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# 1 Causal tensors

## 1 Causal tensors

In this contribution111It is worthwhile to check also my joint contribution with García-Parrado, as well as that of Bergqvist’s, in this volume, with related results. Notice that signature convention here is opposite to those contributions and to . $`V`$ will denote a differentiable $`N`$-dimensional manifold $`V`$ endowed with a metric $`g`$ of Lorentzian signature $`N2`$. The solid Lorentzian cone at $`x`$ will be denoted by $`\mathrm{\Theta }_x=\mathrm{\Theta }_x^+\mathrm{\Theta }_x^{}`$, where $`\mathrm{\Theta }_x^\pm T_x(V)`$ are the future (+) and past (–) half-cones. The null cone $`\mathrm{\Theta }_x`$ is the boundary of $`\mathrm{\Theta }_x`$ and its elements are the null vectors at $`x`$. An arbitrary point $`xV`$ is usually taken, but all definitions and results translate immediately to tensor fields if a time orientation has been chosen. The $`x`$-subscript is then dropped.

###### Definition 1.1

 A rank-r tensor $`T`$ has the dominant property at $`xV`$ if

$$T(\stackrel{}{u}_1,\mathrm{},\stackrel{}{u}_r)0\stackrel{}{u}_1,\mathrm{},\stackrel{}{u}_r\mathrm{\Theta }_x^+.$$

The set of rank-$`r`$ tensor (fields) with the dominant property will be denoted by $`𝒟𝒫_r^+`$. We also put $`𝒟𝒫_r^{}\{T:T𝒟𝒫_r^+\},𝒟𝒫_r𝒟𝒫_r^+𝒟𝒫_r^{},𝒟𝒫^\pm _r𝒟𝒫_r^\pm ,𝒟𝒫𝒟𝒫^+𝒟𝒫^{}.`$

By a natural extension $`^+=𝒟𝒫_0^+𝒟𝒫^+`$. Rank-1 tensors in $`𝒟𝒫^+`$ are simply the past-pointing causal 1-forms (while those in $`𝒟𝒫_1^{}`$ are the future-directed ones). For rank-2 tensors, the dominant property was introduced by Plebański  in General Relativity and is usually called the dominant energy condition  because it is a requirement for physically acceptable energy-momentum tensors. The elements of $`𝒟𝒫`$ will be called “causal tensors”. As in the case of past- and future-pointing vectors, any statement concerning $`𝒟𝒫^+`$ has its counterpart concerning $`𝒟𝒫^{}`$, and they will be generally omitted. Trivially one has

###### Property 1.1

If $`T^{(i)}𝒟𝒫_r^+`$ and $`\alpha _i^+`$ ($`i=1,\mathrm{},n`$) then $`\underset{i=1}{\overset{n}{}}\alpha _iT^{(i)}𝒟𝒫_r^+`$. Moreover, if $`T^{(1)}`$ , $`T^{(2)}𝒟𝒫^+`$ then $`T^{(1)}T^{(2)}𝒟𝒫^+`$.

This tells us that $`𝒟𝒫^+`$ is a graded algebra of cones. For later use, let us introduce the following notation

$$T^{(1)}{}_{i}{}^{}\times _{j}^{}T^{(2)}C_i^1C_{r+j}^2(g^1T^{(1)}T^{(2)})$$

that is to say, the contraction (via the metric) of the $`i^{th}`$ entry of the first tensor (which has rank $`r`$) with the $`j^{th}`$ of the second. There are of course many different products $`{}_{i}{}^{}\times _{j}^{}`$ depending on where the contraction is made.

Several characterizations of $`𝒟𝒫^+`$ can be found. For instance

###### Proposition 1.1

The following conditions are equivalent:

1. $`T𝒟𝒫_r^+`$.
2. $`T(\stackrel{}{k}_1,\mathrm{},\stackrel{}{k}_r)0\stackrel{}{k}_1,\mathrm{},\stackrel{}{k}_r\mathrm{\Theta }_x^+`$.
3. $`T(\stackrel{}{u}_1,\mathrm{},\stackrel{}{u}_r)>0\stackrel{}{u}_1,\mathrm{},\stackrel{}{u}_r\text{int}\mathrm{\Theta }_x^+`$, ($`T0`$).
4. $`T(\stackrel{}{e}_0,\mathrm{},\stackrel{}{e}_0)\left|T(\stackrel{}{e}_{\alpha _1},\mathrm{},\stackrel{}{e}_{\alpha _r})\right|\alpha _1,\mathrm{},\alpha _r\{0,1,\mathrm{},N1\}`$, in all orthonormal bases $`\{\stackrel{}{e}_0,\mathrm{},\stackrel{}{e}_{N1}\}`$ with a future-pointing timelike $`\stackrel{}{e}_0`$.
5. $`T{}_{i}{}^{}\times _{j}^{}\stackrel{~}{T}𝒟𝒫_{r+s2}^+,\stackrel{~}{T}𝒟𝒫_s^{},i=1,\mathrm{},r,j=1,\mathrm{},s.`$

###### Proposition 1.2

Similarly, some characterizations of $`𝒟𝒫`$ are

1. $`0T{}_{i}{}^{}\times _{i}^{}T𝒟𝒫^{}`$ for some $`iT{}_{i}{}^{}\times _{j}^{}T𝒟𝒫^{}`$ for all $`i,jT𝒟𝒫`$.
2. $`T{}_{i}{}^{}\times _{i}^{}T=0`$ for all $`iT=k_1\mathrm{}k_r`$ where $`k_i`$ are null $`T𝒟𝒫`$.

## 2 Superenergy tensors

In this section the questions of how general is the class $`𝒟𝒫`$ and how one can build causal tensors are faced. The main result is that:

Given an arbitrary tensor $`A`$, there is a canonical procedure (unique up to permutations) to construct a causal tensor quadratic in $`A`$.

This procedure was introduced in  and extensively considered in , and the causal tensors thus built are called “super-energy tensors”. The whole thing is based in the following

###### Remark 2.1

Given any rank-$`m`$ tensor $`A`$, there is a minimum value $`r`$, $`rm`$ and a unique set of $`r`$ numbers $`n_1,\mathrm{},n_r`$, with $`_{i=1}^rn_i=m`$, such that $`A`$ is a linear map on $`\mathrm{\Lambda }^{n_1}\times \mathrm{}\times \mathrm{\Lambda }^{n_r}`$.

Here $`\mathrm{\Lambda }^p`$ stands for the vector space of “contravariant $`p`$-forms” at any $`xV`$. In other words, $``$ a minimum $`r`$ such that $`\stackrel{~}{A}\mathrm{\Lambda }_{n_1}\mathrm{}\mathrm{\Lambda }_{n_r}`$, where $`\stackrel{~}{A}`$ is the appropriate permutted version of $`A`$ which selects the natural order for the $`n_1,\mathrm{},n_r`$ entries. Tensors seen in this way are called $`r`$-fold $`(n_1,\mathrm{},n_r)`$-forms. Some simple examples are: any $`p`$-form $`\mathrm{\Omega }`$ is trivially a single (that is, 1-fold) $`p`$-form, while $`\mathrm{\Omega }`$ is a double $`(1,p)`$-form; the Riemann tensor $`R`$ is a double (2,2)-form which is symmetric (the pairs can be interchanged), while $`R`$ is a triple (1,2,2)-form; the Ricci tensor $`Ric`$ is a double symmetric (1,1)-form and, in general, any completely symmetric $`r`$-tensor is an $`r`$-fold (1,1,…,1)-form. A 3-tensor $`A`$ with the property $`A(\stackrel{}{x},\stackrel{}{y},\stackrel{}{z})=A(\stackrel{}{z},\stackrel{}{y},\stackrel{}{x})`$ is a double (2,1)-form and the corresponding $`\stackrel{~}{A}`$ is clearly given by $`\stackrel{~}{A}(\stackrel{}{x},\stackrel{}{y},\stackrel{}{z})A(\stackrel{}{x},\stackrel{}{z},\stackrel{}{y}),\stackrel{}{x},\stackrel{}{y},\stackrel{}{z}`$.

For $`r`$-fold forms, the interior contraction can be generalized in the obvious way $`i_{\stackrel{}{x}_1,\mathrm{},\stackrel{}{x}_r}:\mathrm{\Lambda }_{n_1}\mathrm{}\mathrm{\Lambda }_{n_r}\mathrm{\Lambda }_{n_11}\mathrm{}\mathrm{\Lambda }_{n_r1}`$ by means of

$$i_{\stackrel{}{x}_1,\mathrm{},\stackrel{}{x}_r}A=C_1^1C_{n_1+1}^2\mathrm{}C_{n_1+\mathrm{}+n_{r1}+1}^r\left(\stackrel{}{x}_1\stackrel{}{x}_2\mathrm{}\stackrel{}{x}_r\stackrel{~}{A}\right)$$

which is simply the interior contraction of each vector with each antysymmetric block. Similarly, by using the canonical volume element of $`(V,g)`$ one can define the multiple Hodge duals as follows:

$$_𝒫:\mathrm{\Lambda }_{n_1}\mathrm{}\mathrm{\Lambda }_{n_r}\mathrm{\Lambda }_{n_1+ϵ_1(N2n_1)}\mathrm{}\mathrm{\Lambda }_{n_r+ϵ_r(N2n_r)}$$

where $`ϵ_i\{0,1\}i=1,\mathrm{},r`$ and the convention is taken that $`ϵ_i=1`$ if the $`i^{th}`$ antysymmetric block is dualized and $`ϵ_i=0`$ otherwise, and where $`𝒫=1,\mathrm{},2^r`$ is defined by $`𝒫=1+_{i=1}^r2^{i1}ϵ_i`$. Thus, there are $`2^r`$ different Hodge duals for any $`r`$-fold form $`A`$ and they can be adequately written as $`A_𝒫_𝒫A`$. One also needs a product $``$ of $`A`$ by itself resulting in a $`2r`$-covariant tensor, given by

$$(AA)(\stackrel{}{x}_1,\stackrel{}{y}_1,\mathrm{},\stackrel{}{x}_r,\stackrel{}{y}_r)\left(\underset{i=1}{\overset{r}{}}\frac{1}{(n_i1)!}\right)g(i_{\stackrel{}{x}_1,\mathrm{},\stackrel{}{x}_r}A,i_{\stackrel{}{y}_1,\mathrm{},\stackrel{}{y}_r}A)$$

where for any tensor $`B`$ we write $`g(B,B)`$ for the complete contraction in all indices in order.

###### Definition 2.1

 The basic superenergy tensor of $`A`$ is defined to be

$$T\{A\}=\frac{1}{2}\underset{𝒫=1}{\overset{2^r}{}}A_𝒫A_𝒫.$$

Here the word basic is used because linear combinations of $`T\{A\}`$ with its permutted versions maintain most of its properties; however, the completely symmetric part is unique (up to a factor of proportionality) . It is remarkable that one can provide an explicit expression for $`T\{A\}`$ which is independent of the dimension $`N`$, see . In the case of a general $`p`$-form $`\mathrm{\Omega }`$, its rank-2 superenergy tensor becomes

$$T\{\mathrm{\Omega }\}(\stackrel{}{x},\stackrel{}{y})=\frac{1}{(p1)!}\left[g(i_\stackrel{}{x}\mathrm{\Omega },i_\stackrel{}{y}\mathrm{\Omega })\frac{1}{2p}g(\mathrm{\Omega },\mathrm{\Omega })g(\stackrel{}{x},\stackrel{}{y})\right].$$
(1)
In Definition 2.1 we implicitly assumed that the $`r`$-fold form $`A`$ has no antysymmetric blocks of maximum degree $`N`$. Nevertheless, the above expression (1) is perfectly well defined for $`N`$-forms: if $`\mathrm{\Omega }=f\eta `$ where $`\eta `$ is the canonical volume form and $`f`$ a scalar, then (1) gives $`T\{\mathrm{\Omega }\}=\frac{1}{2}f^2g`$. Using this the Definition 2.1 is naturally extended to include $`N`$-blocks, see  for details.

In $`N=4`$, the superenergy tensor of a 2-form $`F`$ is its Maxwell energy-momentum tensor, and the superenergy tensor of an exact 1-form $`d\varphi `$ has the form of the energy-momentum tensor for a massless scalar field $`\varphi `$. If we compute the superenergy tensor of $`R`$ we get the so-called Bel tensor . The superenergy tensor of the Weyl curvature tensor is the well-known Bel-Robinson tensor . The main properties of $`T\{A\}`$ are :

###### Property 2.1

If $`A`$ is an $`r`$-fold form, then $`T\{A\}`$ is a $`2r`$-covariant tensor.

###### Property 2.2

$`T\{A\}`$ is symmetric on each pair of entries, that is, for all $`i=1,\mathrm{},r`$ one has

$$T\{A\}(\stackrel{}{x}_1,\mathrm{},\stackrel{}{x}_{2i1},\stackrel{}{x}_{2i},\mathrm{},\stackrel{}{x}_{2r})=T\{A\}(\stackrel{}{x}_1,\mathrm{},\stackrel{}{x}_{2i},\stackrel{}{x}_{2i1},\mathrm{},\stackrel{}{x}_{2r}).$$

###### Property 2.3

$`T\{A\}=T\{A_𝒫\}𝒫=1,\mathrm{},2^r`$.

###### Property 2.4

$`T\{A\}=T\{A\}`$; $`T\{A\}=0A=0`$.

###### Property 2.5

$`T\{AB\}=T\{A\}T\{B\}`$.

###### Property 2.6

$`T\{A\}𝒟𝒫^+`$.

Observe that property 2.6 is what we were seeking, so that $`T\{A\}`$ is the “positive square” of $`A`$ in the causal sense.

###### Property 2.7

$`T\{A\}(\stackrel{}{e}_0,\mathrm{},\stackrel{}{e}_0)={\displaystyle \frac{1}{2}}{\displaystyle \underset{\alpha _1,\mathrm{},\alpha _m=0}{\overset{N1}{}}}\left(A(\stackrel{}{e}_{\alpha _1},\mathrm{},\stackrel{}{e}_{\alpha _m})\right)^2`$ in orthonormal bases $`\{\stackrel{}{e}_0,\mathrm{},\stackrel{}{e}_{N1}\}`$.

The set of superenergy tensors somehow build up the class $`𝒟𝒫`$; in fact, in many occasions the rank-2 superenergy tensors (that is, those for single $`p`$-forms) are the basic building blocks of the whole $`𝒟𝒫`$ . This can be seen as follows.

###### Definition 2.2

An $`r`$-fold form $`A`$ is said to be decomposable if there are $`r`$ forms $`\mathrm{\Omega }_i`$ ($`i=1,\mathrm{},r`$) such that $`\stackrel{~}{A}=\mathrm{\Omega }_1\mathrm{}\mathrm{\Omega }_r`$.

From this and Property 2.5 one derives

###### Corollary 2.1

If $`A`$ is decomposable, then $`T\left\{A\right\}=T\left\{\mathrm{\Omega }_1\right\}\mathrm{}T\left\{\mathrm{\Omega }_r\right\}.`$

Notice that each of the $`T\left\{\mathrm{\Omega }_i\right\}`$ on the righthand side is a rank-2 tensor. We now have

###### Theorem 2.1

Any symmetric $`T𝒟𝒫_2^+`$ can be decomposed as

$$T=\underset{p=1}{\overset{N}{}}T\{\mathrm{\Omega }_p\}$$

where $`\mathrm{\Omega }_p`$ are simple $`p`$-forms such that for $`p>1`$ they have the structure $`\mathrm{\Omega }_p=k_1\mathrm{}k_p`$ where $`k_1,\mathrm{},k_p`$ are appropriate null 1-forms and $`\mathrm{\Omega }_1𝒟𝒫_1`$.

