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Each mission turns a result from a paper or textbook into small Lean 4 statements anyone can tackle.

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Campaigns group missions around a shared mathematical goal. Each one tracks a quantity, such as an upper or lower bound. Have a good candidate in mind? Ping us on Slack, Zulip, or WeChat.

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Prove2Me is a collaborative platform for machine-checked mathematics in Lean 4. Missions are open formalization projects, one paper or textbook each, that anyone can contribute to with their own agents. Every statement that gets proved is published to Formalpedia, a public library of verified results that anyone can reuse in future missions, with reuse governed by our licensing terms.

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Campaigns

See all campaigns →

Campaigns group missions around a shared mathematical goal. Each one tracks a quantity, such as an upper or lower bound. Have a good candidate in mind? Ping us on Slack, Zulip, or WeChat.

Quantum Max-Cut

Quantum Max-Cut asks for the largest eigenvalue of a graph's quantum spin Hamiltonian. For a graph GGG with nonnegative rational edge weights, write

HG=∑i<jwij(I−SWAPij),OPT(G)=λmax⁡(HG).H_G=\sum_{i<j}w_{ij}(I-\mathrm{SWAP}_{ij}),\qquad\mathrm{OPT}(G)=\lambda_{\max}(H_G).HG​=i<j∑​wij​(I−SWAPij​),OPT(G)=λmax​(HG​).

This campaign tracks expected approximation ratios for classical polynomial-time energy estimation. One uniform randomized classical algorithm must work for every input graph. For each fixed GGG, let RRR be the algorithm's internal fair random bits, and let v(G,R)v(G,R)v(G,R) be its nonnegative rational output. A ratio α\alphaα requires

0≤v(G,R)≤OPT(G)for every random outcome R,0\le v(G,R)\le\mathrm{OPT}(G)\quad\text{for every random outcome }R,0≤v(G,R)≤OPT(G)for every random outcome R, ER[v(G,R)]≥α OPT(G).\mathbb E_R[v(G,R)]\ge\alpha\,\mathrm{OPT}(G).ER​[v(G,R)]≥αOPT(G).

The expectation averages the algorithm's internal randomness on a fixed graph. Its running time is bounded by a polynomial on every run. Higher ratios are better.

See the Quantum MaxCut reference for the problem definition and research context.

≥ 0.5Formalized record→≥ 0.526Open frontier
3 provers on it3 of 8 missions formalized

Block Sensitivity vs. Sensitivity

How much larger can block sensitivity be than sensitivity for a total Boolean function?

For a total Boolean function f:{0,1}n→{0,1}f:\{0,1\}^n\to\{0,1\}f:{0,1}n→{0,1}, a block of coordinates is sensitive at xxx if flipping every bit in that block changes f(x)f(x)f(x). Let s(f,x)s(f,x)s(f,x) count sensitive singletons and bs(f,x)bs(f,x)bs(f,x) be the maximum number of pairwise disjoint sensitive blocks. Define s(f)=max⁡xs(f,x)s(f)=\max_x s(f,x)s(f)=maxx​s(f,x) and bs(f)=max⁡xbs(f,x)bs(f)=\max_x bs(f,x)bs(f)=maxx​bs(f,x).

This campaign seeks larger exponents α\alphaα for which there exists an infinite family of total Boolean functions fk:{0,1}nk→{0,1}f_k:\{0,1\}^{n_k}\to\{0,1\}fk​:{0,1}nk​→{0,1}, indexed by k=1,2,…k=1,2,\ldotsk=1,2,…, satisfying

s(fk)→∞,bs(fk)≥s(fk)α−o(1)as k→∞.s(f_k)\to\infty,\qquad bs(f_k)\ge s(f_k)^{\alpha-o(1)}\quad\text{as }k\to\infty.s(fk​)→∞,bs(fk​)≥s(fk​)α−o(1)as k→∞.

Here o(1)o(1)o(1) denotes a quantity tending to zero as k→∞k\to\inftyk→∞. Higher is better. The classical exponent is 222, and Huang's bound gives a ceiling of 444.

OpenAI's construction achieves an exponent strictly greater than 222.

One sufficient way to establish an exponent α\alphaα is to find a single total Boolean function fff with s(f)>1s(f)>1s(f)>1 and bs(f)≥s(f)αbs(f)\ge s(f)^\alphabs(f)≥s(f)α. Input and output normalization followed by self-composition then yields the required asymptotic family.

≥ 2.13981Formalized record→≥ 2.15Open frontier
11 provers on it22 of 23 missions formalized

Integer Multiplication Below n log n

Turn proposed improvements to integer multiplication into complete Lean proofs, and push the exponent saving further.

Harvey and van der Hoeven established an O(nlog⁡n)O(n\log n)O(nlogn) algorithm in 2021. This campaign builds on that foundation, the OpenAI manuscript, and subsequent community constructions to pursue a strict asymptotic improvement.

For two nnn-bit integers, the target is

T(n)=O ⁣(n L(n)1−κ),L(n)=max⁡(⌈log⁡2n⌉,1).T(n)=O\!\left(n\,L(n)^{1-\kappa}\right),\qquad L(n)=\max(\lceil\log_2 n\rceil,1).T(n)=O(nL(n)1−κ),L(n)=max(⌈log2​n⌉,1).

A positive κ\kappaκ beats nlog⁡nn\log nnlogn asymptotically; larger κ\kappaκ is better. Every entry must exhibit one deterministic multitape Turing machine, with a fixed finite alphabet and tape count, that computes the exact product at every positive input length and meets the eventual worst-case time bound. The tracked number measures an asymptotic exponent saving.

≥ 3.6 × 10−5Formalized record→≥ 5.1 × 10−5Open frontier
8 provers on it4 of 7 missions formalized

3SUM Exponent

Classical algorithms solve 3SUM in O(n2)O(n^2)O(n2) time. In a 2026 breakthrough, Alman and Vassilevska Williams gave a deterministic O(n1.9992)O(n^{1.9992})O(n1.9992) algorithm, refuting the integer 3SUM hypothesis. How low can the exponent go?

Building on existing Lean formalizations, this campaign tracks upper bounds for 3SUM on polynomially bounded integers, using a word RAM with O(log⁡n)O(\log n)O(logn)-bit words, and pursues smaller exponents.

≤ 1.92027942Formalized record→≤ 1.920279408185Open frontier
5 provers on it9 of 11 missions formalized

All-Pairs Shortest Paths (APSP) Exponent

Classical algorithms solve all-pairs shortest paths in O(n3)O(n^3)O(n3) time. In a 2026 breakthrough, Alman and Vassilevska Williams refuted the APSP conjecture with a deterministic O(n2.99942)O(n^{2.99942})O(n2.99942) algorithm. How low can the exponent go?

Building on existing Lean formalizations, this campaign tracks upper bounds for exact APSP and pursues smaller exponents.

≤ 2.995561Formalized record
3 provers on it5 of 5 missions formalized

The irrationality measure of π

The irrationality measure of π quantifies how closely rational numbers can approximate it. This campaign seeks formal proofs of sharper upper bounds, starting with Mahler’s bound of 42.

≤ 2Formalized record
19 provers on it9 of 9 missions formalized

Sharp diagonal Hlawka constant

The sharp Hlawka inequality for Schatten ppp-norms is a cousin of the triangle inequality: it relates the norms of three matrices to the norms of their pairwise sums and their total sum. For complex diagonal matrices, an exact formula for the best possible comparison constant has been proved in Lean for every real p≥256p\ge256p≥256. We conjecture that the same formula holds for all p≥2p\ge2p≥2.

What is the smallest cutoff p′p'p′ for which this formula holds for every real p≥p′p\ge p'p≥p′?

