\) and \(n\in \mathbb {N}\). In the polynomial ring \(K\left[ q\right] \), we have
Let \(\left[ n\right] \) denote the set \(\left\{ 1,2,\ldots ,n\right\} \). We have
by Lemma 2.164, applied to \(L=K\left[ q\right]\), \(a_{i}=aq^{i-1}\) and \(b_{i}=b\). Now,
(since \(\prod _{i\in S}q^{i-1} = q^{\operatorname {sum}S - |S|}\) and \(|[n]\setminus S| = n - k\)). Using \(q^{\operatorname {sum}S-k} = q^{\operatorname {sum}S-(1+2+\cdots +k)} \cdot q^{k(k-1)/2}\) (since \(1+2+\cdots +(k-1) = k(k-1)/2\)), we obtain
(Here, the underbrace equality follows from Proposition 2.140 (b).) This proves Theorem 2.167.
The first \(q\)-binomial theorem at \(q = 1\) recovers the ordinary binomial formula:
Specializing Theorem 2.167 at \(q = 1\): the LHS becomes \((a+b)^n\) and each \(\binom {n}{k}_1 = \binom {n}{k}\).
2.4.5 Second \(q\)-binomial theorem
Helpers for Theorem 2.170
Let \(A\) be an \(L\)-algebra, let \(\omega \in L\), and let \(a, b \in A\) satisfy \(ba = \omega \cdot ab\). Then for all \(k \in \mathbb {N}\):
By induction on \(k\). The base case is trivial. For the inductive step: \(b \cdot a^{k+1} = b \cdot a^k \cdot a = \omega ^k (a^k b) \cdot a = \omega ^k \cdot a^k \cdot (ba) = \omega ^k \cdot a^k \cdot \omega (ab) = \omega ^{k+1}(a^{k+1} b)\).
Let \(L\) be a commutative ring. Let \(\omega \in L\). Let \(A\) be a noncommutative \(L\)-algebra. Let \(a,b\in A\) be such that \(ba=\omega ab\). Then,
By induction on \(n\). The base case \(n=0\) is trivial. For the inductive step, write \((a+b)^{n+1} = (a+b) \cdot (a+b)^n\) and apply the induction hypothesis to \((a+b)^n\). Distribute \((a+b)\) over the sum. The key step is the relation \(b \cdot a^k = \omega ^k \cdot a^k \cdot b\), which follows from \(ba = \omega ab\) by induction on \(k\) (proved in Lemma 2.169). After reindexing and combining terms, the coefficients match via the \(q\)-Pascal recurrence \(\binom {n+1}{k+1}_\omega = \binom {n}{k}_\omega + \omega ^{k+1}\binom {n}{k+1}_\omega \).
2.4.6 Counting subspaces of vector spaces
Helpers for Theorem 2.176
The span map sends a linearly independent \(k\)-tuple \((v_1, \ldots , v_k)\) in \(V\) to its span \(\mathrm{span}(v_1, \ldots , v_k)\), viewed as a \(k\)-dimensional subspace.
- AlgebraicCombinatorics.QBinomialRec.spanMap k ⟨v, hv⟩ = ⟨Submodule.span F (Set.range v), ⋯⟩
Each \(k\)-dimensional subspace \(W\) has exactly \(\prod _{i=0}^{k-1} (|F|^k - |F|^i)\) preimages under the span map. These are precisely the ordered bases of \(W\): the linearly independent \(k\)-tuples in \(W\) that automatically span \(W\) by dimension count.
The fiber over \(W\) is in bijection with the set of linearly independent \(k\)-tuples in \(W\). Since \(W\) is \(k\)-dimensional, applying Lemma 2.174 (with \(W\) in place of \(V\), and \(k\) in place of \(n\)) gives the count \(\prod _{i=0}^{k-1}(|F|^k - |F|^i)\).
Let \(F\) be a field. Let \(V\) be an \(F\)-vector space. Let \(\left( v_{1},v_{2},\ldots ,v_{k}\right) \) be a \(k\)-tuple of vectors in \(V\). Then, \(\left( v_{1},v_{2},\ldots ,v_{k}\right) \) is linearly independent if and only if each \(i\in \left\{ 1,2,\ldots ,k\right\} \) satisfies \(v_{i}\notin \operatorname {span}\left( v_{1},v_{2},\ldots ,v_{i-1}\right) \) (where the span \(\operatorname {span}\left( {}\right) \) of an empty list is understood to be the set \(\left\{ \mathbf{0}\right\} \) consisting only of the zero vector \(\mathbf{0}\)). In other words, \(\left( v_{1},v_{2},\ldots ,v_{k}\right) \) is linearly independent if and only if we have
We prove both directions:
\(\Longrightarrow :\) Assume that the \(k\)-tuple \(\left( v_{1},v_{2},\ldots ,v_{k}\right) \) is linearly independent. Let \(i\in \left\{ 1,2,\ldots ,k\right\} \). If we had \(v_{i}\in \operatorname {span}\left( v_{1},v_{2},\ldots ,v_{i-1}\right) \), then we could write \(v_{i}\) in the form \(v_{i}=\alpha _{1}v_{1}+\alpha _{2}v_{2}+\cdots +\alpha _{i-1}v_{i-1}\) for some coefficients \(\alpha _{1},\alpha _{2},\ldots ,\alpha _{i-1}\in F\), and therefore \(\alpha _{1}v_{1}+\cdots +\alpha _{i-1}v_{i-1}+(-1)v_{i}+0v_{i+1}+\cdots +0v_{k}=\mathbf{0}\), which would be a nontrivial linear dependence relation (since \(v_{i}\) appears with the nonzero coefficient \(-1\)); this would contradict the linear independence of \(\left( v_{1},v_{2},\ldots ,v_{k}\right) \). Hence, \(v_{i}\notin \operatorname {span}\left( v_{1},v_{2},\ldots ,v_{i-1}\right)\).