See  for the detailed structure of the above decomposition and for the relation between $`T`$ and the null 1-forms. From this one obtains222From this point on I shall use the standard notation $`T^2`$ instead of $`T{}_{1}{}^{}\times _{1}^{}T=T{}_{2}{}^{}\times _{2}^{}T=T{}_{2}{}^{}\times _{1}^{}T=T{}_{1}{}^{}\times _{2}^{}T`$ for the case of rank-2 symmetric tensors $`T`$. $`T^2`$ is symmetric.

###### Theorem 2.2

A symmetric rank-2 tensor $`T`$ satisfies $`T^2=g`$ if and only if $`T=\pm T\{\mathrm{\Omega }_p\}`$, i.e., if $`T`$ is up to sign the superenergy tensor of a simple $`p`$-form $`\mathrm{\Omega }_p`$. Moreover, the rank $`p`$ of the $`p`$-form is given by $`\pm `$tr$`T=2pN`$.

This important theorem allows to classify all Lorentz transformations and, in more generality, all maps which preserve the null cone $`\mathrm{\Theta }_x`$ at $`xV`$, see .

## 3 Applications

In this section several applications of superenergy and causal tensors are presented. They include both mathematical and physical ones.

### 3.1 Rainich’s conditions

The classical Rainich conditions  are necessary and sufficient conditions for a spacetime to originate via Einstein’s equations in a Maxwell electromagnetic field. They are of two kinds: algebraic and differential. Here I am only concerned with the algebraic part which nowadays are presented as follows (see, e.g., ):

(Classical Rainich’s conditions) The Einstein tensor $`G=Ric\frac{1}{2}Sg`$ of a 4-dimensional spacetime is proportional to the energy-momentum tensor of a Maxwell field (a 2-form) if and only if $`G^2g`$, tr$`G=0`$ and $`GDP_2^+`$.

In fact, from theorem 2.2 one can immediately improve a little this classical result

###### Corollary 3.1

In $`4`$ dimensions, $`G`$ is algebraically up to sign proportional to the energy-momentum tensor of a Maxwell field if and only if $`G^2g`$, tr$`G=0`$. Furthermore, $`G`$ is proportional to the energy-momentum tensor of (possibly another) Maxwell 2-form which is simple.

The last part of this corollary is related to the so-called duality rotations of the electromagnetic field . Observe that this is clearly a way of determining physics from geometry because, given a particular spacetime, one only has to compute its Einstein tensor and check the above simple conditions. If they hold, then the energy-momentum tensor is that of a 2-form (and for a complete result the Rainich differential conditions will then be needed).

The classical Rainich conditions are based on a dimensionally-dependent identity, see , valid only for $`N=4`$. However, theorem 2.2 has universal validity and can be applied to obtain the generalization of Rainich’s conditions in many cases. For instance, we were able to derive the following results .

###### Corollary 3.2

In $`N`$ dimensions, a rank-2 symmetric tensor $`T`$ is algebraically the energy-momentum tensor of a minimally coupled massless scalar field $`\varphi `$ if and only if $`T^2g`$ and tr$`T=\beta \sqrt{\mathrm{tr}T^2/N}`$ where $`\beta =\pm (N2)`$. Moreover, $`d\varphi `$ is spacelike if $`\beta =2N`$ and tr$`T0`$, timelike if $`\beta =N2`$ and tr$`T0`$, and null if tr$`T=0=`$tr$`T^2`$.

###### Corollary 3.3

In $`N`$ dimensions, a rank-2 symmetric tensor $`T`$ is the energy-momentum tensor of a perfect fluid satisfying the dominant energy condition if and only if there exist two positive functions $`\lambda ,\mu `$ such that

$$T^2=2\lambda T+\left(\mu ^2\lambda ^2\right)g,\text{tr}T=(N2)\mu \lambda N.$$

This is an improvement and a generalization to arbitrary $`N`$ of the conditions in  for $`N=4`$. In particular, the case of dust can be deduced from the previous one by setting the pressure of the perfect fluid equal to zero.

###### Corollary 3.4

In $`N`$ dimensions, a symmetric tensor $`T`$ is algebraically the energy-momentum tensor of a dust satisfying the dominant energy condition if and only if

$$T^2=(\text{tr}T)T,\text{tr}T<0.$$

### 3.2 Causal propagation of fields

Following a classical reasoning appearing in , the causal propagation of arbitrary fields can be studied by simply using its superenergy tensor, see . Let $`\zeta `$ be any closed achronal set in $`V`$ and $`D(\zeta )`$ its total Cauchy development (an overbar over a set denotes its closure, see  for definitions and notation).

###### Theorem 3.1

If the tensor $`T\{A\}`$ satisfies the following divergence inequality

$$\text{div}T\left\{A\right\}(\stackrel{}{x},\mathrm{},\stackrel{}{x})fT\left\{A\right\}(\stackrel{}{x},\mathrm{},\stackrel{}{x})$$

where $`f`$ is a continuous function and $`\stackrel{}{x}=g^1(,d\tau )`$ is any timelike vector foliating $`D(\zeta )`$ with hypersurfaces $`\tau =`$const., then

$`A|_\zeta =0A|_{\overline{D(\zeta )}}=0.`$
This theorem proves the causal propagation of the field $`A`$ because if $`A0`$ at a point $`x\overline{D(\zeta )}`$ arbitrarily close to $`\overline{D(\zeta )}`$, then $`A`$ will propagate in time from $`x`$ according to its field equations, but it will never be able to enter into $`\overline{D(\zeta )}`$, showing that $`A`$ cannot travel faster than light.

The divergence condition in the theorem, being an inequality, is very mild and it is very easy to check whether or not is valid for a given field satysfying field equations. In general, of course, it will work for linear field equations, and for many other cases too. It has been used to prove the causal propagation of gravity in vacuum  or in general $`N`$-dimensional Lorentzian manifolds conformally related to Einstein spaces , and also for the massless spin-$`n/2`$ fields in General Relativity . It must be stressed that in many occasions the standard energy-momentum tensor of the field does not allow to prove the same result, so that the universality of the superenergy construction reveals itself as essential in this application.

### 3.3 Propagation of discontinuities: conserved quantities

Several ways to derive conserved quantities and exchange of superenergy properties have been pursued. One of them is the construction of divergence-free vector fields, called currents. This has been succesfully achieved in the case of a minimally coupled scalar field if the Einstein-Klein-Gordon field equations hold, see . In this subsection the propagation of discontinuities of the electromagnetic and gravitational fields will be analyzed from the superenergy point of view. This will be enough to prove the interchange of superenergy quantities between these two physical fields and some conservation laws arising naturally when the field has a ‘wave-front’, see .

To that end, we need to recall some well-known basic properties of the wave-fronts, which are null hypersurfaces. Let $`\sigma `$ be such a null hypersurface and $`n`$ a 1-form normal to $`\sigma `$. Obviously, $`n`$ is null $`g^1(n,n)=0`$ and therefore $`\stackrel{}{n}g^1(,n)`$ is in fact a vector tangent to $`\sigma `$, see e.g. , and $`n`$ cannot be normalized so that it is defined up to a transformation of the form

$$n\rho n,\rho >0.$$
(2)
The null curves tangent to $`\stackrel{}{n}`$ are null geodesics $`_\stackrel{}{n}\stackrel{}{n}=\mathrm{\Psi }\stackrel{}{n}`$, called ‘bicharacteristics’, contained in $`\sigma `$. Let $`\overline{g}`$ denote the first fundamental form of $`\sigma `$, which is a degenerate metric because $`\overline{g}(\stackrel{}{n},)=0`$ . The second fundamental form of $`\sigma `$ relative to $`n`$ can be defined as

$`K{\displaystyle \frac{1}{2}}\mathrm{\pounds }_\stackrel{}{n}\overline{g}`$
where $`\mathrm{\pounds }_\stackrel{}{n}`$ denotes the Lie derivative with respect to $`\stackrel{}{n}`$ within $`\sigma `$. $`K`$ is intrinsic to the null hypersurface $`\sigma `$ and shares the degeneracy with $`\overline{g}`$: $`K(\stackrel{}{n},)=0`$ . Because of this, and even though $`\overline{g}`$ has no inverse, one can define the “trace” of $`K`$ by contracting with the inverse of the metric induced on the quotient spaces $`T(\sigma )/<\stackrel{}{n}>`$. This trace will be denoted by $`\vartheta `$ and has the following interpretation: if $`s\sigma `$ denotes any spacelike cut of $`\sigma `$, that is, a spacelike $`(N2)`$-surface orthogonal to $`n`$ and within $`\sigma `$, then $`\vartheta `$ measures the volume expansion of $`s`$ along the null generators of $`\sigma `$. In fact, $`\vartheta `$ can be easily related to the derivative along $`\stackrel{}{n}`$ of the $`(N2)`$-volume element of $`s`$ .

Let us consider the case when there is an electromagnetic field (a 2-form $`F`$) propagating in a background spacetime so that there is a null hypersurface of discontinuity $`\sigma `$ , called a ‘characteristic’. Let $`[E]_\sigma `$ denote the discontinuity of any object $`E`$ across $`\sigma `$. Using the classical Hadamard results , one can prove the existence of a 1-form $`c`$ on $`\sigma `$ such that

$$\left[F\right]_\sigma =nc,g^1(n,c)=0.$$

Observe that $`c`$ transforms under the freedom (2) as $`cc/\rho `$. From Maxwell’s equations for $`F`$ considered in a distributional sense one derives a propagation law , or ‘transport equation’ ,

$`\stackrel{}{n}\left(|c|^2\right)+|c^2|(\vartheta +2\mathrm{\Psi })=0,|c|^2g^1(c,c)0.`$
This propagation equation implies that if $`c|_x=0`$ at any point $`x\sigma `$, then $`c=0`$ along the null geodesic originated at $`x`$ and tangent to $`\stackrel{}{n}`$. Moreover, for arbitrary conformal Killing vectors $`\stackrel{}{\zeta }_1,\stackrel{}{\zeta }_2`$, the above propagation law allows to prove that

$$_s|c|^2n(\stackrel{}{\zeta }_1)n(\stackrel{}{\zeta }_2)𝝎|_s$$
(3)
are conserved quantities along $`\sigma `$, where $`𝝎|_s`$ is the canonical volume element $`(N2)`$-form of $`s`$, in the sense that the integral is independent of the cut $`s`$ chosen. Notice also that (3) are invariant under the transformation (2). These conserved quantities can be easily related to the energy-momentum properties of the electromagnetic field because $`T\left\{[F]_\sigma \right\}=|c|^2nn`$, so that the Maxwell tensor of the discontinuity $`[F]_\sigma `$ contracted with the conformal Killing vectors $`\stackrel{}{\zeta }_1,\stackrel{}{\zeta }_2`$ gives the function integrated in (3).

However, the integral (3) vanishes when $`\left[F\right]_\sigma =0c=0`$. Using again Hadamard’s theory, now there exist a 2-covariant symmetric tensor $`B`$ and a 1-form $`f`$ defined only on $`\sigma `$ such that

$`\left[R\right]_\sigma =nBn,B(\stackrel{}{n},)+\text{tr}Bn=0,`$
$`\left[F\right]_\sigma =n(nf),g^1(n,f)=0.`$
These objects transform under (2) according to $`f,Bf/\rho ^2,B/\rho ^2`$. Assuming that the Einstein-Maxwell equations hold Lichnerowicz deduced the propagation laws for $`f,B`$ in , and in particular he found the following transport equation

$`\stackrel{}{n}\left(|B|^2+|f|^2\right)+\left(|B|^2+|f|^2\right)\left(\vartheta +4\mathrm{\Psi }\right)=0,`$
where $`|f|^2g^1(f,f)0,|B|^2`$tr$`B^20`$. Once again, with the help of any conformal Killing vectors $`\stackrel{}{\zeta }_1,\mathrm{},\stackrel{}{\zeta }_4`$, the following quantities

$$_s\left(|B|^2+|f|^2\right)n(\stackrel{}{\zeta }_1)n(\stackrel{}{\zeta }_2)n(\stackrel{}{\zeta }_3)n(\stackrel{}{\zeta }_4)𝝎|_s$$
(4)
are conserved along $`\sigma `$ in the sense that the integral is independent of the spacelike cut $`s`$. Two important points can be derived from this relation: first, both the electromagnetic and gravitational contributions are necessary, so that neither the integrals involving only $`|B|^2`$ or only $`|f|^2`$ are equal for different cuts $`s`$ in general. Second, the integrand in (4) is related to superenergy tensors because $`T\left\{[R]_\sigma \right\}=2|B|^2nnnn`$ and $`T\left\{[F]_\sigma \right\}=2|f|^2nnnn`$, and thus the function integrated in (4) is simply

$`{\displaystyle \frac{1}{2}}\left(T\left\{[R]_\sigma \right\}+T\left\{[F]_\sigma \right\}\right)(\stackrel{}{\zeta }_1,\stackrel{}{\zeta }_2,\stackrel{}{\zeta }_3,\stackrel{}{\zeta }_4)`$
which demonstrates the interplay between superenergy quantities of different fields, in this case the electromagentic and gravitational ones. Observe that the above tensors are completely symmetric in this case, and that they together with the conserved quantity (4) are invariant under the transformation (2).

### 3.4 Causal relations

The fact that the tensors in $`𝒟𝒫_2`$ can be seen as linear mappings preserving the Lorentz cone leads in a natural way to consider the possibility of relating different Lorentzian manifolds at their corresponding causal levels, even before the metric properties are taking into consideration. To that end, using the standard notation $`\phi ^{^{}}`$ and $`\phi ^{}`$ for the push-forward and pull-back mappings, respectively, we give the next

###### Definition 3.1

Let $`\phi :VW`$ be a global diffeomorphism between two Lorentzian manifolds. $`W`$ is said to be properly causally related with $`V`$ by $`\phi `$, denoted $`V_\phi W`$, if $`\stackrel{}{u}\mathrm{\Theta }^+(V)`$, $`\phi ^{^{}}\stackrel{}{u}\mathrm{\Theta }^+(W)`$. $`W`$ is simply said to be properly causally related with $`V`$, denoted by $`VW`$, if $`\phi `$ such that $`V_\phi W`$.

In simpler terms, what one demands here is that the solid Lorentz cones at all $`xV`$ are mapped by $`\phi `$ to sets contained in the solid Lorentz cones at $`\phi (x)W`$ keeping the time orientation: $`\phi ^{}\mathrm{\Theta }_x^+\mathrm{\Theta }_{\phi (x)}^+,xV`$.

Observe that two Lorentzian manifolds can be properly causally related by some diffeomorphisms but not by others. As a simple example, consider $`𝕃`$ with typical Cartesisan coordinates $`x^0,\mathrm{},x^{N1}`$ (the 0-index indicating the time coordinate) and let $`\phi _q`$ be the diffeomorphisms

$`\phi _q:𝕃`$ $``$ $`𝕃`$
$`(x^0,\mathrm{},x^{N1})`$ $``$ $`(qx^0,\mathrm{},x^{N1})`$
for any constant $`q0`$. It is easily checked that $`\phi _q`$ is a proper causal relation for all $`q1`$, but is not for all $`q<1`$. Thus $`𝕃𝕃`$ but, say, $`𝕃_{\phi _{1/2}}𝕃`$. Notice also that for $`q1`$ the diffeomorphisms $`\phi _q`$ change the time orientation of the causal vectors, but still $`\phi ^{}\mathrm{\Theta }_x\mathrm{\Theta }_{\phi (x)}`$ (with $`\phi ^{}\mathrm{\Theta }_x^+\mathrm{\Theta }_{\phi (x)}^{}`$.)