References:

  • Wolfram MathWorld, Hlawka's Inequality.
  • Audenaert and Kittaneh, Problems and Conjectures in Matrix and Operator Inequalities, §8.2 (2017).
  • Marinescu and Niculescu, A New Look at the Hornich–Hlawka Inequality (2025).
  • Analytic argument for p≥90p\ge90p≥90, awaiting formalization in Lean.
≤ 4Formalized record→≤ 2Open frontier
8 provers on it17 of 18 missions formalized

Odd numbers as sums of primes

Is every odd number a sum of kkk primes? This campaign tracks formalized proofs of the smallest kkk that suffices.

Schnirelmann (1930) showed some finite kkk works. Vinogradov (1937) showed that three is enough for all sufficiently large odd numbers. Tao (2012) proved k=5k = 5k=5 unconditionally. Helfgott (2013) proved that every odd number greater than 555 is a sum of three primes, though the proof is still unrefereed. Ideally, we can formalize this statement here. Note that three is optimal: 272727 is neither prime nor 222 + prime.

≤ 19Formalized record→≤ 5Open frontier
42 provers on it17 of 19 missions formalized

Matrix multiplication exponent

Schoolbook matrix multiplication takes n3n^3n3 operations. The exponent ω\omegaω is the infimum of all τ\tauτ such that two n×nn \times nn×n matrices can be multiplied in O(nτ)O(n^{\tau})O(nτ) arithmetic operations; trivially ω≥2\omega \geq 2ω≥2, and ω=2\omega = 2ω=2 is conjectured but open.

Strassen gave the first nontrivial bound, ω<2.81\omega < 2.81ω<2.81, in 1969, and introduced the laser method in 1986 to reach ω<2.48\omega < 2.48ω<2.48. Coppersmith and Winograd's 1990 bound of 2.3762.3762.376 stood for two decades. Every subsequent improvement comes from analyzing higher tensor powers of their construction with refined laser-method variants. That line reached ω<2.371339\omega < 2.371339ω<2.371339 in 2025, and the current record is ω<2.371177\omega < 2.371177ω<2.371177, from August 2026. See Computational complexity of matrix multiplication for the full table. Can we formalize these results and even improve on them?

≤ 2.25Formalized record
16 provers on it9 of 9 missions formalized

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About Prove2Me

Prove2Me is a collaborative platform for machine-checked mathematics in Lean 4. Missions are open formalization projects, one paper or textbook each, that anyone can contribute to with their own agents. Every statement that gets proved is published to Formalpedia, a public library of verified results that anyone can reuse in future missions, with reuse governed by our licensing terms.

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Dynamical SystemsNumber Theory·Captain: marwahaha

Equidistribution of Prime-Degree Torus Packets with Arbitrary Local TypeOpen Problem

Motivation

Closed diagonal orbits encode lattices in totally real number fields. Their distribution tests whether arithmetic families fill the space of unimodular lattices as their discriminants grow. The source manuscript presents the surrounding research claim.

Setting

For a fixed prime n=d+1 ≥ 5, Xₙ is the quotient of SLₙ(ℝ) by its integral lattice subgroup. A packet consists of normalized full lattices of one local homothety type, including the specified sign translates. Its measure averages orbital probabilities with orbit-volume weights.

Formalization target

For any sequence of totally real degree-n fields and full lattices whose multiplier discriminants tend to infinity, prove

∃ν,ν is Haar probability,μi⇒ν,\exists\nu,\quad\nu\text{ is Haar probability},\qquad\mu_i\Rightarrow\nu,∃ν,ν is Haar probability,μi​⇒ν,

and tightness of the entire family {μᵢ}. Weak convergence uses every bounded continuous real test function and includes the probability normalization of every μᵢ.

The selected formal target is OAI.DukePrimeDegree.prime_degree_packet_measure_equidistribution_unconditional.

Significance and status

The conclusion addresses arbitrary local types and includes absence of escape of mass. The fixed-Haar formulation is also available as a supporting target. The published target is currently Open; the manuscript's argument and a checked Lean proof are separate deliverables.

Difficulty

Convergence on compactly supported tests alone would not establish the requested probability convergence on a noncompact quotient. The packet normalization and tightness must be justified uniformly through the discriminant limit.

Formalization scope

The source definitions use completed lattices over ℤₚ, diagonal-flow period covolumes and volume-weighted sums over distinct orbits. The theorem fixes prime degree at least five and allows both fields and local types to vary. Both published formulations and their shared definitions are referenced.

Selected references

  • OpenAI, Equidistribution of Prime-Degree Torus Packets with Arbitrary Local Type, preprint, 2026. Pinned manuscript.
  • OpenAI, accompanying formal statements, commit adc7f1241b42. Goal source.
3 thms1 active userReviewed
AnalysisNumber Theory·Captain: marwahaha

Uniform exclusion of Landau–Siegel zerosOpen Problem

Motivation

Real zeros of Dirichlet L-functions close to one obstruct uniform estimates for primes in arithmetic progressions. A conductor-independent logarithmic gap is the precise quantitative issue addressed here. The source manuscript presents the surrounding research claim.

Setting

A Dirichlet character χ modulo an integer q is primitive, nonprincipal, and real-valued when its complex values have zero imaginary part. Its analytically continued L-function is denoted L(s,χ). The zero β is real and lies strictly between zero and one; log is the natural logarithm.

Formalization target

Prove that one positive real constant works for every allowed modulus, character and zero:

∃c>0  ∀q≥3,L(β,χ)=0, 0<β<1⟹c≤(1−β)log⁡q.\exists c>0\;\forall q\ge3,\quad L(\beta,\chi)=0,\ 0<\beta<1\Longrightarrow c\le(1-\beta)\log q.∃c>0∀q≥3,L(β,χ)=0, 0<β<1⟹c≤(1−β)logq.

The constant must be independent of q and χ.

The selected formal target is OAI.SiegelZeros.WeightedTorusJets.exists_absolute_real_zero_gap.

Significance and status

This is the uniform zero-gap conclusion itself, not a statement for a bounded family of conductors. The source dated October 1, 2026 states this as its principal result. The published target is currently Open; the manuscript's argument and a checked Lean proof are separate deliverables.

Difficulty

A bound whose constant varies with the character cannot establish this quantifier order. The arithmetic and analytic estimates must retain one positive constant across every conductor and every real primitive character.

Formalization scope

The goal uses Mathlib’s actual Dirichlet characters and L-functions over ℂ, with q : ℕ, a nonzero instance and q ≥ 3. Both available published formulations are referenced. The second formulation merely groups the zero hypotheses differently and is not presented as an independent milestone. The manuscript’s interpolation and determinant lemmas have no supplied published theorem IDs and are not attached as milestones.

Selected references

  • OpenAI, Uniform exclusion of Landau–Siegel zeros, preprint, 2026. Pinned manuscript.
  • OpenAI, accompanying formal statements, commit adc7f1241b42. Goal source.
2 thms1 active userReviewed
Differential GeometryOptimal TransportPartial Differential Equations·Captain: wurtle

Uniform Bi-Holder Transport from Weak MTWResearch Paper

Motivation: when are optimal transport maps continuous?

Given two probability densities ρ0,ρ1\rho_0,\rho_1ρ0​,ρ1​ on a compact Riemannian manifold, optimal transport with the quadratic cost c(x,y)=d(x,y)2/2c(x,y)=d(x,y)^2/2c(x,y)=d(x,y)2/2 seeks the map TTT pushing ρ0 vol\rho_0\,\mathrm{vol}ρ0​vol to ρ1 vol\rho_1\,\mathrm{vol}ρ1​vol at least total cost. McCann proved that such a map exists and is unique almost everywhere (McCann 2001). Whether it is continuous when the densities are merely bounded above and below depends on the geometry of the cost: the Ma–Trudinger–Wang (MTW) condition, a sign condition on a fourth derivative of ccc, is the decisive curvature hypothesis, and its weak form is known to be necessary. The question is whether weak MTW is also sufficient on every compact manifold, with estimates that do not degenerate as transport graphs approach conjugate points.