\(\Longleftarrow :\) Assume that each \(i\in \left\{ 1,2,\ldots ,k\right\} \) satisfies \(v_{i}\notin \operatorname {span}\left( v_{1},v_{2},\ldots ,v_{i-1}\right) \). Assume for contradiction that the \(k\)-tuple \(\left( v_{1},v_{2},\ldots ,v_{k}\right) \) is linearly dependent. Thus, there exist coefficients \(\beta _{1},\beta _{2},\ldots ,\beta _{k}\in F\) that satisfy \(\beta _{1}v_{1}+\beta _{2}v_{2}+\cdots +\beta _{k}v_{k}=\mathbf{0}\) and that are not all zero. Pick the largest \(i\) with \(\beta _{i}\neq 0\). Then \(\beta _{i+1}=\beta _{i+2}=\cdots =\beta _{k}=0\), so \(\beta _{i}v_{i} = -\left( \beta _{1}v_{1}+\beta _{2}v_{2}+\cdots +\beta _{i-1}v_{i-1}\right) \in \operatorname {span}\left( v_{1},v_{2},\ldots ,v_{i-1}\right)\). Since \(\beta _{i}\neq 0\), we obtain \(v_{i}\in \operatorname {span}\left( v_{1},v_{2},\ldots ,v_{i-1}\right) \), contradicting our assumption.
Let \(F\) be a finite field. Let \(n,k\in \mathbb {N}\). Let \(V\) be an \(n\)-dimensional \(F\)-vector space. Then,
We have \(\left\vert V\right\vert =\left\vert F\right\vert ^{n}\) (since \(V\) is an \(n\)-dimensional \(F\)-vector space).
By Lemma 2.173, a \(k\)-tuple \(\left( v_{1},v_{2},\ldots ,v_{k}\right) \) of vectors in \(V\) is linearly independent if and only if each \(v_i \notin \operatorname {span}(v_1, \ldots , v_{i-1})\).
We construct such a tuple entry by entry:
First, we choose \(v_{1} \in V\setminus \left\{ \mathbf{0}\right\} \); thus, there are \(\left\vert V\right\vert - 1\) options. Once \(v_{1}\) has been chosen, \(\operatorname {span}\left( v_{1}\right) \) has dimension \(1\) and thus size \(\left\vert F\right\vert ^{1}\).
Next, we choose \(v_{2} \in V\setminus \operatorname {span}\left( v_{1}\right)\); thus, there are \(\left\vert V\right\vert -\left\vert F\right\vert ^{1}\) options. Once \(v_{2}\) has been chosen, \(\operatorname {span}\left( v_{1},v_{2}\right) \) has dimension \(2\) and thus size \(\left\vert F\right\vert ^{2}\).
And so on, until the last vector \(v_{k}\) has been chosen.
The total count is \(\prod _{i=0}^{k-1}\left( \left\vert V\right\vert -\left\vert F\right\vert ^{i}\right) =\prod _{i=0}^{k-1}\left( \left\vert F\right\vert ^{n}-\left\vert F\right\vert ^{i}\right)\) (since \(\left\vert V\right\vert =\left\vert F\right\vert ^{n}\)). When \(k {\gt} n\), both sides are \(0\) since there are no linearly independent \(k\)-tuples in an \(n\)-dimensional space.
Let \(A\) and \(B\) be two finite sets. Let \(m\in \mathbb {N}\). Let \(f:A\rightarrow B\) be any map. Assume that each \(b\in B\) has exactly \(m\) preimages under \(f\) (that is, for each \(b\in B\), there are exactly \(m\) many elements \(a\in A\) such that \(f\left( a\right) =b\)). Then,
By the fiber decomposition: \(|A| = \sum _{b \in B} |f^{-1}(b)|\), where each fiber has cardinality \(m\) by assumption. Hence \(|A| = \sum _{b \in B} m = m \cdot |B|\).
Let \(F\) be a finite field. Let \(n,k\in \mathbb {N}\). Let \(V\) be an \(n\)-dimensional \(F\)-vector space. Then,
If \(k{\gt}n\), then \(\binom {n}{k}_{\left\vert F\right\vert }=0\) (by Proposition 2.141) and \(\left( \text{\# of }k\text{-dimensional vector subspaces of }V\right) =0\) (since the dimension of a subspace of \(V\) is never larger than the dimension of \(V\)). Hence, for the rest of this proof, we WLOG assume that \(k\leq n\).