Proper causal relations can be easily characterized by some equivalent simple conditions.

###### Theorem 3.2

The following statements are equivalent:

1. $`V_\phi W`$.
2. $`\phi ^{}\left(𝒟𝒫_r^+(W)\right)𝒟𝒫_r^+(V)`$ for all $`r`$.
3. $`\phi ^{}\left(𝒟𝒫_1^+(W)\right)𝒟𝒫_1^+(V)`$.
4. $`\phi ^{}h𝒟𝒫_2^{}(V)`$ where $`h`$ is the metric of $`W`$ up to time orientation.

Proof:

$`12`$: let $`T𝒟𝒫_r^+(W)`$, then $`(\phi ^{}T)(\stackrel{}{u}_1,\mathrm{},\stackrel{}{u}_r)=T(\phi ^{}\stackrel{}{u}_1,\mathrm{},\phi ^{}\stackrel{}{u}_r)0`$ for all $`\stackrel{}{u}_1,\mathrm{},\stackrel{}{u}_r\mathrm{\Theta }^+(V)`$ given that $`\phi ^{}\stackrel{}{u}_1,\mathrm{},\phi ^{}\stackrel{}{u}_r\mathrm{\Theta }^+(W)`$ by assumption. Thus $`\phi ^{}T𝒟𝒫_r^+(V)`$.

$`23`$: Trivial.

$`34`$: Choose any basis $`w^1,\mathrm{},w^N`$ of $`T^{}(W)`$ such that $`w^1,\mathrm{},w^N𝒟𝒫_1^+(W)`$. Then $`h=_{\mu ,\nu =1}^Nh_{\mu \nu }w^\mu w^\nu `$ with $`h_{\mu \nu }<0`$ for all $`\mu ,\nu `$. Thus $`\phi ^{}h=_{\mu ,\nu =1}^N(\phi ^{}h_{\mu \nu })\phi ^{}w^\mu \phi ^{}w^\nu `$ with $`\phi ^{}w^\mu 𝒟𝒫_1^+(V)`$ by hypothesis and $`\phi ^{}h_{\mu \nu }=h_{\mu \nu }(\phi )<0`$. Then, $`\phi ^{}h𝒟𝒫_2^{}(V)`$.

$`41`$: For every $`\stackrel{}{u}\mathrm{\Theta }^+(V)`$ we have that $`(\phi ^{}h)(\stackrel{}{u},\stackrel{}{u})=h(\phi ^{^{}}\stackrel{}{u},\phi ^{^{}}\stackrel{}{u})0`$ and hence $`\phi ^{^{}}\stackrel{}{u}\mathrm{\Theta }(W)`$. Besides, for any other $`\stackrel{}{v}\mathrm{\Theta }^+(V)`$, $`(\phi ^{}h)(\stackrel{}{u},\stackrel{}{v})=h(\phi ^{^{}}\stackrel{}{u},\phi ^{^{}}\stackrel{}{v})0`$ so that every two vectors with the same time orientation are mapped to vectors with the same time orientation. However, it could happen that $`\mathrm{\Theta }^+(V)`$ is actually mapped to $`\mathrm{\Theta }^{}(W)`$, and $`\mathrm{\Theta }^{}(V)`$ to $`\mathrm{\Theta }^+(W)`$. By changing the time orientation of $`W`$, if necessary, the result follows.

Condition 4 in this theorem can be replaced by

4’. $`\phi ^{}h𝒟𝒫_2^{}(V)`$ and $`\phi ^{^{}}\stackrel{}{u}\mathrm{\Theta }^+(W)`$ for at least one $`\stackrel{}{u}\mathrm{\Theta }^+(V)`$.

Leaving this time-orientation problem aside (in the end, condition 4 just means that $`W`$ with one of its time orientations is properly causally related with $`V`$), let us stress that the condition 4 (or 4’) is very easy to check and thereby extremely valuable in practical problems: first, one only has to work with one tensor field $`h`$, and also as we saw in proposition 1.1 there are several simple ways to check whether $`\phi ^{}h𝒟𝒫_2^{}(V)`$ or not.

The combination of theorem 2.1 and condition 4 in theorem 3.2 provides a classification of the proper causal relations according to the number of independent null vectors which are mapped by $`\phi `$ to null vectors at each point. The key result here is that

###### Proposition 3.1

Let $`V_\phi W`$ and $`\stackrel{}{u}\mathrm{\Theta }_x^+,xV`$. Then $`\phi ^{^{}}\stackrel{}{u}`$ is null at $`\phi (x)W`$ if and only if $`\stackrel{}{u}`$ is a null eigenvector of $`\phi ^{}h|_x`$.

Proof: See . Recall that $`\stackrel{}{u}`$ is called an “eigenvector” of a 2-covariant tensor $`T`$ if $`T(,\stackrel{}{u})=\lambda g(,\stackrel{}{u})`$ and $`\lambda `$ is then the corresponding eigenvalue.

The vectors which remain null under the causal relation $`\phi `$ are called its canonical null directions, and there are at most $`N`$ of them linearly independent. Hence, using theorem 2.1 one can see that there essentially are $`N`$ different types of proper causal relations, and that the conformal relations are included as the particular case in which all null directions are canonical .

Clearly $`VV`$ for all $`V`$ (by just taking the identity mapping). Moreover

###### Proposition 3.2

$`VW`$ and $`WUVU`$.

Proof: Consider any $`\stackrel{}{u}\mathrm{\Theta }^+(V)`$. Since there are $`\phi ,\psi `$ such that $`V_\phi W`$ and $`W_\psi U`$, then $`\phi ^{^{}}\stackrel{}{u}\mathrm{\Theta }^+(W)`$ and $`\psi ^{^{}}[\phi ^{^{}}\stackrel{}{u}]\mathrm{\Theta }^+(U)`$ so that $`(\psi \phi )^{^{}}\stackrel{}{u}\mathrm{\Theta }^+(U)`$ from where $`VU`$.

It follows that the relation $``$ is a preorder for the class of all Lorentzian manifolds. This is not a partial order as $`VW`$ and $`WV`$ does not imply that $`V=W`$ and, actually, it does not even imply that $`V`$ is conformally related to $`W`$. The point here is that $`V_\phi W`$ and $`W_\psi V`$ can perfectly happen with $`\psi \phi ^1`$. In the case that $`V_\phi W`$ and $`W_{\phi ^1}V`$ then necessarily $`\phi `$ is a conformal relation and $`\phi ^{}h=e^{2f}g`$, but we are dealing with more general and basic causal equivalences.

###### Definition 3.2

Two Lorentzian manifolds $`V`$ and $`W`$ are called causally isomorphic, denoted by $`VW`$, if $`VW`$ and $`WV`$.

If $`VW`$ then the causal structures in both manifolds are somehow the same. Clearly, $``$ is an equivalence relation, and now one can obtain a partial order $``$ for the corresponding classes of equivalence coset$`(V)\{U:VU\}`$, by setting

$$\text{coset}(V)\text{coset}(W)VW.$$

This partial order provides chains of (classes of equivalence of) Lorentzian manifolds which keep “improving” the causal properties of the spacetimes. To see this, we need the following (see  for definitions)

###### Proposition 3.3

Let $`VW`$. Then, if $`V`$ violates any of the following

1. the chronology condition,
2. the causality condition,
3. the future-distinguishing condition (or the past one),
4. the strong causality condition,
5. the stable causality condition,
6. the global hyperbolicity condition,

so does $`W`$.

Proof: For 1 to 4, let $`\gamma `$ be a causal curve responsible for the given violation of causality (that is, a closed timelike curve for 1, or a curve cutting any neighbourhood of a point in a disconnected set for 4, and so on). Then, $`\phi (\gamma )`$ has the corresponding property in $`W`$. To prove 5, if there were a function $`f`$ in $`W`$ such that $`df𝒟𝒫_1^+(W)`$, from theorem 3.2 point 3 it would follow that $`d(\phi ^{}f)=\phi ^{}df𝒟𝒫_1^{}(V)`$ so that $`\phi ^{}f`$ would also be a time function. Finally, 6 follows from corollary 3.1 in .

With this result at hand, we can build the afore-mentioned chains of spacetimes, such as

$$\text{coset}(V)\mathrm{}\text{coset}(W)\mathrm{}\text{coset}(U)\mathrm{}\text{coset}(Z)$$

where the spacetimes satisfying stronger causality properties are to the left, while those violating causality properties appear more and more to the right. This is natural because the light cones “open up” under a causal mapping. The actual properties depend on the particular chain and its length, but an optimal one would start with a $`V`$ which is globally hyperbolic, and then it could pass through a $`W`$ which is just causally stable, then $`U`$ could be causal, say, and the last step $`Z`$ could be a totally vicious spacetime .

Perhaps the above results can be used to give a first fundamental characterization of asymptotically equivalent spacetimes, at a level prior to the existence of the metric, which might then be included in a subsequent step. This could be accomplished by means of the following tentative definitions, which may need some refinement.

###### Definition 3.3

An open set $`\zeta V`$ is called a neighbourhood of

1. the causal boundary of $`V`$ if $`\zeta \gamma \mathrm{}`$ for all endless causal curves $`\gamma `$;
2. a singularity set $`𝒮`$ if $`\zeta \gamma \mathrm{}`$ for all endless causal curves $`\gamma `$ which are incomplete towards $`𝒮`$;
3. the causal infinity if $`\zeta \gamma \mathrm{}`$ for all complete causal curves $`\gamma `$.

(See  for definition of boundaries, singularity sets, etcetera).

###### Definition 3.4

$`W`$ is said to be causally asymptotically $`V`$ if any two neighbourhoods of the causal infinity $`\zeta V`$ and $`\stackrel{~}{\zeta }W`$ contain corresponding neighbourhoods $`\zeta ^{}\zeta `$ and $`\stackrel{~}{\zeta }^{}\stackrel{~}{\zeta }`$ of the causal infinity such that $`\zeta ^{}\stackrel{~}{\zeta }^{}`$.

Similar definitions can be given for $`W`$ having causally the singularity structure of $`V`$, or the causal boundary of $`V`$, replacing in the given definition the neighbourhoods of the causal infinity by those of the singularity and of the causal boundary, respectively. The usefulness of these investigations is still unclear.

### 3.5 Causal transformations and generalized symmetries

Here the natural question of whether the causal relations can be used to define a generalization of the group of conformal motions is analyzed. To start with, we need a basic concept.

###### Definition 3.5

A transformation $`\phi :VV`$ is called causal if $`V_\phi V`$. The set of causal transformations of $`V`$ is written as $`𝒞(V)`$.

$`𝒞(V)`$ is a subset of the group of transformations of $`V`$. In fact, from the proof of proposition 3.2 follows that $`𝒞(V)`$ is closed under the composition of diffeomorphisms. As the identity map is also clearly in $`𝒞(V)`$ its algebraic strucuture is that of a submonoid, see e.g. , of the group of diffeomorphisms of $`V`$. However, $`𝒞(V)`$ generically fails to be a subgroup, because (see  for the proof):

###### Proposition 3.4

Every subgroup of causal transformations is a group of conformal motions.

From standard results, see , one identifies $`𝒞(V)𝒞(V)^1`$ as the group of conformal motions of $`V`$ and there is no other subgroup of $`𝒞(V)`$ containing $`𝒞(V)𝒞(V)^1`$. The transformations in $`𝒞(V)(𝒞(V)𝒞(V)^1)`$ are called proper causal transformations.

Take now a one-parameter group of causal transformations $`\{\phi _t\}_t`$. From proposition 3.4 it follows that $`\{\phi _t\}`$ must be in fact a group of conformal motions, and its infinitesimal generator is a conformal Killing vector, so that nothing new is found here. Nevertheless, one can generalize naturally the conformal Killings by building one-parameter groups of transformations $`\{\phi _t\}`$ such that only part of them are causal transformations. Given that the problem arises because both $`\phi _t`$ and $`\phi _t=\phi _t^1`$ belong to the family and thus they would both be conformal if they are both causal, one readily realizes that the natural generalization is to assume that $`\{\phi _t\}_t`$ is such that either $`\{\phi _t\}_{t^+}`$ or $`\{\phi _t\}_t^{}`$ is a subset of $`𝒞(V)`$, but only one of the two. Any group $`\{\phi _t\}_t`$ with this property is called a maximal one-parameter submonoid of proper causal transformations. Of course, the one-parameter submonoid can just be a local one so that the transformations are defined only for some interval $`I=(ϵ,ϵ)`$ and only those with $`t(0,ϵ)`$ (or $`t(ϵ,0)`$) are proper causal transformations.

Let then $`\{\phi _t\}_{tI}`$ be a local one-parameter submonoid of proper causal transformations, and assume that $`t0`$ provides the subset of proper causal transformations (otherwise, just change the sign of $`t`$). The infinitesimal generator of $`\{\phi _t\}_{tI}`$ is defined as the vector field

$$\stackrel{}{\xi }=\frac{d\phi _t}{dt}|_{t=0}$$

so that for every covariant tensor field $`T`$ one has

$$\frac{d(\phi _t^{}T)}{dt}|_{t=0}=\mathrm{\pounds }_\stackrel{}{\xi }T$$

where $`\mathrm{\pounds }_\stackrel{}{\xi }`$ denotes the Lie derivative with respect to $`\stackrel{}{\xi }`$. As $`\{\phi _t\}_{t0}`$ are proper causal transformations, and using point 2 in theorem 3.2, one gets $`\phi _t^{}T𝒟𝒫_r^+`$ for $`t0`$ and for all tensor fields $`T𝒟𝒫_r^+`$. In particular,

$$\phi _t^{}T(\stackrel{}{u}_1,\mathrm{},\stackrel{}{u}_r)0,\stackrel{}{u}_1,\mathrm{},\stackrel{}{u}_r\mathrm{\Theta }^+,T𝒟𝒫_r^+,t0,$$
(5)
from where we can derive the next result.

###### Lemma 3.1

Let $`T𝒟𝒫_r^+`$ and $`\stackrel{}{k}\mathrm{\Theta }^+`$ be such that $`T(\stackrel{}{k},\mathrm{},\stackrel{}{k})=0`$. If $`\phi _t𝒞(V)`$ for $`t[0,ϵ)`$, then

$$(\mathrm{\pounds }_\stackrel{}{\xi }T)(\stackrel{}{k},\mathrm{},\stackrel{}{k})0.$$

Proof: Under the conditions of the lemma, and due to points 2 and 3 of proposition 1.1, it is necessary that $`\stackrel{}{k}`$ is null, that is, $`\stackrel{}{k}\mathrm{\Theta }^+`$. From formula (5) one obtains $`\phi _t^{}T(\stackrel{}{k},\mathrm{},\stackrel{}{k})0`$ for all $`t[0,ϵ)`$. But $`\phi _0`$ is the identity transformation, so $`\phi _0^{}T(\stackrel{}{k},\mathrm{},\stackrel{}{k})=T(\stackrel{}{k},\mathrm{},\stackrel{}{k})=0`$, from where necessarily follows that $`\phi _t^{}T(\stackrel{}{k},\mathrm{},\stackrel{}{k})`$ is a non-decreasing function of $`t`$ at $`t=0`$, that is to say, $`(d/dt)(\phi _t^{}T(\stackrel{}{k},\mathrm{},\stackrel{}{k}))|_{t=0}0`$.