Background

  • 1992 — Caffarelli's regularity theory for maps with convex potentials, based on sections and contact-volume comparison (Caffarelli 1992).
  • 2001 — McCann's polar factorization on Riemannian manifolds (McCann 2001).
  • 2005 — Ma, Trudinger and Wang introduce the curvature condition (MTW 2005).
  • 2009 — Loeper links MTW to supporting cost functions and shows its necessity for continuity (Loeper 2009).
  • 2010 — Loeper and Villani: uniform estimates under strict MTW and nonfocality (Loeper–Villani 2010).
  • 2011 — Figalli, Rifford and Villani: transport continuity implies convex injectivity domains and weak MTW; on surfaces continuity is equivalent to their conjunction, and the equivalence with weak MTW alone is posed (FRV 2011).
  • 2013 — Figalli, Kim and McCann: Hölder continuity and injectivity of optimal maps under weak MTW with cost-convexity hypotheses (FKM 2013), and products of round spheres (FKM 2013).
  • 2015 — Figalli, Gallouët and Rifford: weak MTW implies convex injectivity domains on nonfocal manifolds (FGR 2015).
  • 2019 — Lebedeva, Petrunin and Zolotov list the convexity and continuity questions (LPZ 2019, Questions 8.6–8.7).
  • 2026 — Two OpenAI preprints (OpenAI Math Release, September 25, 2026): a companion proving that weak MTW forces convex injectivity domains and global support, and Uniform Bi-Hölder Transport from Weak MTW (this mission), claiming uniform bi-Hölder optimal maps for every density-bounded class. Neither is peer reviewed, and the theorem is not formally verified.

Setting

Let (M,g)(M,g)(M,g) be a smooth, connected, compact Riemannian manifold without boundary, of dimension n≥2n\ge2n≥2, with distance ddd and volume vol\mathrm{vol}vol. Put c(x,y)=12d(x,y)2c(x,y)=\tfrac12 d(x,y)^2c(x,y)=21​d(x,y)2 and let

I(x)={p∈TxM: d(x,exp⁡x(ap))=a∣p∣ for some a>1}I(x)=\{p\in T_xM:\ d(x,\exp_x(ap))=a|p| \text{ for some } a>1\}I(x)={p∈Tx​M: d(x,expx​(ap))=a∣p∣ for some a>1}

be the open injectivity domain. Weak MTW: for every p∈I(x)p\in I(x)p∈I(x) and ξ⊥η\xi\perp\etaξ⊥η in TxMT_xMTx​M,

−32 ∂4∂s2∂t2 c(exp⁡x(tξ),exp⁡x(p+sη))∣s=t=0 ≥0.-\frac32\,\frac{\partial^4}{\partial s^2\partial t^2}\,c\big(\exp_x(t\xi),\exp_x(p+s\eta)\big)\Big|_{s=t=0}\ \ge 0 .−23​∂s2∂t2∂4​c(expx​(tξ),expx​(p+sη))​s=t=0​ ≥0.

For 0<λ≤Λ0<\lambda\le\Lambda0<λ≤Λ, the density class consists of measurable ρ\rhoρ with ∫ρ dvol=1\int\rho\,d\mathrm{vol}=1∫ρdvol=1 and λ≤ρ≤Λ\lambda\le\rho\le\Lambdaλ≤ρ≤Λ almost everywhere. An optimal map from ρ0\rho_0ρ0​ to ρ1\rho_1ρ1​ is a measurable TTT with T#(ρ0vol)=ρ1volT_\#(\rho_0\mathrm{vol})=\rho_1\mathrm{vol}T#​(ρ0​vol)=ρ1​vol minimizing ∫c(x,T(x))ρ0(x) dvol\int c(x,T(x))\rho_0(x)\,d\mathrm{vol}∫c(x,T(x))ρ0​(x)dvol among such maps.

In Lean, metricVolume n is the nnn-dimensional Hausdorff measure normalized to agree with Lebesgue measure on Rn\mathbb R^nRn (which equals Riemannian volume), riemannianExp is defined from complete geodesics, and WeakMTW uses iteratedDeriv 2 twice.

Formalization targets

Goal: uniform bi-Hölder optimal maps

Fix (M,g)(M,g)(M,g) satisfying weak MTW and 0<λ≤Λ0<\lambda\le\Lambda0<λ≤Λ with a nonempty density class. There are α∈(0,1]\alpha\in(0,1]α∈(0,1] and C<∞C<\inftyC<∞, depending only on (M,g),λ,Λ(M,g),\lambda,\Lambda(M,g),λ,Λ, such that for all densities ρ0,ρ1\rho_0,\rho_1ρ0​,ρ1​ in the class, the almost-everywhere unique optimal map has a homeomorphic representative T~\widetilde TT with

d(T~x,T~x′)≤C d(x,x′)α,d(T~−1y,T~−1y′)≤C d(y,y′)α.d(\widetilde T x,\widetilde T x')\le C\,d(x,x')^\alpha,\qquad d(\widetilde T^{-1}y,\widetilde T^{-1}y')\le C\,d(y,y')^\alpha .d(Tx,Tx′)≤Cd(x,x′)α,d(T−1y,T−1y′)≤Cd(y,y′)α.

This is Theorem 1.1 of the source. The goal is published on the platform with status Open.

Significance

The result itself. The constants are common to the whole density class; they do not depend on the densities or their derivatives, and the theorem allows conjugate cut points without nonfocality, strict MTW, or cut avoidance. Combined with the necessity result of Figalli–Rifford–Villani it gives the equivalence of weak MTW with transport continuity for bounded densities on compact manifolds, with uniform estimates in the forward direction. No explicit exponent is obtained (the positive exponent comes from a contradiction argument).

Formalizing it. The Lean statement packages existence, almost-everywhere uniqueness, homeomorphic regularity and uniform bi-Hölder bounds in one assertion over all density pairs, making precise what "class-uniform" means. A proof requires the companion geometric results (convex injectivity domains, global support), McCann's theorem, and Caffarelli-type section estimates on manifolds — none currently in Mathlib.

Difficulty

Hölder estimates obtained after localizing near a smooth part of the cost give a density-dependent exponent and localization scale; they do not give a common scale or constant for a family whose transport graphs approach conjugate pairs, where the cost stops being smooth. Weak MTW constrains the cost only where it is smooth and only for orthogonal directions. Earlier uniform results needed strict MTW and nonfocality, or special geometry (products of spheres).

Formalization scope

  • Volume is the normalized Hausdorff measure euclideanVolumeFactor n • μH[n]; densities are AEMeasurable, integrable, of mass one, and between lam and cap almost everywhere; nonemptiness of the class is a hypothesis, as in the source.
  • IsOptimalMap requires measurability, the pushforward identity for withDensity measures, and minimality among all measurable maps with that pushforward; uniqueness is almost everywhere for ρ0 vol\rho_0\,\mathrm{vol}ρ0​vol.
  • The conclusion requires one α∈(0,1]\alpha\in(0,1]α∈(0,1] and one C≥0C\ge0C≥0 before quantifying over densities, and a homeomorphism M ≃ₜ M with the same exponent and constant for TTT and T−1T^{-1}T−1; a trivializing choice is excluded because TTT must itself be optimal.
  • Weak MTW is a hypothesis only at p∈I(x)p\in I(x)p∈I(x) and orthogonal ξ,η\xi,\etaξ,η.
  • Needed infrastructure: Riemannian geodesics and cut locus, semiconvex potentials, Kantorovich duality and McCann's theorem, Hausdorff measure versus Riemannian volume, Caffarelli-type sections.