Define a map
Observation 1: Each \(k\)-dimensional vector subspace of \(V\) has exactly \(\left( \left\vert F\right\vert ^{k}-\left\vert F\right\vert ^{0}\right) \left( \left\vert F\right\vert ^{k}-\left\vert F\right\vert ^{1}\right) \cdots \left( \left\vert F\right\vert ^{k}-\left\vert F\right\vert ^{k-1}\right)\) preimages under \(f\).
Indeed, let \(W\) be a \(k\)-dimensional vector subspace of \(V\). A preimage of \(W\) under \(f\) is a linind \(k\)-tuple of vectors in \(W\) that spans \(W\). Since \(W\) is \(k\)-dimensional, a \(k\)-tuple of vectors in \(W\) spans \(W\) if and only if it is linind. Hence, the number of preimages is the number of linind \(k\)-tuples in \(W\), which equals \(\prod _{i=0}^{k-1}(|F|^k - |F|^i)\) by Lemma 2.174 (applied to \(W\) and \(k\) instead of \(V\) and \(n\)).
By the multijection principle (Lemma 2.175):
(where the right hand side comes from Lemma 2.174). Therefore,
(by Theorem 2.147 (b)).
2.4.7 Limits of \(q\)-binomial coefficients
Helpers for Proposition 2.182
For all \(d, k, n, m \in \mathbb {N}\) with \(n \ge d + k\) and \(m \ge d + k\), the \(d\)-th coefficient of \(\binom {n}{k}_q\) equals the \(d\)-th coefficient of \(\binom {m}{k}_q\) (as power series). In other words, the coefficient \([q^d]\binom {n}{k}_q\) stabilizes for \(n \ge d+k\).
By strong induction on \(d + k\), using the \(q\)-Pascal recurrence to relate coefficients of \(\binom {n}{k}_q\) and \(\binom {m}{k}_q\) through \(\binom {n-1}{\cdot }_q\) and \(\binom {m-1}{\cdot }_q\) at lower coefficients.
The stable value of the \(d\)-th coefficient equals the \(d\)-th coefficient of the product formula:
By induction on \(d + k\). The product formula satisfies a recurrence matching the \(q\)-Pascal identity: extracting the last factor \((1 - q^{k+1})^{-1}\) gives \(\prod _{i=1}^{k+1}(1-q^i)^{-1} = \prod _{i=1}^{k}(1-q^i)^{-1} + q^{k+1} \cdot \prod _{i=1}^{k+1}(1-q^i)^{-1}\). Comparing coefficients and applying the inductive hypothesis completes the proof.
Young diagram conjugation (transposition) is an involution on partitions of \(n\) that interchanges “all parts \(\le k\)” with “at most \(k\) parts”. Specifically, if \(p\) is a partition of \(n\) with all parts \(\le k\), then its conjugate has at most \(k\) parts, and vice versa. Moreover, conjugating twice recovers the original partition.
The conjugate is constructed using Young diagram transposition. The involution property follows from the fact that transposing twice recovers the original diagram. The interchange of “max part” and “number of parts” follows from the relationship between row lengths and column lengths under transposition.
The number of partitions of \(n\) with all parts \(\le k\) equals the number of partitions of \(n\) with at most \(k\) parts:
Young diagram conjugation provides a bijection between these two sets (Lemma 2.179).
The product formula equals the generating function for partitions with at most \(k\) parts:
The product \(\prod _{i=1}^{k}(1-q^i)^{-1}\) equals the generating function \(\sum _n |\{ \text{partitions of } n \text{ with all parts } \le k\} | \cdot q^n\) by the theorem on the product form of restricted partition generating functions. Applying Lemma 2.180 converts the restricted partition count to the count of partitions with at most \(k\) parts.
Let \(k\in \mathbb {N}\) be fixed. Then,
(See Definition 2.10 (a) for the meaning of \(p_{i}\left( n\right) \).)
For each integer \(n\geq k\), we have
(Here, the first equality holds by Theorem 2.147 (b).) Since \(\lim _{n\to \infty } q^n = 0\) (coefficientwise), for each \(i \in \{ 1,\ldots ,k\} \) we have \(\lim _{n\to \infty }(1-q^{n-k+i}) = 1\). Hence, by Corollary 1.466,
The equality \(\sum _{n\in \mathbb {N}}(p_0(n)+p_1(n)+\cdots +p_k(n))\, q^n = \prod _{i=1}^k \frac{1}{1-q^i}\) follows from Theorem 2.49 (with the letters \(x\), \(m\) and \(k\) renamed as \(q\), \(k\) and \(i\)).
The proof establishes coefficientwise stabilization via Lemma 2.177 (showing that for \(n \ge d + k\), the \(d\)-th coefficient of \(\binom {n}{k}_q\) is constant) and Lemma 2.178 (identifying the stable value with the product formula). The equality with the partition generating function is proved in Theorem 2.181 using Young diagram conjugation to biject partitions with parts \(\le k\) and partitions with \(\le k\) parts.