###### Corollary 3.5

Let $`\stackrel{}{\xi }`$ be the infinitesimal generator of a local one-parameter submonoid of proper causal transformations $`\{\phi _t\}_{tI}`$ and choose the sign of $`t`$ such that $`\{\phi _t\}_{t0}𝒞(V)`$. Then

$$(\mathrm{\pounds }_\stackrel{}{\xi }g)(\stackrel{}{k},\stackrel{}{k})0,,\stackrel{}{k}\mathrm{\Theta }$$

Proof: Obviosuly $`g(\stackrel{}{k},\stackrel{}{k})=0`$ for all null $`\stackrel{}{k}`$, and also $`g𝒟𝒫_2^{}`$, so lemma 3.1 can be applied to $`g`$ and the result follows.

This result is a generalization of the condition for conformal Killing vectors ($`\mathrm{\pounds }_\stackrel{}{\xi }gg`$) and can be analyzed in a similar manner. As a matter of fact, the application of the decomposition theorem 2.1 to $`\phi _t^{}g𝒟𝒫_2^{}`$ leads to a much stronger result which allows for a complete characterization of the vector fields $`\stackrel{}{\xi }`$ and their properties.

###### Theorem 3.3

Let $`\stackrel{}{\xi }`$ be the infinitesimal generator of a local one-parameter submonoid of proper causal transformations $`\{\phi _t\}_{tI}`$ and choose the sign of $`t`$ such that $`\{\phi _t\}_{t0}𝒞(V)`$. Then there is a function $`\psi `$ such that

$$\left[\mathrm{\pounds }_\stackrel{}{\xi }g2\psi g\right]𝒟𝒫_2^{}.$$

Proof: From theorem 2.1 and given that $`\phi _t^{}g𝒟𝒫_2^{}`$ for $`t[0,ϵ)`$ one has

$$\phi _t^{}g=\underset{p=1}{\overset{N}{}}T_t\{\mathrm{\Omega }_p\}=\underset{p=1}{\overset{N1}{}}T_t\{\mathrm{\Omega }_p\}+\mathrm{\Psi }_t^2g$$

where $`T_t\{\mathrm{\Omega }_p\}`$ are superenergy tensors of simple $`p`$-forms for all values of $`t[0,ϵ)`$ and $`\mathrm{\Psi }_t`$ are functions on $`V`$ with $`\mathrm{\Psi }_0=1`$. Then we have $`\phi _t^{}g(\stackrel{}{u},\stackrel{}{v})\mathrm{\Psi }_t^2g(u,v)0`$ for all $`\stackrel{}{u},\stackrel{}{v}\mathrm{\Theta }^+`$, or equivalently,

$$\mathrm{\Psi }_t^2\phi _t^{}g(\stackrel{}{u},\stackrel{}{v})g(\stackrel{}{u},\stackrel{}{v})=\mathrm{\Psi }_0^2\phi _0^{}g(\stackrel{}{u},\stackrel{}{v})0$$

from where a reasoning similar to that in lemma 3.1, by taking the derivative with repsect to $`t`$ at $`t=0`$, gives

$$\left[\mathrm{\pounds }_\stackrel{}{\xi }g2\mathrm{\Phi }g\right](\stackrel{}{u},\stackrel{}{v})0,\stackrel{}{u},\stackrel{}{v}\mathrm{\Theta }^+$$

where $`\mathrm{\Phi }d\mathrm{\Psi }_t/dt|_{t=0}`$.

This set of vector fields generalize the traditional (conformal) symmetries and the previous theorem together with theorem 2.1 provides first a definition of generalized symmetries, and second its full classification because $`\mathrm{\pounds }_\stackrel{}{\xi }g2\psi g`$ itself can be written as a sum of superenergy tensors of simple $`p`$-forms. The number of independent null eigenvectors of $`\mathrm{\pounds }_\stackrel{}{\xi }g2\psi g`$ (ranging from 0 to $`N`$) gives the desired classification, where $`N`$ corresponds to the conformal Killing vectors. This is under current investigation. It must be remarked that the above theorem does not provide a sufficient condition for a vector field to generate locally a one-parameter submonoid of causal transformations.

Several examples of generalized Killing vectors in this sense can be presented. One of them is a particular case of a previous partial generalization of isometries considered in  and called Kerr-Schild vector fields. They are vector fields which satisfy $`\mathrm{\pounds }_\stackrel{}{\xi }g\mathrm{}\mathrm{}`$ and $`\mathrm{\pounds }_\stackrel{}{\xi }\mathrm{}\mathrm{}`$ where $`\mathrm{}`$ is a null 1-form. Obviously, as $`\mathrm{\pounds }_\stackrel{}{\xi }g𝒟𝒫_2`$ this can give rise to a one-parameter submonoid of causal transformations. See Example 4 in  for an explicit case of this.

Another interesting example arises by considering the typical Robertson-Walker spacetimes $`𝕎`$, the manifold being $`I\times M_{N1}(\kappa )`$ where $`I`$ is an open interval of the real line with coordinate $`x^0`$ and $`M_{N1}(\kappa )`$ is the $`(N1)`$-dimensional Riemannian space of constant curvature $`\kappa `$, its canonical positive-definite metric being denoted here by $`g_\kappa `$. The Lorentzian metric in $`𝕎`$ is the warped product

$$g=dx^0dx^0+a^2(x^0)g_\kappa $$

where $`a(x^0)>0`$ is a $`C^2`$ function on $`I`$. Take the diffeomorphisms $`\phi _t:𝕎𝕎`$ which leave $`M_{N1}(\kappa )`$ invariant (they are the identity on $`M_{N1}(\kappa )`$) and act on $`I`$ as $`x^0x^0+t`$. It is immediate that

$$\phi _t^{}g=dx^0dx^0+a^2(x^0+t)g_\kappa $$

so that $`\phi _t^{}g𝒟𝒫_2^{}(𝕎)`$ if and only if $`a(x^0+t)a(x^0)`$, and therefore $`\phi _t^{}g𝒟𝒫_2^{}(𝕎)`$ for $`t[0,ϵ)`$ if and only if $`a`$ is a non-increasing function. Physically this means that $`\{\phi _t\}_{tI}`$ is a one-parameter submonoid of proper causal transformations in $`𝕎`$ if and only if the Robertson-Walker spacetime is non-expanding. Naturally, the non-contracting case, perhaps of more physical importance, can be studied analogously by simply changing the sign of $`t`$.

The infinitesimal generator of this one-parameter group is

$$\stackrel{}{\xi }\frac{d\phi _t}{dt}|_{t=0}=\frac{}{x^0}$$

and the deformation of the metric tensor reads

$$\mathrm{\pounds }_\stackrel{}{\xi }g=2a\dot{a}g_\kappa =\frac{2\dot{a}}{a}(g+\xi \xi )$$

where $`\dot{a}`$ is the derivative of $`a`$ and $`\xi =g(,\stackrel{}{\xi })=dx^0`$. Observe that,

$$\mathrm{\pounds }_\stackrel{}{\xi }g=\frac{2\dot{a}}{a}T\{\xi \}+\frac{\dot{a}}{a}g$$

where $`T\{\xi \}`$ is the superenergy tensor of $`\xi `$. Obviosuly, the sign of $`\dot{a}`$ is determinant here for $`\mathrm{\pounds }_\stackrel{}{\xi }g(\dot{a}/a)g`$ to be in $`𝒟𝒫_2`$, in accordance with the previous reasoning and the theorem 3.3. In fact, in this explicit case, as $`g_\kappa `$ is a positive-definite metric, one can prove

$$(\mathrm{\pounds }_\stackrel{}{\xi }g)(\stackrel{}{x},\stackrel{}{x})=2a\dot{a}g_\kappa (\stackrel{}{x},\stackrel{}{x}),\stackrel{}{x}T(𝕎)$$

which has the sign of $`\dot{a}`$ for all vector fields $`\stackrel{}{x}`$. This same property is shared by the Example 4 of .

All in all, the deformation $`\mathrm{\pounds }_\stackrel{}{\xi }g`$ produced by one-parameter local submonoids of causal transformations has been shown to be controllable and the generalized symmetries thereby defined can be attacked using traditional techniques.

## Acknowledgments

I am grateful to the organizers of the meeting for inviting me to such an exciting exchange of ideas and information between mathematicians and physicists. Some parts of this contribution arise from collaborations with Alfonso García-Parrado and Göran Bergqvist. This work is supported by the research project UPV 172.310-G02/99 of the University of the Basque Country.


text:
# Restricted permutations by patterns of type (2,1)

## Abstract

Recently, Babson and Steingrimsson (see \[BS\]) introduced generalized permutations patterns that allow the requirement that two adjacent letters in a pattern must be adjacent in the permutation.

In this paper we study the generating functions for the number of permutations on $`n`$ letters avoiding a generalized pattern $`ab\text{-}c`$ where $`(a,b,c)S_3`$, and containing a prescribed number of occurrences of generalized pattern $`cd\text{-}e`$ where $`(c,d,e)S_3`$. As a consequence, we derive all the previously known results for this kind of problems, as well as many new results.

## 1. Introduction

Classical patterns. Let $`\alpha S_n`$ and $`\tau S_k`$ be two permutations. We say that $`\alpha `$ contains $`\tau `$ if there exists a subsequence $`1i_1<i_2<\mathrm{}<i_kn`$ such that $`(\alpha _{i_1},\mathrm{},\alpha _{i_k})`$ is order-isomorphic to $`\tau `$; in such a context $`\tau `$ is usually called a pattern. We say $`\alpha `$ avoids $`\tau `$, or is $`\tau `$-avoiding, if such a subsequence does not exist. The set of all $`\tau `$-avoiding permutations in $`S_n`$ is denoted $`S_n(\tau )`$. For an arbitrary finite collection of patterns $`T`$, we say that $`\alpha `$ avoids $`T`$ if $`\alpha `$ avoids any $`\tau T`$; the corresponding subset of $`S_n`$ is denoted $`S_n(T)`$.

While the case of permutations avoiding a single pattern has attracted much attention, the case of multiple pattern avoidance remains less investigated. In particular, it is natural, as the next step, to consider permutations avoiding pairs of patterns $`\tau _1`$, $`\tau _2`$. This problem was solved completely for $`\tau _1,\tau _2S_3`$ (see \[SS\]), for $`\tau _1S_3`$ and $`\tau _2S_4`$ (see \[W\]), and for $`\tau _1,\tau _2S_4`$ (see \[B, K\] and references therein). Several recent papers deal with the case $`\tau _1S_3`$, $`\tau _2S_k`$ for various pairs $`\tau _1,\tau _2`$ (see \[CW, Kr, MV2\] and references therein). Another natural question is to study permutations avoiding $`\tau _1`$ and containing $`\tau _2`$ exactly $`t`$ times. Such a problem for certain $`\tau _1,\tau _2S_3`$ and $`t=1`$ was investigated in \[R\], and for certain $`\tau _1S_3`$, $`\tau _2S_k`$ in \[RWZ, MV1, Kr, MV2, MV3, MV4\]. The tools involved in these papers include continued fractions, Chebyshev polynomials, and Dyck paths.

Generalized patterns. In \[BS\] Babson and Steingrimsson introduced generalized permutation patterns that allow the requirement that two adjacent letters in a pattern must be adjacent in the permutation. The idea for Babson and Steingrimsson in introducing these patterns was study of Mahonian statistics.

Following \[C\], we define our generalized patterns as words on the letters $`1,2,3,\mathrm{}`$ where two adjacent letters may or may not be separated by a dash. The absence of a dash between two adjacent letters in a pattern indicates that the corresponding letters in the permutation must be adjacent, and in the order (order-isomorphic) given by the pattern. For example, the subword $`23\text{-}1`$ of a permutation $`\pi =(\pi _1,\pi _2,\mathrm{},\pi _n)`$ is a subword $`(\pi _i,\pi _{i+1},\pi _j)`$ where $`i+1<j`$ such that $`\pi _j<\pi _i<\pi _{i+1}`$. We say $`\tau `$ a generalized pattern of type $`(2,1)`$ if it has the form $`ab\text{-}c`$ where $`(a,b,c)S_3`$.

###### Remark 1.1.

There exist six generalized patterns of type $`(2,1)`$ which are $`12\text{-}3`$, $`13\text{-}2`$, $`21\text{-}3`$, $`23\text{-}1`$, $`31\text{-}2`$, and $`32\text{-}1`$. By the complement symmetric operation we get three different classes: $`\{12\text{-}3,32\text{-}1\}`$, $`\{13\text{-}2,31\text{-}2\}`$, and $`\{21\text{-}3,23\text{-}1\}`$.

While the case of permutations avoiding a single pattern has attracted much attention, the case of multiple pattern avoidance remains less investigated. In particular, it is natural, as the next step, to consider permutations avoiding pairs of generalized patterns $`\tau _1`$, $`\tau _2`$. This problem was solved completely for $`\tau _1,\tau _2`$ two generalized patterns of length three with exactly one adjacent pair of letters (see \[CM1\]). Claesson and Mansour \[CM2\] showed (by Clarke, Steingrímsson and Zeng \[CSZ, Corollary 11\] result) the distribution of the patterns $`2\text{-}31`$ and $`31\text{-}2`$ is given by Stieltjes continued fraction as following:

###### Theorem 1.2.

The following Stieltjes continued fraction expansion holds

$$\underset{n0}{}\underset{\pi S_n}{}x^{1+(12)\pi }y^{(21)\pi }p^{(2\text{-}31)\pi }q^{(31\text{-}2)\pi }t^{|\pi |}=\frac{1}{1{\displaystyle \frac{x[\mathrm{\hspace{0.17em}1}]_{p,q}t}{1{\displaystyle \frac{y[\mathrm{\hspace{0.17em}1}]_{p,q}t}{1{\displaystyle \frac{x[\mathrm{\hspace{0.17em}2}]_{p,q}t}{1{\displaystyle \frac{y[\mathrm{\hspace{0.17em}2}]_{p,q}t}{\mathrm{}}}}}}}}}}$$

where $`[n]_{p,q}=q^{n1}+pq^{n2}+\mathrm{}+p^{n2}q+p^{n1}`$, $`(\tau )\pi `$ is the number of occurrences of $`\tau `$ in $`\pi `$.

In the present paper, as consequence to \[CM1\] (see also \[C, CM2\]), we exhibit a general approach to study the number of permutations avoiding a generalized pattern of type $`(2,1)`$ and containing a prescribed number of occurrences of $`\tau `$ a generalized pattern of type $`(2,1)`$. As a consequence, we derive all the previously known results for this kind of problems, as well as many new results.

## 2. Avoiding $`12\text{-}3`$

Let $`f_{\tau ;r}(n)`$ be the number of all permutations in $`S_n(12\text{-}3)`$ containing $`\tau `$ exactly $`r`$ times. The corresponding exponential and ordinary generating function we denote by $`_{\tau ;r}(x)`$ and $`F_{\tau ;r}(x)`$ respectively; that is, $`_{\tau ;r}(x)=\underset{n0}{}\frac{f_{\tau ;r}(n)}{n!}x^n`$ and $`F_{\tau ;r}(x)=\underset{n0}{}f_{\tau ;r}(n)x^n`$. The above definitions we extend to $`r<0`$ as $`f_{\tau ;r}(n)=0`$ for any $`\tau `$.

Our present aim is to count the number of permutations avoiding $`12\text{-}3`$ and avoiding (or containing exactly $`r`$ times) an arbitrary generalized pattern $`\tau `$, since that we introduce another notation. Let $`f_{\tau ;r}(n;i_1,i_2,\mathrm{},i_j)`$ be the number of permutations $`\pi S_n(12\text{-}3)`$ containing $`\tau `$ exactly $`r`$ times such that $`\pi _1\pi _2\mathrm{}\pi _j=i_1i_2\mathrm{}i_j`$.