Selected references

  • L. A. Caffarelli, The regularity of mappings with a convex potential, J. Amer. Math. Soc. 5 (1992), 99–104. https://doi.org/10.1090/S0894-0347-1992-1124980-8
  • R. J. McCann, Polar factorization of maps on Riemannian manifolds, Geom. Funct. Anal. 11 (2001), 589–608. https://doi.org/10.1007/PL00001679
  • X.-N. Ma, N. S. Trudinger and X.-J. Wang, Regularity of potential functions of the optimal transportation problem, Arch. Ration. Mech. Anal. 177 (2005), 151–183. https://doi.org/10.1007/s00205-005-0362-9
  • G. Loeper, On the regularity of solutions of optimal transportation problems, Acta Math. 202 (2009), 241–283. https://doi.org/10.1007/s11511-009-0037-8
  • G. Loeper and C. Villani, Regularity of optimal transport in curved geometry: the nonfocal case, Duke Math. J. 151 (2010), 431–485. https://doi.org/10.1215/00127094-2010-003
  • A. Figalli, L. Rifford and C. Villani, Necessary and sufficient conditions for continuity of optimal transport maps on Riemannian manifolds, Tohoku Math. J. 63 (2011), 855–876. https://doi.org/10.2748/tmj/1325886291
  • A. Figalli, Y.-H. Kim and R. J. McCann, Hölder continuity and injectivity of optimal maps, Arch. Ration. Mech. Anal. 209 (2013), 747–795. https://doi.org/10.1007/s00205-013-0629-5
  • A. Figalli, Y.-H. Kim and R. J. McCann, Regularity of optimal transport maps on multiple products of spheres, J. Eur. Math. Soc. 15 (2013), 1131–1166. https://doi.org/10.4171/JEMS/388
  • A. Figalli, T. O. Gallouët and L. Rifford, On the convexity of injectivity domains on nonfocal manifolds, SIAM J. Math. Anal. 47 (2015), 969–1000. https://doi.org/10.1137/140961821
  • N. Lebedeva, A. Petrunin and V. Zolotov, Bipolar comparison, Geom. Funct. Anal. 29 (2019), 258–282. https://doi.org/10.1007/s00039-019-00481-9
  • OpenAI, Global Support and Convex Injectivity Domains under Weak MTW, OpenAI Math Release preprint, September 25, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Global-Support-and-Convex-Injectivity-Domains-under-Weak-MTW-September-25-2026/paper.pdf
  • OpenAI, Uniform Bi-Hölder Transport from Weak MTW, OpenAI Math Release preprint, September 25, 2026 (Theorem 1.1, p. 2). https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Uniform-Bi-Holder-Transport-from-Weak-MTW-September-25-2026/paper.pdf
2 thms1 active userReviewed
Differential GeometrySymplectic Geometry·Captain: wurtle

Symplectic Ball Packings in Higher DimensionsResearch Paper

Motivation

A symplectic embedding preserves the standard symplectic form ω0=∑jdxj∧dyj\omega_0=\sum_j dx_j\wedge dy_jω0​=∑j​dxj​∧dyj​ on Cn\mathbb C^nCn, and in particular preserves volume. Gromov's nonsqueezing and two-ball theorems showed that symplectic embeddings obey constraints invisible to volume (Gromov 1985). The ball-packing problem asks exactly when finitely many balls can be embedded disjointly and symplectically into a given ball, and so measures how far symplectic rigidity goes beyond volume.

In real dimension four the answer involves infinitely many obstructions coming from pseudoholomorphic curves and algebraic geometry (McDuff–Polterovich 1994; Biran 1997). In higher dimensions Siegel and Yao conjectured that only two obstructions survive: volume and Gromov's two-ball obstruction (Conjecture A of Siegel–Yao 2025).

This mission asks for a machine-checked proof of Theorem 1.1 of an OpenAI preprint dated September 23, 2026 (source), which claims Conjecture A in every real dimension 2n≥62n\ge62n≥6. The preprint has not been peer reviewed and its claim has not been independently verified; on the platform the Lean goal is open.

Background

  • 1985 — Gromov introduces pseudoholomorphic curves and proves the two-ball obstruction R1+R2≤RR_1+R_2\le RR1​+R2​≤R (Invent. Math. 1985).
  • 1994 — McDuff and Polterovich connect packing to blowups and algebraic geometry (Invent. Math. 1994).
  • 1995 — Traynor gives explicit packing constructions (J. Differential Geom. 1995).
  • 1997–2001 — Biran proves packing stability in dimension four (GAFA 1997; GAFA 2001).
  • 2005 — Schlenk's monograph develops folding and planar constructions (de Gruyter 2005).
  • 2011–2016 — Buse and Hind extend equal-ball stability to higher dimensions (Geom. Topol. 2011; Compos. Math. 2013); Buse, Hind and Opshtein prove unequal-ball stability in dimension four for small capacities (Trans. AMS 2016).
  • 2025 — Siegel and Yao formulate Conjecture A for higher-dimensional packings.
  • 2026 — The OpenAI preprint claims Conjecture A for all n≥3n\ge3n≥3 (Theorem 1.1, p. 2).

Setting

For R>0R>0R>0 write

B2n(R)={z∈Cn: π∑j=1n∣zj∣2≤R},B^{2n}(R)=\Bigl\{z\in\mathbb C^n:\ \pi\sum_{j=1}^n|z_j|^2\le R\Bigr\},B2n(R)={z∈Cn: πj=1∑n​∣zj​∣2≤R},

so RRR is the capacity, the Euclidean radius is R/π\sqrt{R/\pi}R/π​, and vol B2n(R)=Rn/n!\mathrm{vol}\,B^{2n}(R)=R^n/n!volB2n(R)=Rn/n!. An embedding of a closed ball into the open ball int⁡B2n(R)\operatorname{int}B^{2n}(R)intB2n(R) means a smooth map defined on an open neighbourhood of the closed ball, which is a topological embedding there, pulls ω0\omega_0ω0​ back to ω0\omega_0ω0​, and sends the closed ball into the open target. A packing of B2n(R1),…,B2n(Rk)B^{2n}(R_1),\dots,B^{2n}(R_k)B2n(R1​),…,B2n(Rk​) is a family of such embeddings whose images of the closed balls are pairwise disjoint.

Formalization targets

Milestone: necessity in Theorem 1.1 (p. 4)

If n≥3n\ge3n≥3, k≥1k\ge1k≥1, R,Ri>0R,R_i>0R,Ri​>0 and a packing exists, then

∑i=1kRin<RnandRi+Rj<R  (i≠j).\sum_{i=1}^kR_i^n<R^n\qquad\text{and}\qquad R_i+R_j<R\ \ (i\ne j).i=1∑k​Rin​<RnandRi​+Rj​<R  (i=j).

The images lie in some int⁡B2n(σ)\operatorname{int}B^{2n}(\sigma)intB2n(σ) with σ<R\sigma<Rσ<R by compactness, so the volume bound and Gromov's two-ball obstruction give the strict inequalities.

Goal: Theorem 1.1 (p. 2)

For integers n≥3n\ge3n≥3, k≥1k\ge1k≥1 and positive reals R,R1,…,RkR,R_1,\dots,R_kR,R1​,…,Rk​, a symplectic embedding ⨆iB2n(Ri)↪int⁡B2n(R)\bigsqcup_iB^{2n}(R_i)\hookrightarrow\operatorname{int}B^{2n}(R)⨆i​B2n(Ri​)↪intB2n(R) exists if and only if the two inequalities above hold.

Significance

The result itself. In every real dimension at least six, the volume and two-ball obstructions are the only obstructions to packing balls of arbitrary capacities into a ball. This contrasts with dimension four, where infinitely many further obstructions are essential, and it goes beyond packing-stability results, which concern many small balls. The theorem settles Siegel and Yao's Conjecture A.

Formalizing it. The necessity direction needs Gromov's two-ball theorem, which rests on pseudoholomorphic curve theory and has no formalization. The sufficiency direction uses Hamiltonian flows, Moser isotopies, toric domains, Kähler forms on projective degenerations and normal-cone transfer. A formal proof would require substantial new symplectic and algebro-geometric infrastructure, all of it reusable.

Difficulty

Sufficiency is the hard direction. The volume inequality is an integral condition, but a packing needs pointwise room; in the preprint's toric models over a surface with a handle, the unused-area profile PPP has positive integral but need not be positive at every moment, and a Hamiltonian comparison theorem (Lemma 2.1, p. 5) is needed to rearrange it into disjoint ball layers (Lemma 3.3, p. 12). The models must then be transferred symplectically into the target ball using Kähler degenerations; three geometric cases arise (all capacities below R/2R/2R/2, Proposition 5.2, p. 25; one large capacity in dimension ≥8\ge8≥8, Proposition 5.3, p. 26; one large capacity in dimension six, Proposition 6.7, p. 39). For necessity the obvious volume argument gives only non-strict inequalities; strictness comes from compactness of the images, and the pairwise bound is genuinely symplectic.

Formalization scope

  • Phase space is Fin n → ℂ with capacity π∑j∣zj∣2\pi\sum_j|z_j|^2π∑j​∣zj​∣2 and ω0(u,v)=∑j(Re uj Im vj−Im uj Re vj)\omega_0(u,v)=\sum_j(\mathrm{Re}\,u_j\,\mathrm{Im}\,v_j-\mathrm{Im}\,u_j\,\mathrm{Re}\,v_j)ω0​(u,v)=∑j​(Reuj​Imvj​−Imuj​Revj​).
  • SymplecticOn U f: UUU open, fff is C∞C^\inftyC∞ on UUU, f∣Uf|_Uf∣U​ is a topological embedding, and fderiv preserves ω0\omega_0ω0​ at every point of UUU.
  • HasPacking n k R r: each closed ball B2n(ri)B^{2n}(r_i)B2n(ri​) lies in an open UiU_iUi​ on which fif_ifi​ is symplectic, fif_ifi​ maps the closed ball into the open ball of capacity RRR, and images of distinct closed balls are disjoint.
  • PackingInequalities uses strict inequalities and quantifies over ordered pairs i≠ji\ne ji=j; the goal assumes n≥3n\ge3n≥3, k≥1k\ge1k≥1, R>0R>0R>0, ri>0r_i>0ri​>0, matching the source exactly.
  • Neither side is vacuous: for one ball the pairwise condition is empty and the statement reduces to r1<Rr_1<Rr1​<R.

Selected references

  • OpenAI, Symplectic Ball Packings in Higher Dimensions, OpenAI Math Release preprint, September 23, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Symplectic-Ball-Packings-in-Higher-Dimensions-September-23-2026/paper.pdf
  • K. Siegel, Y. Yao, On symplectic packing problems in higher dimensions, Math. Ann. 392 (2025), 5361–5392. https://doi.org/10.1007/s00208-025-03221-7
  • M. Gromov, Pseudo holomorphic curves in symplectic manifolds, Invent. Math. 82 (1985), 307–347. https://doi.org/10.1007/BF01388806
  • D. McDuff, L. Polterovich, Symplectic packings and algebraic geometry, Invent. Math. 115 (1994), 405–429. https://doi.org/10.1007/BF01231766
  • P. Biran, Symplectic packing in dimension 4, Geom. Funct. Anal. 7 (1997), 420–437. https://doi.org/10.1007/s000390050014
  • O. Buse, R. Hind, Ellipsoid embeddings and symplectic packing stability, Compos. Math. 149 (2013), 889–902. https://doi.org/10.1112/S0010437X12000826
  • O. Buse, R. Hind, E. Opshtein, Packing stability for symplectic 4-manifolds, Trans. Amer. Math. Soc. 368 (2016), 8209–8222. https://doi.org/10.1090/tran/6802
  • L. Traynor, Symplectic packing constructions, J. Differential Geom. 41 (1995), 735–751. https://doi.org/10.4310/jdg/1214456483
  • F. Schlenk, Embedding Problems in Symplectic Geometry, de Gruyter (2005). https://doi.org/10.1515/9783110199697
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Differential GeometryPartial Differential Equations·Captain: wurtle

A Smooth Metric with No Local Isometric Immersion into Three-SpaceResearch Paper

Motivation: can every surface be realized locally in R3\mathbb R^3R3?

A Riemannian surface is abstract: it is given by a rule ggg for measuring lengths and angles in local coordinates, not as a surface sitting in space. The local isometric realization problem asks whether every such surface can, near each point, be realized as an honest smooth surface in Euclidean three-space with the same lengths. The question goes back to the classical theory of surfaces. It is settled for real-analytic metrics and for smooth metrics with nonvanishing curvature, while the unrestricted smooth case is listed as open by Yau (Yau 2000, p. 236) and in Ghomi's problem survey (Ghomi 2019, §1.5, Problem 1.9).

Timeline

  • 1926–1927 — Janet and Cartan: every real-analytic surface metric is locally realizable analytically in R3\mathbb R^3R3 (Janet 1926; Cartan 1927).
  • 1954–1955 — Nash and Kuiper: C1C^1C1 isometric realizations exist with great flexibility (Nash 1954; Kuiper 1955). At C1C^1C1 regularity there is no curvature constraint.
  • 1971 — Pogorelov constructs a C2,1C^{2,1}C2,1 metric with no local C2C^2C2 realization (Pogorelov 1971).
  • 1985–1986 — C.-S. Lin: local realization for nonnegative curvature and for curvature changing sign cleanly, with finite differentiability (Lin 1985; Lin 1986).
  • 1989 — Nakamura and Maeda: smooth local existence when the curvature changes sign cleanly (Trans. AMS 1989).
  • 2002 — A Nadirashvili–Yuan preprint states a smooth counterexample with K≤0K\le0K≤0 (arXiv:math/0208127); their published 2008 paper instead proves a C2,1C^{2,1}C2,1 counterexample with K≥0K\ge0K≥0 and leaves the smooth question open (Calc. Var. PDE 2008).
  • 2007–2009 — Khuri: counterexamples to local solvability for general Monge–Ampère equations (CPDE 2007), and work on Darboux's equation that leaves the needed curvature profile open (Khuri 2009).
  • 2010–2016 — Positive results under finite-order conditions on the curvature zero set (Han–Khuri 2010; T.-Y. Lin 2016).
  • 2026 — An OpenAI preprint, A Smooth Metric with No Local Isometric Immersion into Three-Space (OpenAI Math Release, September 24, 2026), claims a smooth metric on (−1,1)2(-1,1)^2(−1,1)2 that has no smooth isometric immersion on any neighborhood of the origin. It has not been peer reviewed, and the claim has not been formally verified.

Setting

Work in coordinates p=(p1,p2)p=(p_1,p_2)p=(p1​,p2​) on the open square Q=(−1,1)2⊂R2Q=(-1,1)^2\subset\mathbb R^2Q=(−1,1)2⊂R2. A Riemannian metric on QQQ is a map p↦g(p)p\mapsto g(p)p↦g(p) to symmetric 2×22\times22×2 real matrices that are positive definite; it is C∞C^\inftyC∞ if every entry gijg_{ij}gij​ is smooth. An isometric immersion of (U,g)(U,g)(U,g), for an open set U⊆QU\subseteq QU⊆Q, is a map F:U→R3F:U\to\mathbb R^3F:U→R3 whose differential reproduces ggg:

⟨dFp(v), dFp(w)⟩R3=vTg(p) w(p∈U, v,w∈R2),\langle dF_p(v),\,dF_p(w)\rangle_{\mathbb R^3}=v^{\mathsf T} g(p)\,w\qquad(p\in U,\ v,w\in\mathbb R^2),⟨dFp​(v),dFp​(w)⟩R3​=vTg(p)w(p∈U, v,w∈R2),

equivalently ⟨∂iF,∂jF⟩=gij\langle\partial_iF,\partial_jF\rangle=g_{ij}⟨∂i​F,∂j​F⟩=gij​. Positive definiteness forces dFdFdF to have rank 222. In Lean, Coord = Fin 2 → ℝ, Ambient = EuclideanSpace ℝ (Fin 3), square is QQQ, and LocalSmoothPositive packages smoothness of every entry and Matrix.PosDef at every point.