The main body of this section is divided into $`6`$ subsections corresponding to the cases: $`\tau `$ is a general generalized pattern, $`13\text{-}2`$, $`21\text{-}3`$, $`23\text{-}1`$, $`31\text{-}2`$, and $`32\text{-}1`$.

### 2.1. $`\tau `$ a generalized pattern of length $`k`$

Here we study certain cases of $`\tau `$, where $`\tau `$ is a generalized pattern of length $`k`$ without dashes, or with exactly one dash.

###### Theorem 2.1.

Let $`k2`$, $`P_k(x)=\underset{j=0}{\overset{k2}{}}\frac{x^j}{j!}`$, $`G_0(x)=e^xP_k(x)`$, and for $`s1`$ let $`G_s(x)=G_0(x)_0^xG_{s1}(t)𝑑t`$. Then

$$_{(k1)\mathrm{}21k;r}(x)=e^{{\scriptscriptstyle P_k(t)𝑑t}}G_k(t)𝑑t.$$

###### Proof.

Let $`\alpha S_n(12\text{-}3)`$ such that $`\alpha _j=n`$; so $`\alpha _1>\alpha _2>\mathrm{}>\alpha _{j1}`$. Therefore, $`\alpha `$ contains $`\tau =(k1)\mathrm{}21k`$ exactly $`r`$ times if and only if $`(\alpha _{j+1},\mathrm{},\alpha _n)`$ contains $`\tau `$ exactly $`r`$ times if $`jk1`$, and contains $`\tau `$ exactly $`r1`$ times if $`jk`$. Thus

$$f_{\tau ;r}(n)=\underset{j=1}{\overset{k1}{}}\left(\genfrac{}{}{0pt}{}{n1}{j1}\right)f_{\tau ;r}(nj)+\underset{j=k}{\overset{n}{}}\left(\genfrac{}{}{0pt}{}{n1}{j1}\right)f_{\tau ;r1}(nj).$$

If multiplying by $`x^n/(n1)!`$ and summing over all $`n1`$ we get

$$_{(k1)\mathrm{}21k;r}(x)=\underset{j=0}{\overset{k2}{}}\frac{x^j}{j!}(_{(k1)\mathrm{}21k;r}(x)_{(k1)\mathrm{}21k;r1})+e^x_{(k1)\mathrm{}21k;r1}(x).$$

The rest is easy to check. ∎

###### Example 2.2.

(see Claesson \[C\]) Theorem 2.1 yields for $`r=0`$ that

$$_{(k1)\mathrm{}21k;0}(x)=e^{\frac{x^1}{1!}+\frac{x^2}{2!}+\mathrm{}+\frac{x^{k1}}{(k1)!}}.$$

If $`k\mathrm{}`$, then we get the exponential generating function for the number of $`12\text{-}3`$-avoiding permutations in $`S_n`$ is given by $`e^{e^x1}`$. Besides, Theorem 2.1 yields for given $`k2`$ and $`r\mathrm{}`$ that $`G_s(x)e^{e^x{\scriptscriptstyle P_k(x)}}`$, so $`_{(k1)\mathrm{}21k;r}(x)e^{e^x1}`$.

Claesson \[C\] (see also \[CM1, Pro. 28\]) proved the number of permutations in $`S_n(12\text{-}3,21\text{-}3)`$ is the same number of involutions in $`S_n`$. The case of varying $`k`$ is more interesting. As an extension of this result.

###### Theorem 2.3.

For $`k2`$,

$$_{(k1)\mathrm{}21\text{-}k;0}(x)=e^{\frac{x^1}{1!}+\mathrm{}+\frac{x^{k1}}{(k1)!}}.$$

###### Proof.

Let $`\tau =(k1)\mathrm{}21\text{-}k`$, by definitions we get

$`(1)`$
$$f_{\tau ;0}(n)=\underset{j=1}{\overset{n}{}}f_{\tau ;0}(n;j),f_{\tau ;0}(n;n)=f_{\tau ;0}(n1),$$

and

$`(2)`$
$$f_{\tau ;0}(n;i_1,\mathrm{},i_j)=\underset{i_{j+1}=1}{\overset{i_j1}{}}f_{\tau ;0}(n;i_1,\mathrm{},i_j,i_{j+1})+f_{\tau ;0}(n;i_1,\mathrm{},i_j,n)$$

for all $`n1i_1>i_2>\mathrm{}>i_j1`$. Therefore, since $`f_{\tau ;0}(n;i_1,\mathrm{},i_j)=0`$ for all $`n1>i_1>\mathrm{}>i_j1`$ where $`jk1`$ and since $`f_{\tau ;0}(n;i_1,\mathrm{},i_j,n)=f_{\tau ;0}(n1j)`$ for all $`n1>i_1>\mathrm{}>i_j1`$ where $`0jk2`$ we have for all $`n1`$

$$f_{\tau ;0}(n)=\underset{j=0}{\overset{k2}{}}\left(\genfrac{}{}{0pt}{}{n1}{j}\right)f_{\tau ;0}(n1j).$$

The rest is easy to see as proof of Theorem 2.1. ∎

In view of Example 2.2 and Theorem 2.3 we get the number of permutations in $`S_n(12\text{-}3,(k1)\mathrm{}21\text{-}k)`$ is the same number of permutations in $`S_n(12\text{-}3,(k1)\mathrm{}21k)`$. In addition,

$`(3)`$
$$S_n(12\text{-}3,(k1)\mathrm{}21\text{-}k)=S_n(12\text{-}3,(k1)\mathrm{}21k),$$

which can prove as follows. Let $`\alpha =(\alpha ^{},n,\alpha ^{\prime \prime })`$; since $`\alpha `$ avoids $`12\text{-}3`$ we get $`\alpha ^{}`$ decreasing, so by the principle of induction on length of $`\alpha `$ it is easy to see that $`\alpha `$ avoids $`(k1)\mathrm{}21k`$ if and only if avoids $`(k1)\mathrm{}21\text{-}k`$.

In \[CM1\] showed the number of permutations in $`S_n(12\text{-}3,13\text{-}2)`$ is given by $`2^{n1}`$. The case of varying $`k`$ is more interesting. As an extension of this result.

###### Theorem 2.4.

Let $`k3`$, then for all $`n1`$

$$\begin{array}{cc}f_{(k2)\mathrm{}21k\text{-}(k1);0}(n)\hfill & =\underset{j=0}{\overset{k3}{}}\left(\genfrac{}{}{0pt}{}{n1}{j}\right)f_{(k2)\mathrm{}21k\text{-}(k1);0}(n1j)+\hfill \\ & +\underset{j=k2}{\overset{n1}{}}\left(\genfrac{}{}{0pt}{}{nj+k4}{k3}\right)f_{(k2)\mathrm{}21k\text{-}(k1);0}(n1j).\hfill \end{array}$$

###### Proof.

Let $`\tau =(k2)\mathrm{}21k\text{-}(k1)`$ and let $`n1i_1>\mathrm{}>i_j1`$, so for $`jk3`$

$$f_{\tau ;0}(n;i_1,\mathrm{},i_j,n)=f_{\tau ;0}(n1j)$$

and for $`jk2`$

$$\begin{array}{cc}f_{\tau ;0}(n;i_1,\mathrm{},i_j,n)\hfill & =f_{\tau ;0}(n;n1,n2,\mathrm{},n(jk+3),i_{jk+4},\mathrm{},i_j,n)=\hfill \\ & =f_{\tau ;0}(nj).\hfill \end{array}$$

Therefore, Equation (1) and Equation (2) yield the desired result. ∎

###### Example 2.5.

(see Claesson and Mansour \[CM2\]) Theorem 2.4 yields for $`k=3`$ the number of permutations in $`S_n(12\text{-}3,13\text{-}2)`$ is given by $`2^{n1}`$. Another example, for $`k=4`$ we get

$$_{214\text{-}3;0}(x)=1+_0^xe^{2x+x^2/2}𝑑x.$$

As a remark, similarly as proof of Equation (3), we have for all $`k3`$

$$_{(k2)\mathrm{}21k\text{-}(k1);0}(x)=_{(k2)\mathrm{}21\text{-}k\text{-}(k1);0}(x).$$

### 2.2. $`\tau =13\text{-}2`$

###### Theorem 2.6.

Let $`r`$ be a nonnegative integer. Then

$$F_{13\text{-}2;r}(x)=\frac{1x}{12x}\delta _{r,0}+\frac{x^2}{12x}\underset{d=1}{\overset{r}{}}\frac{F_{13\text{-}2;rd}(x)\underset{j=0}{\overset{d1}{}}f_{13\text{-}2;rd}(j)x^j}{(1x)^d}.$$

###### Proof.

Let $`r0`$, $`b_r(n)=f_{13\text{-}2;r}(n)`$, and let $`1ijn`$. If $`i<j`$, then since the permutations avoiding $`12\text{-}3`$ we have $`b_r(n;i,j)=0`$ for $`jn1`$ and $`b_r(n;i,n)=b_{r(n1i)}(n2)`$, hence

$$\underset{j=i+1}{\overset{n}{}}b_r(n;i,j)=b_{r(n1i)}(n1;n1)=b_{r(n1i)}(n2).$$

If $`i>j`$ then by definitions we have

$$b_r(n;i,j)=b_r(n1;j).$$

Owing to Equation (2) we have showed that, for all $`1in2`$,

$`(4)`$
$$b_r(n;i)=b_{r(n1i)}(n2)+\underset{j=1}{\overset{i1}{}}b_r(n1;j).$$

Moreover, it is plain that

$`(5)`$
$$b_r(n;n)=b_r(n;n1)=b_r(n1),$$

and by means of induction we shall show that Equation (4) implies: If $`2mn1`$ then

$`(6)`$
$$\begin{array}{c}b_r(n;nm)=\underset{j}{}(1)^j\left[\left(\genfrac{}{}{0pt}{}{m1}{j}\right)+\left(\genfrac{}{}{0pt}{}{m2}{j1}\right)\right]b_r(n1j)+\hfill \\ +b_{r(m1)}(n2)\underset{d1}{}\underset{j}{}(1)^j\left(\genfrac{}{}{0pt}{}{m2d}{j}\right)b_{rd}(n3j).\hfill \end{array}$$

First we verify the statement for $`m=2`$; in this case Equation (6) becomes

$$b_r(n;n2)=b_r(n1)2b_r(n2)+b_{r1}(n2).$$

Indeed,

$`(7)`$
$$\begin{array}{c}b_r(n;nm)=\hfill \\ =\underset{j=1}{\overset{nm1}{}}b_r(n;nm,j)+\underset{j=nm+1}{\overset{m}{}}b_r(n;nm,j)\hfill \\ =\underset{j=1}{\overset{nm1}{}}b_r(n1;j)+b_{r(m1)}(n1;n1)\hfill \\ =b_r(n1)2b_r(n2)+b_{r(m1)}(n2)\underset{k=2}{\overset{m1}{}}b_r(n1;n1k),\hfill \end{array}$$

where the three equalities follow from Equation (2), and Equation (1) together with (4) and (5), respectively. Now simply put $`m=2`$ to obtain Equation (6).

Assume that Equation (7) holds for all $`k`$ such that $`2km1`$. Then, employing the familiar identity $`\left(\genfrac{}{}{0pt}{}{1}{k}\right)+\left(\genfrac{}{}{0pt}{}{2}{k}\right)+\mathrm{}+\left(\genfrac{}{}{0pt}{}{n}{k}\right)=\left(\genfrac{}{}{0pt}{}{n+1}{k+1}\right)`$, the trailing sum in Equation (7) expands as follows. Since

$$\begin{array}{c}\underset{k=2}{\overset{m1}{}}\underset{j}{}(1)^j\left[\left(\genfrac{}{}{0pt}{}{k1}{j}\right)+\left(\genfrac{}{}{0pt}{}{k2}{j1}\right)\right]b_r(n2j)=\hfill \\ =\underset{j}{}(1)^j\left[\left(\genfrac{}{}{0pt}{}{m1}{j+1}\right)+\left(\genfrac{}{}{0pt}{}{k2}{j}\right)\right]b_r(n2j)b_r(n2)=\hfill \\ =\underset{j}{}(1)^j\left[\left(\genfrac{}{}{0pt}{}{k1}{j}\right)+\left(\genfrac{}{}{0pt}{}{k2}{j1}\right)\right]b_r(n1j)+b_r(n1)2b_r(n2),\hfill \end{array}$$

$$\underset{k=2}{\overset{m1}{}}b_{r(k1)}(n3)=\underset{d1}{}b_{rd}(n3),$$

and

$$\begin{array}{c}\underset{k=2}{\overset{m1}{}}\underset{d1}{}\underset{j}{}(1)^j\left(\genfrac{}{}{0pt}{}{k2d}{j}\right)b_{rd}(n4j)=\hfill \\ =\underset{d1}{}\underset{j}{}(1)^j\left(\genfrac{}{}{0pt}{}{m2d}{j}\right)b_{rd}(n3j)+\underset{d1}{}b_{rd}(n3)\hfill \end{array}$$

with using Equation (7) we get that Equation (6) holds for $`k=m`$, by the principle of induction the universal validity of Equation (6) follows.

Now, if summing $`b_r(n;nm)`$ over all $`0mn1`$, then by using Equation (1), (5), and (6) we get

$`(8)`$
$$\begin{array}{c}\underset{j}{}(1)^j\left[\left(\genfrac{}{}{0pt}{}{n1}{j}\right)+\left(\genfrac{}{}{0pt}{}{n2}{j1}\right)\right]b_r(nj)=\hfill \\ =\underset{d1}{}\underset{j}{}(1)^j\left(\genfrac{}{}{0pt}{}{n2d}{j}\right)b_{rd}(n2j).\hfill \end{array}$$

Using \[CM2, Lem. 7\] to transfer the above equation in terms of ordinary generating functions

$$\begin{array}{c}(1u)F_{13\text{-}2;r}\left(\frac{u}{1+u}\right)=\delta _{r,0}+\hfill \\ +u^2\underset{d=1}{\overset{r}{}}(1+u)^{d1}\left[F_{13\text{-}2;rd}\left(\frac{u}{1+u}\right)\underset{j=0}{\overset{d1}{}}f_{13\text{-}2;rd}(j)\left(\frac{u}{1+u}\right)^j\right].\hfill \end{array}$$

Putting $`x=u/(1+u)`$ ($`u=x/(1x)`$) we get the desired result. ∎

An application for Theorem 2.6 we get the exact formula for $`f_{13\text{-}2;r}(n)`$ for $`r=0,1,2,3,4`$.

###### Corollary 2.7.

For all $`n1`$,

$$\begin{array}{c}f_{13\text{-}2;0}(n)=2^{n1};\hfill \\ f_{13\text{-}2;1}(n)=(n3)2^{n2}+1;\hfill \\ f_{13\text{-}2;2}(n)=(n^23n6)2^{n4}+n;\hfill \\ f_{13\text{-}2;3}(n)=1/3(n^331n18)2^{n5}+n^2n+1;\hfill \\ f_{13\text{-}2;4}(n)=1/3(n1)(n^3+7n^2546n312)2^{n8}+2/3(n1)(n^22n+3).\hfill \end{array}$$

### 2.3. $`\tau =21\text{-}3`$

By definitions it is easy to obtain the following:

###### Lemma 2.8.

Let $`n1`$; then

$$\begin{array}{c}f_{21\text{-}3;r}(n)=f_{21\text{-}3;r}+\underset{i=1}{\overset{n1}{}}f_{21\text{-}3;r}(n;i),\hfill \\ f_{21\text{-}3;r}(n;i)=f_{21\text{-}3;r}(n2)+\underset{j=1}{\overset{i1}{}}f_{21\text{-}3;r(ni)}(n2;j),\text{for}1in1.\hfill \end{array}$$

Using the above lemma for given $`r`$ we obtain the exact formula for $`f_{21\text{-}3;r}`$. Here we present the first three cases $`r=0,1,2`$.