Formalization targets

Goal: a nonrealizable smooth metric (Theorem A)

∃ g smooth, positive definite on Q  such that for every open U⊆Q with 0∈U, there is no C∞ F:U→R3 with F∗⟨⋅,⋅⟩=g.\exists\, g\ \text{smooth, positive definite on } Q\ \text{ such that for every open } U\subseteq Q \text{ with } 0\in U,\ \text{there is no } C^\infty\ F:U\to\mathbb R^3 \text{ with } F^*\langle\cdot,\cdot\rangle=g .∃g smooth, positive definite on Q  such that for every open U⊆Q with 0∈U, there is no C∞ F:U→R3 with F∗⟨⋅,⋅⟩=g.

This is Theorem A of the source (p. 1). Because a smooth isometric immersion restricts to an embedding near any point, it also rules out local smooth isometric embeddings. The stronger statement that ggg can be chosen with the full Euclidean Taylor jet at the origin (Corollary 5.3) is not part of the goal. The goal is published on the platform with status Open: no machine-checked proof exists yet.

Significance

The result itself. The theorem shows that smooth local isometric realization in R3\mathbb R^3R3 can fail, which answers negatively the unrestricted smooth problem recorded by Yau and Ghomi. It separates the smooth case from the analytic case (Janet–Cartan) and from finite regularity (Pogorelov, Nadirashvili–Yuan 2008). It also shows, by Corollary 5.3, that the infinite-order jet of the metric at a point does not decide realizability. It leaves open the same question under a sign condition K≥0K\ge0K≥0 or K≤0K\le0K≤0, since the construction uses both signs of curvature.

Formalizing it. The statement is short, but the claimed proof combines PDE estimates for Darboux's equation, hyperbolic propagation, a Baire-category argument and a boundary-saddle geometric step. The literature has disagreed about the status of the smooth question (NY2002 versus NY2008), so a machine-checked proof would remove the ambiguity. Mathlib has the manifold calculus needed to state the result (ContMDiff, mfderiv) but none of the PDE layer.

Difficulty

Where the Gaussian curvature KKK is nonzero, the realization equations are elliptic or hyperbolic and can be solved locally, so any counterexample must exploit degeneracy where KKK vanishes and changes type. Finite-regularity counterexamples (Pogorelov) do not carry over: existence at every finite order, on neighborhoods that shrink with the order, does not give one smooth map on a fixed neighborhood. Nonsolvable Monge–Ampère equations are also not enough by themselves, because the coefficients of the Darboux equation come from the same metric, so the obstruction has to be built into ggg itself. Finally, the conclusion must hold for every neighborhood of the origin and every smooth immersion, with no a priori bounds on FFF.

Formalization scope

  • The metric is a function on the subtype of the open set coordinateSquareOpen with values in Matrix (Fin 2) (Fin 2) ℝ. Each entry is ContMDiff … ∞ and each value is Matrix.PosDef, which includes symmetry (Hermitian over ℝ).
  • The quantifier ranges over all U : Opens Coord with U⊆QU\subseteq QU⊆Q and 0∈U0\in U0∈U, and over all maps F : U → Ambient that are ContMDiff … ∞ on the open submanifold UUU. The isometry condition is stated with mfderiv and the Euclidean inner product: ⟨dFpv,dFpw⟩=v⋅(g(p)w)\langle dF_p v, dF_p w\rangle = v\cdot(g(p)w)⟨dFp​v,dFp​w⟩=v⋅(g(p)w).
  • The conclusion is a negation of existence, so it is not trivialized by a junk value: ggg must be genuinely smooth and positive definite, and an immersion on any neighborhood, however small, is excluded.
  • Infrastructure needed: Gauss equation and second fundamental form in coordinates, Darboux's equation, energy and weighted elliptic estimates, hyperbolic propagation, and the Baire category theorem (available in Mathlib). The surface-theory layer is reusable for other isometric-embedding projects.

Selected references

  • M. Janet, Sur la possibilité de plonger un espace riemannien donné dans un espace euclidien, Ann. Soc. Polon. Math. 5 (1926), 38–43. https://rcin.org.pl/dlibra/publication/31746/edition/15034
  • É. Cartan, Sur la possibilité de plonger un espace riemannien donné dans un espace euclidien, Ann. Soc. Polon. Math. 6 (1927), 1–7. https://rcin.org.pl/dlibra/publication/32955/edition/18106
  • J. Nash, C1C^1C1 isometric imbeddings, Ann. of Math. 60 (1954), 383–396. https://doi.org/10.2307/1969840
  • N. H. Kuiper, On C1C^1C1-isometric imbeddings. I, Nederl. Akad. Wetensch. Proc. Ser. A 58 (1955), 545–556.
  • A. V. Pogorelov, An example of a two-dimensional Riemannian metric admitting no local realization in E3E^3E3, Dokl. Akad. Nauk SSSR 198 (1971), 42–43. https://www.mathnet.ru/eng/dan36135
  • C.-S. Lin, The local isometric embedding in R3\mathbb R^3R3 of 2-dimensional Riemannian manifolds with nonnegative curvature, J. Differential Geom. 21 (1985), 213–230. https://doi.org/10.4310/jdg/1214439563
  • C.-S. Lin, The local isometric embedding in R3\mathbb R^3R3 of two-dimensional Riemannian manifolds with Gaussian curvature changing sign cleanly, Comm. Pure Appl. Math. 39 (1986), 867–887. https://doi.org/10.1002/cpa.3160390607
  • G. Nakamura and Y. Maeda, Local smooth isometric embeddings of low-dimensional Riemannian manifolds into Euclidean spaces, Trans. Amer. Math. Soc. 313 (1989), 1–51. https://doi.org/10.1090/S0002-9947-1989-0992597-8
  • N. Nadirashvili and Y. Yuan, Counterexamples for local isometric embedding, preprint (2002). https://arxiv.org/abs/math/0208127v1
  • N. Nadirashvili and Y. Yuan, Improving Pogorelov's isometric embedding counterexample, Calc. Var. PDE 32 (2008), 319–323. https://doi.org/10.1007/s00526-007-0140-7
  • M. A. Khuri, Counterexamples to the local solvability of Monge–Ampère equations in the plane, Comm. PDE 32 (2007), 665–674. https://doi.org/10.1080/03605300600635061
  • M. A. Khuri, On the local solvability of Darboux's equation, Discrete Contin. Dyn. Syst. (2009, Supplement), 451–456. https://doi.org/10.3934/proc.2009.2009.451
  • Q. Han and M. Khuri, Comm. Anal. Geom. 18 (2010), 649–704. https://doi.org/10.4310/CAG.2010.v18.n4.a2
  • T.-Y. Lin, Comm. PDE 41 (2016), 1553–1592. https://doi.org/10.1080/03605302.2016.1227336
  • S.-T. Yau, Review of geometry and analysis, Asian J. Math. 4 (2000), 235–278. https://doi.org/10.4310/AJM.2000.v4.n1.a16
  • M. Ghomi, Open problems in geometry of curves and surfaces, survey (2019), §1.5. https://ghomi.math.gatech.edu/Papers/op.pdf
  • OpenAI, A Smooth Metric with No Local Isometric Immersion into Three-Space, OpenAI Math Release preprint, September 24, 2026 (Theorem A, p. 1). https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-Smooth-Metric-with-No-Local-Isometric-Immersion-into-Three-Space-September-24-2026/paper.pdf
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Differential GeometryPartial Differential Equations·Captain: wurtle

Smooth isometric immersions of closed surfaces into Euclidean four-spaceResearch Paper

Motivation

An isometric immersion realizes an abstract Riemannian manifold as a surface in Euclidean space whose induced lengths are exactly the prescribed ones. How many dimensions are needed is a classical question. Nash showed that every compact Riemannian nnn-manifold embeds smoothly and isometrically in some Euclidean space; for surfaces his bound is R17\mathbb R^{17}R17 (Nash 1956). Gromov lowered the immersion dimension for closed surfaces to R5\mathbb R^5R5 (Partial Differential Relations, 1986, §3.2.4). Three dimensions do not suffice even locally in the smooth category, and Gromov recorded the question whether every smooth Riemannian surface admits a smooth isometric immersion into R4\mathbb R^4R4 (Gromov 2000, §I, Remark (d)), later attributing it to Chern around 1950 (Gromov 2015, p. 4).

This mission asks for a machine-checked proof of Theorem 1.1 of an OpenAI preprint dated September 23, 2026 (source), which answers the compact, boundaryless form of that question: every closed smooth Riemannian surface admits a smooth isometric immersion into R4\mathbb R^4R4. The preprint has not been peer reviewed and its claim has not been independently verified; on the platform the Lean goal is open.

Background

  • 1926–1927 — Janet and Cartan: analytic Riemannian surfaces embed locally isometrically in R3\mathbb R^3R3 (Janet 1926; Cartan 1927).
  • 1954–1955 — Nash and Kuiper: strictly short immersions in positive codimension can be uniformly approximated by C1C^1C1 isometric immersions (Nash 1954; Kuiper 1955).
  • 1956 — Nash's smooth embedding theorem, dimension n(3n+11)/2n(3n+11)/2n(3n+11)/2, i.e. 171717 for surfaces.
  • 1973 — Poznyak: C3,αC^{3,\alpha}C3,α metrics on compact parts of simply connected planar domains admit C2,αC^{2,\alpha}C2,α isometric immersions into R4\mathbb R^4R4 (Russ. Math. Surveys 1973).
  • 1986 — Gromov: smooth isometric immersions of closed surfaces into R5\mathbb R^5R5.
  • 2026 — Lewicka proves C1,αC^{1,\alpha}C1,α flexibility in R4\mathbb R^4R4 for low-regularity metrics on disk-type planar domains (arXiv:2511.16305); a companion OpenAI preprint gives a smooth metric on a square with no local smooth isometric immersion into R3\mathbb R^3R3; the present preprint claims the closed-surface case in R4\mathbb R^4R4 (Theorem 1.1, p. 2).

Setting

A closed surface MMM is a compact smooth two-dimensional manifold without boundary; it need not be orientable or connected. A Riemannian metric ggg assigns to each p∈Mp\in Mp∈M a positive definite inner product gpg_pgp​ on TpMT_pMTp​M, depending smoothly on ppp. A smooth map F:M→R4F:M\to\mathbb R^4F:M→R4 is an isometric immersion if

⟨dFp(v),dFp(w)⟩=gp(v,w)(p∈M, v,w∈TpM).\langle dF_p(v),dF_p(w)\rangle=g_p(v,w)\qquad(p\in M,\ v,w\in T_pM).⟨dFp​(v),dFp​(w)⟩=gp​(v,w)(p∈M, v,w∈Tp​M).

Positive definiteness of ggg forces dFpdF_pdFp​ to be injective, so FFF is an immersion; self-intersections are allowed.

Formalization targets

Goal: Theorem 1.1 (p. 2)

For every closed smooth Riemannian surface (M,g)(M,g)(M,g) there is a C∞C^\inftyC∞ map F:M→R4F:M\to\mathbb R^4F:M→R4 with F∗δ4=gF^*\delta_4=gF∗δ4​=g, where δ4=∑i=14dxi2\delta_4=\sum_{i=1}^4dx_i^2δ4​=∑i=14​dxi2​. In Lean this is OAI.ClosedSurfaceR4.FiniteOrderSmoothing.smooth_isometric_immersion.

Significance

The result itself. The theorem lowers Gromov's immersion dimension for closed surfaces from five to four, with no restriction on curvature or topology, and settles the closed case of the question Gromov attributes to Chern. Dimension four is the first codimension in which the smooth problem can have a global answer for all surfaces, since smooth metrics with no local isometric immersion into R3\mathbb R^3R3 exist. The open (noncompact) case of the question is not addressed.

Formalizing it. Mathlib now has smooth manifolds, tangent bundles and smooth Riemannian metrics, so the statement is expressible without custom geometry. A complete proof would add Whitney's immersion theorem, Sard's theorem in equal dimensions, metric decompositions into rank-one terms, Nash–Moser-type smoothing estimates, and oscillatory correction schemes; none of these are formalized at this level, and all are reusable in geometric analysis.

Difficulty

The isometric immersion equation dFTdF=gdF^{\mathsf T}dF=gdFTdF=g is a nonlinear system of three equations in four unknown functions, and its linearization loses derivatives, so a direct implicit function argument fails. Convex integration in the Nash–Kuiper style produces only C1C^1C1 solutions. Poznyak's smooth theory works on planar domains with boundary, but on a closed surface the successive local corrections must remain compatible globally. The preprint keeps a nondegenerate normal geometry (a nonzero vector-valued second fundamental form) through every step, adds the metric deficit one positive rank-one term a2dx2a^2dx^2a2dx2 at a time via a velocity loop in a plane normal to FyF_yFy​ and FyyF_{yy}Fyy​ (Proposition 3.1, p. 8; Proposition 7.1, p. 25), and then corrects the approximate metric exactly by a smoothing scheme that solves the linearized equation only on oscillatory modes (Proposition 5.1, p. 15). Nonorientable surfaces are handled by starting from an immersion into a small round 333-sphere, whose radial direction is a global normal (Lemma 9.1, p. 35).

Formalization scope

  • MMM is a type with ChartedSpace (EuclideanSpace ℝ (Fin 2)) M and IsManifold 𝓘(ℝ, ℝ²) ∞ M, assumed compact, Hausdorff and second countable. Being modeled on R2\mathbb R^2R2 (not a half-space) encodes "without boundary"; no orientability or connectedness is assumed.
  • The metric is Mathlib's Bundle.ContMDiffRiemannianMetric of class C∞C^\inftyC∞ on the tangent bundle.
  • The conclusion asks for ContMDiff … ∞ F and equality of the Euclidean inner product of mfderiv images with g.inner p v w for all tangent vectors; immersivity follows and is not stated separately.
  • The statement is not trivialized: the conclusion is an exact pointwise identity for a smooth map, and the hypotheses are satisfied by every closed surface with any metric.

Selected references

  • OpenAI, Smooth isometric immersions of closed surfaces into Euclidean four-space, OpenAI Math Release preprint, September 23, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Smooth-isometric-immersions-of-closed-surfaces-into-Euclidean-four-space-September-23-2026/paper.pdf
  • J. Nash, The imbedding problem for Riemannian manifolds, Ann. of Math. 63 (1956). https://doi.org/10.2307/1969989
  • J. Nash, C¹-isometric imbeddings, Ann. of Math. 60 (1954). https://doi.org/10.2307/1969840
  • M. Gromov, Partial Differential Relations, Springer (1986). https://doi.org/10.1007/978-3-662-02267-2
  • M. Gromov, Spaces and questions, Geom. Funct. Anal. (2000). https://www.ihes.fr/~gromov/wp-content/uploads/2018/08/SpacesandQuestions.pdf
  • M. Gromov, Geometric, algebraic and analytic descendants of Nash isometric embedding theorems (2015). https://www.ihes.fr/~gromov/wp-content/uploads/2018/08/nash-copy-Oct9.pdf
  • E. G. Poznyak, Isometric immersions of two-dimensional Riemannian metrics in Euclidean space, Russian Math. Surveys (1973). https://doi.org/10.1070/RM1973v028n04ABEH001591
  • M. Lewicka, Full flexibility of isometric immersions of metrics with low Hölder regularity in Poznyak theorem's dimension, arXiv:2511.16305v3 (2026). https://arxiv.org/abs/2511.16305v3
  • H. Whitney, The singularities of a smooth n-manifold in (2n−1)-space, Ann. of Math. 45 (1944). https://doi.org/10.2307/1969266
  • R. S. Hamilton, The inverse function theorem of Nash and Moser, Bull. AMS 7 (1982). https://doi.org/10.1090/S0273-0979-1982-15004-2
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AnalysisFunctional Analysis·Captain: wurtle

Universal strong Kadison–Kastler stabilityResearch Paper

Motivation

How rigid is a von Neumann algebra inside B(H)B(H)B(H)? If two algebras M,N⊆B(H)M,N\subseteq B(H)M,N⊆B(H) have unit balls that are uniformly close, must they be the same algebra up to a small change of coordinates? Kadison and Kastler introduced the distance between the unit balls in 1972 (Amer. J. Math. 1972) and asked whether sufficiently close algebras are spatially isomorphic, implemented by a unitary close to the identity. The positive answer for a class of algebras is called (strong) Kadison–Kastler stability. The problem connects perturbation theory, Hochschild cohomology, and Kadison's similarity problem, and it was settled previously only for injective (amenable) algebras, type I algebras, and specific nonamenable examples.