###### Theorem 2.9.

For all $`n1`$

$$\begin{array}{c}f_{21\text{-}3;0}(n)=f_{21\text{-}3;0}(n1)+(n1)f_{21\text{-}3;0}(n2);\hfill \\ \\ f_{21\text{-}3;1}(n)=f_{21\text{-}3;1}(n1)+(n1)f_{21\text{-}3;1}(n2)+f_{21\text{-}3;0}(n1)f_{21\text{-}3;0}(n2);\hfill \\ \\ f_{21\text{-}3;2}(n)=f_{21\text{-}3;2}(n1)+(n1)f_{21\text{-}3;2}(n2)+f_{21\text{-}3;1}(n1)f_{21\text{-}3;1}(n2)+\hfill \\ +f_{21\text{-}3;0}(n1)2f_{21\text{-}3;0}(n2).\hfill \end{array}$$

###### Proof.

Case $`r=0`$: Lemma 2.8 yields $`f_{21\text{-}3;0}(n;i)=f_{21\text{-}3;0}(n1)`$ for all $`1in1`$, so for all $`n1`$

$$f_{21\text{-}3;0}(n)=f_{21\text{-}3;0}(n1)+(n1)f_{21\text{-}3;0}(n2).$$

Case $`r=1`$: Lemma 2.8 yields $`f_{21\text{-}3;1}(n;i)=f_{21\text{-}3;1}(n2)`$ for all $`1in2`$, and

$$f_{21\text{-}3;1}(n;n1)=\underset{j=1}{\overset{n2}{}}f_{21\text{-}3;0}(n1;j)+f_{21\text{-}3;1}(n2)$$

which equivalent to (by use the case $`r=0`$)

$$f_{21\text{-}3;1}(n;n1)=f_{21\text{-}3;1}(n2)+f_{21\text{-}3;0}(n1)f_{21\text{-}3;0}(n2).$$

Therefore, for all $`n1`$

$$f_{21\text{-}3;1}(n)=f_{21\text{-}3;1}(n1)+(n1)f_{21\text{-}3;1}(n2)+f_{21\text{-}3;0}(n1)f_{21\text{-}3;0}(n2).$$

Case $`r=2`$: Similarly as the cases $`r=0,1`$. ∎

### 2.4. $`\tau =23\text{-}1`$

###### Theorem 2.10.

For any $`r`$ nonnegative integer,

$$\begin{array}{c}F_{23\text{-}1;r}(x)=\frac{\delta _{r,0}}{1x}+\hfill \\ +x^2\underset{d=0}{\overset{r}{}}(1x)^{j2}\left[F_{23\text{-}1;rd}\left(\frac{x}{1x}\right)\underset{j=0}{\overset{d1}{}}f_{23\text{-}1;rd}(j)\left(\frac{x}{1x}\right)^j\right].\hfill \end{array}$$

###### Proof.

By definition it is easy to state the following statement:

###### Lemma 2.11.

Let $`n1`$; then

$$\begin{array}{c}f_{23\text{-}1;r}(n)=f_{23\text{-}1;r}(n1)+\underset{i=1}{\overset{n1}{}}f_{23\text{-}1;r}(n;i),\hfill \\ f_{23\text{-}1;r}(n;i)=f_{23\text{-}1;r(i1)}(n2)+\underset{j=1}{\overset{i1}{}}f_{23\text{-}1;r}(n1;j),\text{for}1in1.\hfill \end{array}$$

By consider the same argument proof of Equation (6) with use Lemma 2.11 we have for all $`1mn1`$,

$$f_{23\text{-}1;r}(n;m)=f_{23\text{-}1;r+1m}(n2)+\underset{d1}{}\underset{j}{}\left(\genfrac{}{}{0pt}{}{m1d}{j}\right)f_{23\text{-}1;r+1d}(n3j).$$

Therefore, by summing $`f_{23\text{-}1;r}(n;m)`$ over all $`1mn`$ we shall show that Lemma 2.11 implies for all $`n1`$,

$$f_{23\text{-}1;r}(n)=f_{23\text{-}1;r}(n1)+\underset{d=0}{\overset{r}{}}\underset{j=0}{\overset{n2d}{}}\left(\genfrac{}{}{0pt}{}{n2d}{j}\right)f_{23\text{-}1;rd}(n2j).$$

Hence, using \[CM2, Lem. 7\] we get the desired result. ∎

###### Example 2.12.

(see Claesson and Mansour \[CM1, Pro. 7\]) Theorem 2.10 for $`r=0`$ yields

$$F_{23\text{-}1;0}(x)=\frac{1}{1x}+\frac{x^2}{(1x)^2}F_{23\text{-}1;0}\left(\frac{x}{1x}\right).$$

An infinite number of application of this identity we have

$$F_{23\text{-}1;0}(x)=\underset{k0}{}\frac{x^{2k}}{p_{k1}(x)p_{k+1}(x)},$$

where $`p_m(x)=_{j=0}^m(1jx)`$. An another example, Theorem 2.10 for $`r=1`$ yields (similarly)

$$F_{23\text{-}1;1}(x)=\underset{d0}{}\left[\frac{x^{2d+2}}{p_{d+1}(x)}\left(\underset{k0}{}\frac{x^{2k}}{p_{k+d1}(x)p_{k+d+1}(x)}1\right)\right].$$

### 2.5. $`\tau =31\text{-}2`$

By definitions it is easy to state the following:

###### Lemma 2.13.

Let $`n1`$; then

$$\begin{array}{c}f_{31\text{-}2;r}(n;n)=\underset{j=1}{\overset{n1}{}}f_{31\text{-}2;r+1j}(n1;nj),\hfill \\ f_{31\text{-}2;r}(n;i)=f_{31\text{-}2;r}(n1;n1)+\underset{j=1}{\overset{i1}{}}f_{31\text{-}2;r(i1j)}(n1;j),\text{for}1in1.\hfill \end{array}$$

###### Theorem 2.14.

Let $`r`$ be a nonnegative integer, then $`f_{31\text{-}2;r}(n)`$ is a polynomial of degree at most $`2r+2`$ with coefficient in $`𝒬`$, where $`n0`$.

###### Proof.

Using Lemma 2.13 for $`r=0`$ we obtain that, first $`f_{31\text{-}2;0}(n;n)=1`$ and $`f_{31\text{-}2;0}(n;1)=1`$, second $`f_{31\text{-}2;0}(n;j)=j`$ for all $`1jn1`$. Hence, for all $`n0`$,

$$f_{31\text{-}2;0}(n)=\left(\genfrac{}{}{0pt}{}{n}{2}\right)+1.$$

Now, assume that $`f_{31\text{-}2;d}(n;j)`$ is a polynomial of degree at most $`2d+1`$ with coefficient in $`𝒬`$ for all $`1jn`$ where $`d=0,1,2,\mathrm{},r1`$. Therefore, Lemma 2.13 with induction hypothesis imply, first $`f_{31\text{-}2;r}(n;n)`$ and $`f_{31\text{-}2;r}(n;1)`$ are polynomials of degree at most $`2r`$, and then $`f_{31\text{-}2;r}(n;j)`$ is a polynomial of degree at most $`2r+1`$. So, by use the principle of induction on $`r`$ we get that $`f_{31\text{-}2;r}(n;j)`$ is a polynomial of degree at most $`2r+1`$ with coefficient in $`𝒬`$ for all $`r0`$. Hence, since $`f_{31\text{-}2;r}(n)=\underset{j=1}{\overset{n}{}}f_{31\text{-}2;r}(n;j)`$ we get the desired result. ∎

An application for Theorem 2.14 with the initial values of the sequence $`f_{31\text{-}2;r}(n)`$ we have the exact formula for $`f_{31\text{-}2;r}(n)`$ where $`r=0,1,2,3`$.

###### Corollary 2.15.

For all $`n0`$,

$$\begin{array}{c}f_{31\text{-}2;0}(n)=1+n(n1)/2;\hfill \\ f_{31\text{-}2;1}(n)=n(n1)(n2)(3n5)/24;\hfill \\ f_{31\text{-}2;2}(n)=n(n1)(n2)(n3)(5n^23n38)/720;\hfill \\ f_{31\text{-}2;3}(n)=n(n1)(n2)(n3)(n4)(7n^3+10n^2+205n1142)/40320.\hfill \end{array}$$

### 2.6. $`\tau =32\text{-}1`$

By definitions it is easy to state the following:

###### Lemma 2.16.

Let $`n1`$; then

$$\begin{array}{c}f_{32\text{-}1;r}(n;n)=\underset{j=1}{\overset{n1}{}}f_{31\text{-}2;r+1j}(n1;j),\hfill \\ f_{32\text{-}1;r}(n;i)=f_{32\text{-}1;r}(n1;n1)+\underset{j=1}{\overset{i1}{}}f_{31\text{-}2;r+1j)}(n1;j),\text{for}1in1.\hfill \end{array}$$

###### Theorem 2.17.

Let $`r`$ be a nonnegative integer, then $`f_{32\text{-}1;r}(n)`$ is a polynomial of degree at most $`r+1`$ with coefficient in $`𝒬`$, where $`nr+2`$.

###### Proof.

Using Lemma 2.16 for $`r=0`$ we obtain that, first $`f_{32\text{-}1;0}(n;n)=1`$ and $`f_{32\text{-}1;0}(n;1)=1`$, second $`f_{31\text{-}2;0}(n;j)=2`$ for all $`2jn1`$. Hence, for all $`n2`$,

$$f_{31\text{-}2;0}(n)=2n2.$$

Let $`nr+2`$ and let us assume that $`f_{32\text{-}1;d}(n;j)`$ is a polynomial of degree at most $`d`$ with coefficient in $`𝒬`$ for all $`1jn`$ where $`d=0,1,2,\mathrm{},r1`$. Lemma 2.16 with induction hypothesis imply, first $`f_{32\text{-}1;r}(n;n)`$ and $`f_{32\text{-}1;r}(n;1)`$ are polynomials of degree at most $`r`$ with coefficient in $`𝒬`$, and then $`f_{31\text{-}2;r}(n;j)`$ where $`2jn1`$ is a polynomial of degree at most $`r`$ with coefficient in $`𝒬`$. So, by use the principle of induction on $`r`$ we get that $`f_{32\text{-}1;r}(n;j)`$ is a polynomial of degree at most $`r`$ with coefficient in $`𝒬`$ for all $`r0`$. Hence, since $`f_{32\text{-}1;r}(n)=\underset{j=1}{\overset{n}{}}f_{32\text{-}1;r}(n;j)`$ we get the desired result. ∎

An application for Theorem 2.17 with the initial values of the sequence $`f_{32\text{-}1;r}(n)`$ we get the exact formula for $`f_{32\text{-}1;r}(n)`$ for $`r=0,1,2,3`$.

###### Corollary 2.18.

$$\begin{array}{cc}\text{For all}n2,\hfill & f_{32\text{-}1;0}(n)=2n2;\hfill \\ \text{For all}n3,\hfill & f_{32\text{-}1;1}(n)=(n3)(2n1);\hfill \\ \text{For all}n4,\hfill & f_{32\text{-}1;2}(n)=(n4)(n^23n+1);\hfill \\ \text{For all}n5,\hfill & f_{32\text{-}1;3}(n)=(n5)(2n^313n^2+47n6)/6.\hfill \end{array}$$

## 3. Avoiding $`13\text{-}2`$

Let $`g_{\tau ;r}(n)`$ be the number of all permutations in $`S_n(13\text{-}2)`$ containing $`\tau `$ exactly $`r`$ times. The corresponding ordinary generating function we denote by $`G_{\tau ;r}(x)`$; that is, $`G_{\tau ;r}(x)=\underset{n0}{}g_{\tau ;r}(n)x^n`$. The above definitions we extend to $`r<0`$ as $`g_{\tau ;r}(n)=0`$ for any $`\tau `$.

In the current section, our present aim is to count the number of permutations avoiding $`13\text{-}2`$ and containing $`\tau `$ exactly $`r`$ times where $`\tau `$ a generalized pattern of type $`(2,1)`$, and since that we introduce another notation. Let $`g_{\tau ;r}(n;i_1,i_2,\mathrm{},i_j)`$ be the number of permutations $`\pi S_n(13\text{-}2)`$ containing $`\tau `$ exactly $`r`$ times such that $`\pi _1\pi _2\mathrm{}\pi _j=i_1i_2\mathrm{}i_j`$.

The main body of this section is divided to three subsections corresponding to the cases $`\tau `$ is $`12\text{-}3`$; $`21\text{-}3`$; and $`23\text{-}1`$, or $`31\text{-}2`$, or $`32\text{-}1`$.

### 3.1. $`\tau =12\text{-}3`$

###### Theorem 3.1.

Let $`r`$ be any nonnegative integer number; then there exists a polynomials $`p_r(n)`$ and $`q_{r1}(n)`$ of degree at most $`r`$ and $`r1`$ respectively, with coefficient in $`𝒬`$ such that for all $`n1`$,

$$g_{12\text{-}3;r}(n)=p_r(n)2^n+q_{r1}(n).$$

###### Proof.

Let $`r0`$, and let $`1ijn`$. If $`i<j`$, then since the permutations avoiding $`13\text{-}2`$ we have $`g_{12\text{-}3;r}(n;i,j)=0`$ for $`i+2jn`$ and $`g_{12\text{-}3;r}(n;i,i+1)=g_{12\text{-}3;r(n1i)}(n1;i)`$, hence

$$\underset{j=i+1}{\overset{n}{}}g_{12\text{-}3;r}(n;i,j)=g_{12\text{-}3;r(n1i)}(n1;i).$$

If $`i>j`$ then by definitions we have

$$g_{12\text{-}3;r}(n;i,j)=g_{12\text{-}3;r}(n1;j).$$

Owing to the definitions we have showed that, for all $`1in2`$,

$`(1^{})`$
$$g_{12\text{-}3;r}(n;i)=g_{12\text{-}3;r(n1i)}(n1;i)+\underset{j=1}{\overset{i1}{}}g_{12\text{-}3;r}(n1;j).$$

Moreover, it is plain that

$`(2^{})`$
$$g_{12\text{-}3;r}(n;n)=g_{12\text{-}3;r}(n;n1)=g_{12\text{-}3;r}(n1),$$

and for all $`1jnr2`$

$`(3^{})`$
$$g_{12\text{-}3;r}(n;j)=0.$$

Now we ready to prove the theorem. Let $`r=0`$; by Equation (3’) we get $`g_{12\text{-}3;0}(n;j)=0`$ for all $`jn2`$ and by Equation (2’) we have $`g_{12\text{-}3;0}(n;n1)=g_{12\text{-}3;0}(n;n)=d_0(n1)`$, so $`d_r(n)=2^{n1}`$. Therefore, the theorem holds for $`r=0`$.

Let $`r1`$, and let us assume that for all $`0ms1`$ and all $`0sr1`$ there exists a polynomials $`p_m(n)`$ and $`q_{m1}(n)`$ of degree at most $`m`$ and $`m1`$ respectively with coefficient in $`𝒬`$ such that $`g_{12\text{-}3;s}(n;ns1+m)=p_m(n)2^n+q_{m1}(n)`$, and there exists a polynomials $`v_s(n)`$ and $`u_{s1}(n)`$ of degree at most $`s`$ and $`s1`$ respectively with coefficient in $`𝒬`$ such that $`g_{12\text{-}3;s}(nm)=v_s(n)2^n+u_{s1}(n)`$ where $`m=0,1`$.

So, using Equation (1’) for $`m=0,1,\mathrm{},r1`$ and the induction hypothesis imply that there exists a polynomials $`a_m(n)`$ and $`b_{m1}(n)`$ of degree at most $`m`$ and $`m1`$ respectively with coefficient in $`𝒬`$ such that

$$g_{12\text{-}3;r}(n;nr1+m)=a_m(n)2^n+b_{m1}(n).$$

Besides, Owing to Equations (1’), (2’), and (3’) we have showed that

$$g_{12\text{-}3;r}(n)=2g_{12\text{-}3;r}(n1)+\underset{j=2}{\overset{r+1}{}}g_{12\text{-}3;r}(n;nj),$$

which means that $`g_{12\text{-}3;r}(n)`$ is given by $`v_r(n)2^n+u_{r1}(n)`$ and $`g_{12\text{-}3;r}(n;n)=g_{12\text{-}3;r}(n;n1)=g_{12\text{-}3;r}(n1)`$. Therefore, the statement holds for $`s=r`$. Hence, by the principle of induction on $`r`$ the theorem holds. ∎

An application for Theorem 3.1 with the initial values of the sequence $`g_{12\text{-}3;r}(n)`$ we obtain the exact formula for $`g_{12\text{-}3;r}(n)`$ for $`r=0,1,2,3`$.

###### Corollary 3.2.

For all $`n1`$;

$$\begin{array}{c}g_{12\text{-}3;0}(n)=2^{n1};\hfill \\ g_{12\text{-}3;2}(n)=(n3)2^{n2}+1;\hfill \\ g_{12\text{-}3;2}(n)=(n^211n+34)2^{n4}n2;\hfill \\ g_{12\text{-}3;3}(n)=1/3(n^324n^2+257n954)2^{n5}+n^2+4n+10.\hfill \end{array}$$

### 3.2. $`\tau =21\text{-}3`$

###### Theorem 3.3.

Let $`r`$ be any nonnegative integer number. Then there exist a polynomial $`p_r(n)`$ of degree at most $`r`$ with coefficient in $`𝒬`$, such that for all $`nr`$

$$g_{21\text{-}3;r}(n)=p_r(n)2^n.$$

###### Proof.

By definitions it is easy to state

###### Lemma 3.4.

Let $`n1`$; then

$$\begin{array}{c}g_{21\text{-}3;r}(n)=g_{21\text{-}3;r}(n1)+\underset{i=1}{\overset{n1}{}}g_{23\text{-}1;r}(n;i),\hfill \\ g_{21\text{-}3;r}(n;i)=g_{21\text{-}3;r}(n1;i)+\underset{j=1}{\overset{i1}{}}g_{21\text{-}3;r(ni)}(n1;j),\text{for}1in1.\hfill \end{array}$$

Lemma 3.4 implies for $`r=0`$ as follows. First $`g_{21\text{-}3;0}(n;m)=2^{m2}`$ for all $`m2`$, and second $`g_{21\text{-}3;0}(n;1)=1`$. Hence $`g_{21\text{-}3;0}(n)=2^{n1}`$, so the theorem holds for $`r=0`$.

Let $`r1`$ and assume that for $`2mn1`$ the expression $`\underset{j=1}{\overset{m}{}}g_{21\text{-}3;d}(n;j)`$ is given by $`q_d^m(n)2^m`$ where $`q_d^m(n)`$ is a polynomial of degree at most $`d`$ with coefficient in $`𝒬`$ for all $`0dr1`$. Lemma 3.4 yields

$$\begin{array}{cc}g_{21\text{-}3;r}(n;1)\hfill & =g_{21\text{-}3;r}(n1;1),\hfill \\ g_{21\text{-}3;r}(n;2)\hfill & =g_{21\text{-}3;r}(n1;2),\hfill \\ \mathrm{}\hfill & \\ g_{21\text{-}3;r}(n;nr1)\hfill & =g_{21\text{-}3;r}(n1;nr1),\hfill \\ g_{21\text{-}3;r}(n;nr+1)\hfill & =g_{21\text{-}3;r}(n1;nr+1)+\underset{j=1}{\overset{nr}{}}g_{21\text{-}3;1}(n1;j),\hfill \\ \mathrm{}\hfill & \\ g_{21\text{-}3;r}(n;n1)\hfill & =g_{21\text{-}3;r}(n1;n1)+\underset{j=1}{\overset{n2}{}}g_{21\text{-}3;r1}(n1;j),\hfill \\ g_{21\text{-}3;r}(n;n)\hfill & =g_{21\text{-}3;r}(n1),\hfill \end{array}$$

with induction hypothesis imply for $`2mn1`$

$$\underset{j=1}{\overset{m}{}}g_{21\text{-}3;r}(n;j)=\underset{j=1}{\overset{m}{}}g_{21\text{-}3;r}(n1;j)+q_{r1}^m(n)2^m,$$

where $`q_{r1}^m(n)`$ is a polynomial of degree at most $`r1`$ with coefficient in $`𝒬`$. Therefore, for $`2mn1`$ $`\underset{j=1}{\overset{m}{}}g_{12\text{-}3;r}(n;j)`$ can be expressed by $`q_r^m(n)2^m`$ where $`q_r^m(n)`$ is a polynomial of degree at most $`r`$ with coefficient in $`𝒬`$. Hence, with using Lemma 3.4 we get there exist a polynomial $`a_r(n)`$ of degree at most $`r`$ with coefficient in $`𝒬`$ such that

$$g_{12\text{-}3;r}(n)=g_{12\text{-}3;r}(n1)+a_r(n)2^n,$$

so the theorem holds. ∎

Using Theorem 3.3 with the initial values of the sequence $`g_{21\text{-}3;r}(n)`$ for $`r=0,1,2,3`$ we get

###### Corollary 3.5.

$`\begin{array}{ccc}(\mathrm{i})\hfill & \text{For all}n1,\hfill & g_{21\text{-}3;0}(n)=2^{n1};\hfill \\ (\mathrm{ii})\hfill & \text{For all}n2,\hfill & g_{21\text{-}3;1}(n)=(n2)2^{n3};\hfill \\ (\mathrm{iii})\hfill & \text{For all}n3,\hfill & g_{21\text{-}3;2}(n)=(n^2+n12)2^{n6};\hfill \\ (\mathrm{iv})\hfill & \text{For all}n4,\hfill & g_{21\text{-}3;3}(n)=1/3(n4)(n^2+13n+6)2^{n8}.\hfill \end{array}`$

### 3.3. $`\tau =23\text{-}1`$, $`\tau =31\text{-}2`$, or $`\tau =32\text{-}1`$

Similarly, using the argument proof of Theorem 3.3 with the principle of induction yield

###### Theorem 3.6.

Let $`r`$ be any nonnegative integer number. Then

(i) there exists a polynomial $`p_{r1}(n)`$ of degree at most $`r1`$ with coefficient in $`𝒬`$ and a constant $`c`$, such that for all $`nr`$

$$g_{23\text{-}1;r}(n)=c2^n+p_{r1}(n).$$

(ii) there exists a polynomials $`p_r(n)`$ and $`q_{2r2}(n)`$ of degree at most $`r`$ and $`2r2`$ respectively; with coefficient in $`𝒬`$ such that for all $`n1`$

$$g_{31\text{-}2;r}(n)=p_r(n)2^n+q_{2r2}(n).$$

(iii) there exist a polynomial $`p_{r+2}(n)`$ of degree at most $`r+2`$ with coefficient in $`𝒬`$ such that for all $`nr`$

$$g_{32\text{-}1;r}(n)=p_{r+2}(n).$$

Using Theorem 3.6 with the initial values of the sequences $`g_{23\text{-}1;r}(n)`$, $`g_{31\text{-}2;r}(n)`$ and $`g_{32\text{-}1;r}(n)`$ for $`r=0,1,2,3,4`$ we get the following:

###### Corollary 3.7.

$`\begin{array}{ccc}(\mathrm{i})\hfill & \text{For all}n1,\hfill & g_{23\text{-}1;0}(n)=2^{n1};\hfill \\ (\mathrm{ii})\hfill & \text{For all}n2,\hfill & g_{23\text{-}1;1}(n)=2^{n2}1;\hfill \\ (\mathrm{iii})\hfill & \text{For all}n3,\hfill & g_{23\text{-}1;2}(n)=2^{n1}n1;\hfill \\ (\mathrm{iv})\hfill & \text{For all}n4,\hfill & g_{23\text{-}1;3}(n)=52^{n3}1/2(n^2n+8);\hfill \\ (\mathrm{v})\hfill & \text{For all}n5,\hfill & g_{23\text{-}1;4}(n)=2^n1/6(n+1)(n^24n+24).\hfill \end{array}`$

###### Corollary 3.8.

For all $`n1`$;

$`\begin{array}{cc}(\mathrm{i})\hfill & g_{31\text{-}2;0}(n)=2^{n1};\hfill \\ (\mathrm{ii})\hfill & g_{31\text{-}2;1}(n)=(n3)2^{n2}+1;\hfill \\ (\mathrm{iii})\hfill & g_{31\text{-}2;2}(n)=(n^23n14)2^{n4}+1/2(n^2+n+12);\hfill \\ (\mathrm{iv})\hfill & g_{31\text{-}2;3}(n)=1/3(n^355n90)2^{n5}+1/12(n^4+11n^2+12n+12).\hfill \end{array}`$

###### Corollary 3.9.

For all $`n1`$;

$`\begin{array}{cc}(\mathrm{i})\hfill & g_{32\text{-}1;0}(n)=1/2n(n1)+1;\hfill \\ (\mathrm{ii})\hfill & g_{32\text{-}1;1}(n)=1/6(n1)(n2)(2n3);\hfill \\ (\mathrm{iii})\hfill & g_{32\text{-}1;2}(n)=1/6(n2)(n3))2n5);\hfill \\ (\mathrm{iv})\hfill & g_{32\text{-}1;3}(n)=1/8(n3)(n^33n^210n+32);\hfill \\ (\mathrm{v})\hfill & g_{32\text{-}1;4}(n)=1/24(n4)(3n^310n^255n+198).\hfill \end{array}`$

## 4. Avoiding $`21\text{-}3`$

Let $`h_{\tau ;r}(n)`$ be the number of all permutations in $`S_n(21\text{-}3)`$ containing $`\tau `$ exactly $`r`$ times. The corresponding exponential and ordinary generating function are denoted by $`_{\tau ;r}(x)`$ and $`H_{\tau ;r}(x)`$ respectively; that is, $`_{\tau ;r}(x)=\underset{n0}{}\frac{h_{\tau ;r}(n)}{n!}x^n`$ and $`H_{\tau ;r}(x)=\underset{n0}{}h_{\tau ;r}(n)x^n`$. The above definitions are extended to $`r<0`$ as $`h_{\tau ;r}(n)=0`$ for any $`\tau `$.

In the current section, our present aim is to count the number of permutations avoiding $`21\text{-}3`$ and containing $`\tau `$ exactly $`r`$ times where $`\tau `$ a generalized pattern of type $`(2,1)`$, and since that we introduce another notation. Let $`h_{\tau ;r}(n;i_1,i_2,\mathrm{},i_j)`$ be the number of permutations $`\pi S_n(21\text{-}3)`$ containing $`\tau `$ exactly $`r`$ times such that $`\pi _1\pi _2\mathrm{}\pi _j=i_1i_2\mathrm{}i_j`$.

The main body of the current section is divided to five subsections corresponding to the cases $`\tau `$ is a general generalized pattern; $`12\text{-}3`$; $`13\text{-}2`$, $`31\text{-}2`$; $`23\text{-}1`$; and $`32\text{-}1`$.

### 4.1. $`\tau `$ is a general generalized pattern

Here we study certain cases of $`\tau `$, where $`\tau `$ is a generalized pattern of length $`k`$ without dashes, or with exactly one dash.

First of all let us define a bijection $`\mathrm{\Phi }`$ between the set $`S_n(12\text{-}3)`$ and the set $`S_n(21\text{-}3)`$ as follows. Let $`\pi =(\pi ^{},n,\pi ^{\prime \prime })`$, where $`n`$ the maximal element of $`\pi `$, be any $`12\text{-}3`$-avoiding permutation of $`s`$ elements; we define by induction

$$\mathrm{\Phi }(\pi )=(R(\pi ^{}),n,\mathrm{\Phi }(\pi ^{\prime \prime })),$$

where $`R(\pi ^{})`$ is the reversal of $`\pi ^{}`$. Since $`\pi `$ is $`12\text{-}3`$-avoiding permutation we have $`\pi _1>\mathrm{}>\pi _{j1}`$ so by using the principle of induction on length $`\pi `$ we get $`\mathrm{\Phi }(\pi )`$ is $`21\text{-}3`$-avoiding permutation. Also, it is easy to see by using the principle of induction that $`\mathrm{\Phi }^1=\mathrm{\Phi }`$, hence $`\mathrm{\Phi }`$ is a bijection.

###### Theorem 4.1.

For all $`k1`$;

$$_{12\mathrm{}(k1)k;0}(x)=_{(k1)\mathrm{}21k;0}(x),_{12\mathrm{}(k1)k;1}(x)=_{(k1)\mathrm{}21k;1}(x).$$

###### Proof.

Using the bijection $`\mathrm{\Phi }:S_n(12\text{-}3)S_n(21\text{-}3)`$ we get the desired result: the permutation $`\pi S_n(12\text{-}3)`$ contains $`(k1)\mathrm{}1k`$ exactly $`r`$ ($`r=0,1`$) times if and only if the permutations $`\mathrm{\Phi }(\pi )`$ contains $`12\mathrm{}(k1)k`$ exactly $`r`$. ∎

###### Example 4.2.

(see Claesson \[C\]) Theorem 2.1 and Theorem 4.1 yield for $`r=0`$ that

$$_{12\mathrm{}k;0}(x)=e^{\frac{x^1}{1!}+\frac{x^2}{2!}+\mathrm{}+\frac{x^{k1}}{(k1)!}}.$$

If $`k\mathrm{}`$, then we get the exponential generating function for the number of $`21\text{-}3`$-avoiding permutations in $`S_n`$ is given by $`e^{e^x1}`$.

In \[C, CM1\] proved the number of permutations in $`S_n(21\text{-}3)`$ avoiding $`12\text{-}3`$ is the same number of involutions in $`S_n`$. The case of varying $`k`$ is more interesting. As an extension of these results (the proofs are immediately holds by using the bijection $`\mathrm{\Phi }`$).

###### Theorem 4.3.

For $`k1`$,

$$\begin{array}{c}_{12\mathrm{}(k1)\text{-}k;0}(x)=e^{\frac{x^1}{1!}+\mathrm{}+\frac{x^{k1}}{(k1)!}};\hfill \\ _{12\mathrm{}(k2)k\text{-}(k1);0}(x)=_{12\mathrm{}(k2)\text{-}k\text{-}(k1);0}(x)=_{(k2)\mathrm{}21k\text{-}(k1);0}(x).\hfill \end{array}$$

Using the bijection $`\mathrm{\Phi }`$ we get easily other results as follows.

###### Theorem 4.4.

(i) The number of permutations in $`S_n`$ containing $`12\text{-}3`$ exactly once is the same number of permutations containing $`21\text{-}3`$ exactly once;

(ii) The number of permutations in $`S_n`$ containing $`12\text{-}3`$ once and containing $`(k1)\mathrm{}21\text{-}k`$ (resp. $`(k1)\mathrm{}21k`$) exactly $`r=0,1`$ times, is the same number of permutations in $`S_n`$ containing $`21\text{-}3`$ once and containing $`12\mathrm{}(k1)\text{-}k`$ (resp. $`(12\mathrm{}(k1)k`$) exactly $`r=0,1`$ times.

### 4.2. $`\tau =12\text{-}3`$

###### Theorem 4.5.

For all $`n1`$,

$$\begin{array}{c}h_{12\text{-}3;0}(n)=h_{12\text{-}3;0}(n1)+(n1)h_{12\text{-}3;0}(n2);\hfill \\ \\ h_{12\text{-}3;1}(n)=h_{12\text{-}3;1}(n1)+(n1)h_{12\text{-}3;1}(n2)+(n2)h_{12\text{-}3;0}(n3);\hfill \\ \\ h_{12\text{-}3;2}(n)=h_{12\text{-}3;2}(n1)+(n1)h_{12\text{-}3;2}(n2)+(n2)h_{12\text{-}3;1}(n3)+\hfill \\ +(n3)h_{12\text{-}3;0}(n3).\hfill \end{array}$$

###### Proof.

Immediately, definitions yield the following statement:

###### Lemma 4.6.

Let $`n1`$; then

$$\begin{array}{c}h_{12\text{-}3;r}(n)=h_{12\text{-}3;r}(n1)+\underset{j=1}{\overset{n1}{}}h_{12\text{-}3;r}(n;j),\hfill \\ h_{12\text{-}3;r}(n;j)=h_{12\text{-}3;r}(n2)+\underset{i=j}{\overset{n1}{}}h_{12\text{-}3;r(ni1)}(n1;i),\text{for}1jn1.\hfill \end{array}$$

Case $`r=0`$: Lemma 4.6 yields $`h_{12\text{-}3;0}(n;j)=h_{12\text{-}3;0}(n2)`$ for all $`1jn1`$, hence

$$h_{12\text{-}3;0}(n)=h_{12\text{-}3;0}(n1)+(n1)h_{12\text{-}3;0}(n2).$$

Case $`r=1`$: Lemma 4.6 yields

$$h_{12\text{-}3;1}(n;j)=h_{12\text{-}3;1}(n2)+h_{12\text{-}3;0}(n1;n2)$$

for all $`1jn2`$, and $`h_{12\text{-}3;1}(n;n1)=h_{12\text{-}3;1}(n2)`$, which means that

$$h_{12\text{-}3;1}(n)=h_{12\text{-}3;1}(n1)+(n1)h_{12\text{-}3;1}(n2)+(n2)h_{12\text{-}3;0}(n3).$$

Case $`r=2`$: similarly as the above cases. ∎

### 4.3. $`\tau =13\text{-}2`$

###### Theorem 4.7.

Let $`r`$ be a nonnegative integer. Then

$$H_{13\text{-}2;r}(x)=\frac{1x}{12x}\delta _{r,0}+\frac{x^2}{12x}\underset{d=1}{\overset{r}{}}\frac{H_{13\text{-}2;rd}(x)\underset{j=0}{\overset{d1}{}}h_{13\text{-}2;rd}(j)x^j}{(1x)^d}.$$

###### Proof.

Definitions imply $`h_{13\text{-}2;r}(n;n)=h_{13\text{-}2;r}(n1)`$, and for $`1jn1`$,

$$h_{13\text{-}2;r}(n;j)=\underset{i=j}{\overset{n1}{}}h_{13\text{-}2;r+ij}(n1;j).$$

By means of induction it is easy to obtain for $`1mn1`$

$$h_{13\text{-}2;r}(n;nm)=\underset{j=0}{\overset{m1}{}}\left(\genfrac{}{}{0pt}{}{m1}{j}\right)h_{13\text{-}2;rj}(n1m+j).$$

Now, if summing $`h_{13\text{-}2;r}(n;nm)`$ over all $`0mn1`$, then we get

$$h_{13\text{-}2;r}(n)=h_{13\text{-}2;r}(n1)+\underset{d=0}{\overset{r}{}}\underset{j=0}{\overset{n2d}{}}\left(\genfrac{}{}{0pt}{}{n2j}{d}\right)h_{13\text{-}2;rd}(j+d).$$

To find the desired result, we transfer the last equation to terms of ordinary generating functions by use \[CM2, Lem. 7\]. ∎

In view of Theorem 2.3 and Theorem 4.7 we have: the number of permutations in $`S_n(12\text{-}3)`$ containing $`13\text{-}2`$ exactly $`r`$ times is the same number of permutations in $`S_n(21\text{-}3)`$ containing $`13\text{-}2`$ exactly $`r`$ times. To verify that by combinatorial bijective proof let $`\pi `$ be any $`12\text{-}3`$-avoiding permutation; it is easy to see $`\pi =(\pi _1,\mathrm{},\pi _{j1},n,\pi ^{})`$ where $`\pi _1>\mathrm{}>\pi _{j1}`$, so the number of occurrences of $`13\text{-}2`$ in $`\pi `$ is given by $`N:=n1\pi _{j1}(j2)+N^{}`$ where $`N^{}`$ the number occurrences of $`13\text{-}2`$ in $`\pi ^{}`$. On the other hand, let $`\beta =\mathrm{\Phi }(\pi )`$, so by definitions of $`\mathrm{\Phi }`$ with induction hypothesis (induction on length of $`\pi `$) we get that $`\beta `$ contains the same number $`N`$ of occurrences of $`13\text{-}2`$. Hence, by means of induction we shall showed that $`\mathrm{\Phi }`$ is a bijection, and $`H_{13\text{-}2;r}(x)=F_{13\text{-}2;r}(x)`$ for all $`r0`$.

### 4.4. $`\tau =23\text{-}1`$

###### Theorem 4.8.

Let $`r`$ be any nonnegative integer number. Then there exist a polynomial $`p_r(n)`$ of degree at most $`r`$ with coefficient in $`𝒬`$ such that for all $`nr`$

$$h_{23\text{-}1;r}(n)=p_r(n)2^n.$$

###### Proof.

Immediately, by definitions we have

###### Lemma 4.9.

Let $`n1`$; then

$$\begin{array}{c}h_{23\text{-}1;r}(n)=h_{23\text{-}1;r}(n1)+\underset{j=1}{\overset{n1}{}}h_{23\text{-}1;r}(n;j),\hfill \\ h_{23\text{-}1;r}(n;j)=\underset{i=j}{\overset{n1}{}}h_{23\text{-}1;r(j1)}(n1;i),\text{for}1jn1.\hfill \end{array}$$

Hence, $`h_{23\text{-}1;r}(n;n)=h_{23\text{-}1;r}(n;1)=h_{23\text{-}1;r}(n1)`$, $`h_{23\text{-}1;r}(n;j)=0`$ for all $`r+2jn1`$, and

$$h_{23\text{-}1;r}(n;j)=h_{23\text{-}1;r}(n;j1)h_{23\text{-}1;r+1j}(n1;j1)$$

for all $`2jr+1`$.

Assume that $`h_{23\text{-}1;d}(n)`$ can be expressed as $`p_d(n)2^n`$ and $`h_{23\text{-}1;d}(n;j)`$ can be expressed as $`p_{d1}(n)2^n`$ where $`2jr+1`$ for all $`0dr1`$. The statement is trivial for $`r=0`$, and by using the principle of induction with the above explanation we get, immediately, the desired result. ∎

Theorem 4.8 with the initial values of the sequences $`h_{23\text{-}1;r}(n)`$ for $`r=0,1,2,3`$ yield

###### Corollary 4.10.

$$\begin{array}{c}(\mathrm{i})\text{For all}n1,h_{23\text{-}1;0}(n)=2^{n1};\hfill \\ (\mathrm{ii})\text{For all}n2,h_{23\text{-}1;1}(n)=(n2)2^{n3};\hfill \\ (\mathrm{iii})\text{For all}n3,h_{23\text{-}1;2}(n)=(n3)(n+8)2^{n6};\hfill \\ (\mathrm{iv})\text{For all}n4,h_{23\text{-}1;3}(n)=1/3(n4)(n^2+25n+42).\hfill \end{array}$$

### 4.5. $`\tau =31\text{-}2`$

###### Theorem 4.11.

Let $`r`$ be a nonnegative integer. Then

$$H_{31\text{-}2;r}(x)=\frac{1x}{12x}\delta _{r,0}+\frac{x^2}{12x}\underset{d=1}{\overset{r}{}}\frac{H_{31\text{-}2;rd}(x)\underset{j=0}{\overset{d1}{}}h_{31\text{-}2;rd}(j)x^j}{(1x)^d}.$$

###### Proof.

Definitions imply $`h_{31\text{-}2;r}(n;1)=h_{13\text{-}2;r}(n1)`$, and for $`2jn1`$,

$$h_{31\text{-}2;r}(n;j)=\underset{i=j}{\overset{n1}{}}h_{31\text{-}2;r}(n1;i)=h_{31\text{-}2;r}(n1)\underset{i=1}{\overset{j1}{}}h_{31\text{-}2;r}(n1;i).$$

By means of induction it is easy to obtain for $`1mn1`$

$$h_{31\text{-}2;r}(n;m)=\underset{j=0}{\overset{m1}{}}(1)^j\left(\genfrac{}{}{0pt}{}{m1}{j}\right)h_{31\text{-}2;r}(n1j).$$

Similarly as Theorem 2.3 (or Theorem 4.7), by using the above equation with (it is easy to check by definitions)

$$h_{31\text{-}2;r}(n;n)=\underset{j=0}{\overset{r}{}}h_{31\text{-}2;rj}(n1;n1j),$$

we get the desired result. ∎

Again, we have $`H_{31\text{-}2;r}(x)=F_{13\text{-}2;r}(x)`$ for all $`r0`$. But here we failed to find a combinatorial explanation that the number of permutations in $`S_n(12\text{-}3)`$ containing $`13\text{-}2`$ exactly $`r`$ times is the same number of permutations in $`S_n(21\text{-}3)`$ containing $`31\text{-}2`$ exactly $`r`$ times.

### 4.6. $`\tau =32\text{-}1`$

###### Theorem 4.12.

For all $`n1`$,

$$\begin{array}{c}h_{32\text{-}1;0}(n)=\underset{j=0}{\overset{n2}{}}(1)^j\left(\genfrac{}{}{0pt}{}{n1}{j+1}\right)h_{32\text{-}1;r}(n1j)+\hfill \\ +\underset{j=1}{\overset{r+1}{}}\underset{i=0}{\overset{j1}{}}(1)^i\left(\genfrac{}{}{0pt}{}{j1}{i}\right)h_{32\text{-}1;r+1j}(n2i).\hfill \end{array}$$

###### Proof.

Immediately, definitions yield

###### Lemma 4.13.

Let $`n1`$; then

$$\begin{array}{c}h_{32\text{-}1;r}(n)=h_{32\text{-}1;r}(n1)+\underset{j=2}{\overset{n}{}}h_{32\text{-}1;r}(n;j),\hfill \\ h_{32\text{-}1;r}(n;j)=h_{32\text{-}1;r}(n1)\underset{i=1}{\overset{j1}{}}h_{32\text{-}1;r}(n1;i),\text{for}1jn1,\hfill \end{array}$$

and

$$h_{32\text{-}1;r}(n;n)=h_{32\text{-}1;r}(n1;1)+h_{32\text{-}1;r1}(n1;2)+\mathrm{}+h_{32\text{-}1;0}(n1;r+1).$$

By means of induction with use Lemma 4.13 we imply that for all $`1mn1`$

$$h_{32\text{-}1;r}(n;m)=\underset{i=0}{\overset{m1}{}}(1)^i\left(\genfrac{}{}{0pt}{}{m1}{i}\right)h_{32\text{-}1;r}(n1i).$$

On the other hand, using Lemma 4.13 the third equality and then using Lemma 4.13 the first equality we get the desired result. ∎

For example, Theorem 4.12 with \[CM2, Lem. 7\] (as Example 2.12) yield the exact formula for $`H_{32\text{-}1;r}(x)`$ where $`r=0,1`$ (see Claesson and Mansour \[CM1\] for the case $`r=0`$).

###### Corollary 4.14.

$$\begin{array}{c}H_{32\text{-}1;0}(x)=\underset{k0}{}\frac{x^{2k}}{p_{k1}(x)p_{k+1}(x)};\hfill \\ H_{32\text{-}1;1}(x)=\underset{n0}{}\left[\frac{x^2(1(n+2)x)}{1(n+1)x}\underset{k0}{}\frac{u^{2(k+n)}}{p_{n+k}(x)p_{n+k+2}(x)}\right].\hfill \end{array}$$

where $`p_d(x)=_{j=0}^d(1dx)`$.

## 5. Further results

The first possibility to extend the above result is to fix two numbers of occurrences for two generalized patterns of type $`(2,1)`$. For example, the number of permutations in $`S_n`$ containing $`12\text{-}3`$ exactly once and containing $`13\text{-}2`$ exactly once is given by

$$(n^27n+14)2^{n3}2$$

for all $`n1`$. Another example, the number of permutations in $`S_n`$ containing $`12\text{-}3`$ exactly twice and containing $`13\text{-}2`$ twice is given by

$$(n^418n^3+163n^2826n+1832)2^{n7}4n14$$

for all $`n1`$. These results can be extended as follows.

###### Theorem 5.1.

Let us denote the number of permutations in $`S_n`$ containing $`12\text{-}3`$ exactly $`r`$ times and containing $`13\text{-}2`$ exactly $`s`$ times by $`a_n^{r,s}`$; then there exists a polynomials $`p(n)`$ and $`q(n)`$ of degree at most $`r+s+1\delta _{r,0}\delta _{s,0}`$ and $`r+s\delta _{r,0}\delta _{s,0}`$, respectively, such that for all $`n1`$

$$a_n^{r,s}=p(n)2^n+q(n).$$

Another direction to extend the results in above sections is to restricted more than two patterns. For example, the number of permutations in $`S_n(12\text{-}3,13\text{-}2,21\text{-}3)`$ is given by the $`(n+1)`$th Fibonacci number (see \[CM1\]). Again, this result can be extended as follows.

###### Theorem 5.2.

(i) The ordinary generating function for the number of permutations in $`S_n(12\text{-}3`$, $`21\text{-}3)`$ such containing $`13\text{-}2`$ exactly $`r1`$ times is given by

$$\frac{x^2(1x)^{r1}}{(1xx^2)^{r+1}}$$

and for $`r=0`$ is given by $`\frac{1}{1xx^2}`$.
(ii) The ordinary generating function for the number of permutations in $`S_n(12\text{-}3`$, $`21\text{-}3)`$ such containing $`23\text{-}1`$ exactly $`r1`$ times is given by

$$\frac{x^2(1x)^{r1}}{(1xx^2)^{r+1}}$$

and for $`r=0`$ is given by $`\frac{1}{1xx^2}`$.

In view of Theorem 5.2 suggests that there should exist a bijection between the sets $`\{12\text{-}3,21\text{-}3\}`$-avoiding permutations such containing $`13\text{-}2`$ exactly $`r`$ times and $`\{12\text{-}3,21\text{-}3\}`$-avoiding permutations such containing $`23\text{-}1`$ exactly $`r`$ times for any $`r0`$. However, we failed to produce such a bijection, and finding it remains a challenging open question.