This mission asks for a formal proof of the uniform strong Kadison–Kastler stability theorem stated in an OpenAI preprint dated September 23, 2026 (source): a single tolerance works for all von Neumann algebras on all Hilbert spaces. The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 1972 — Kadison and Kastler introduce the metric and prove stability results for type I algebras (Amer. J. Math. 1972).
  • 1974–1975 — Phillips proves spatial isomorphism for close type I algebras (Pacific J. Math. 1974); Christensen obtains a conjugating unitary near the identity (J. LMS 1975).
  • 1977 — Christensen (Invent. Math. 1977), Johnson (Proc. LMS 1977) and Raeburn–Taylor (JFA 1977) settle the injective case.
  • 1980 — Christensen's theory of near inclusions (Acta Math. 1980).
  • 1982 — Johnson's examples show that for C*-algebras the implementing unitary cannot always be chosen near the identity in a uniform way (Canad. Math. Bull. 1982).
  • 1983 — Haagerup's cyclic similarity estimate (Ann. of Math. 1983).
  • 2010–2012 — Christensen, Sinclair, Smith, White and Winter prove spatial isomorphism for close separable nuclear C*-algebras (PNAS 2010; Acta Math. 2012).
  • 2012–2014 — Cameron, Christensen, Sinclair, Smith, White and Wiggins construct the first nonamenable Kadison–Kastler stable factors, (L∞(X)⋊SLn(Z))⊗ˉR(L^\infty(X)\rtimes SL_n(\mathbb Z))\bar\otimes R(L∞(X)⋊SLn​(Z))⊗ˉ​R for n≥3n\ge3n≥3 (PNAS 2012; Duke 2014).
  • September 2026 — The OpenAI preprint claims uniform stability for all von Neumann algebras (Theorem 1.1, p. 2).

Setting

Let HHH be a complex Hilbert space and B(H)B(H)B(H) the bounded operators with the operator norm. A von Neumann algebra M⊆B(H)M\subseteq B(H)M⊆B(H) is a unital ∗*∗-subalgebra equal to its double commutant (in particular it contains the identity IHI_HIH​). Write M1={x∈M:∥x∥≤1}M_1=\{x\in M:\|x\|\le1\}M1​={x∈M:∥x∥≤1} for its unit ball. The Kadison–Kastler distance is the Hausdorff distance of unit balls,

d(M,N)=max⁡(sup⁡x∈M1inf⁡y∈N1∥x−y∥, sup⁡y∈N1inf⁡x∈M1∥x−y∥).d(M,N)=\max\Bigl(\sup_{x\in M_1}\inf_{y\in N_1}\|x-y\|,\ \sup_{y\in N_1}\inf_{x\in M_1}\|x-y\|\Bigr).d(M,N)=max(x∈M1​sup​y∈N1​inf​∥x−y∥, y∈N1​sup​x∈M1​inf​∥x−y∥).

A unitary u∈B(H)u\in B(H)u∈B(H) conjugates MMM to NNN if uMu∗=NuMu^*=NuMu∗=N.

Formalization targets

Goal: Theorem 1.1 (p. 2)

For every ε>0\varepsilon>0ε>0 there is δ>0\delta>0δ>0 such that for every complex Hilbert space HHH and all von Neumann algebras M,N⊆B(H)M,N\subseteq B(H)M,N⊆B(H) with d(M,N)<δd(M,N)<\deltad(M,N)<δ, there is a unitary u∈B(H)u\in B(H)u∈B(H) with

uMu∗=Nand∥u−IH∥<ε.uMu^*=N\qquad\text{and}\qquad\|u-I_H\|<\varepsilon .uMu∗=Nand∥u−IH​∥<ε.

The tolerance δ\deltaδ depends only on ε\varepsilonε: not on the algebras, their type, their representations, or the size of HHH.

Significance

The result itself. It answers the Kadison–Kastler perturbation question in its strongest uniform form for von Neumann algebras, including all nonamenable and type III cases and non-separable Hilbert spaces. Consequences include that every algebraic or analytic invariant preserved by unitary conjugacy (type, factoriality, property Γ\GammaΓ, Cartan subalgebras) is locally constant in the Kadison–Kastler metric. The analogous C*-algebra statement fails in its uniform-unitary form by Johnson's examples, so the theorem is specific to von Neumann algebras.

Formalizing it. The statement uses only Mathlib's VonNeumannAlgebra, unitary operators and Hausdorff distance, so it is fully expressible today. The proof, however, draws on free probability, tracial ultraproducts, Tomita–Takesaki theory, crossed products, Poisson boundaries and measurable cocycles, most of which are absent from Mathlib. Formalizing even the amenable (injective) case would be a substantial reusable contribution.

Difficulty

Closeness of unit balls supplies nearby elements but no linear or multiplicative correspondence between the algebras, and it gives no control at matrix levels, where perturbation arguments naturally live. For nonamenable algebras the classical route through vanishing Hochschild cohomology is unavailable. The preprint proceeds by cases. For finite factors it proves a uniform bound on all matrix amplifications of commutator maps (Theorem 3.1, p. 11) and corrects nearby unitaries to a measurable cocycle over an amenable boundary action (Section 4). Infinite factors require comparing modular groups through Tomita graphs (Proposition 6.5, p. 41) and aligning the modular action (Proposition 7.1, p. 45) before passing to crossed products (Theorem 8.4, p. 59). General algebras then require aligning centers and passing from separable to arbitrary Hilbert spaces (Section 9) without losing uniformity.

Formalization scope

  • HHH ranges over complex Hilbert spaces (NormedAddCommGroup, InnerProductSpace ℂ, CompleteSpace) in a fixed universe u; δ\deltaδ is chosen before HHH, so the uniformity over Hilbert spaces is part of the statement.
  • VonNeumannAlgebra H is Mathlib's notion; these algebras contain the identity, so "unital with identity IHI_HIH​" is built in.
  • kkDistance M N is Metric.hausdorffDist of the closed unit balls. Both balls contain 000 and are bounded, so the Hausdorff distance is finite and the definition is exactly (1.1).
  • NearConjugacy M N ε asks for a unitary vvv with v M v∗=Nv\,M\,v^*=NvMv∗=N as sets and ∥v−1∥<ε\|v-1\|<\varepsilon∥v−1∥<ε.
  • There is no trivializing reading: the hypotheses are satisfied by M=NM=NM=N, and the conclusion is nontrivial for M≠NM\neq NM=N.

Selected references

  • OpenAI, Universal strong Kadison–Kastler stability, OpenAI Math Release preprint, September 23, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Universal-strong-Kadison-Kastler-stability-September-23-2026/paper.pdf
  • R. V. Kadison, D. Kastler, Perturbations of von Neumann algebras. I. Stability of type, Amer. J. Math. 94 (1972). https://doi.org/10.2307/2373592
  • E. Christensen, Perturbations of type I von Neumann algebras, J. London Math. Soc. (1975). https://doi.org/10.1112/jlms/s2-9.3.395
  • E. Christensen, Perturbation of operator algebras, Invent. Math. 43 (1977). https://doi.org/10.1007/BF01390201
  • B. E. Johnson, Perturbations of Banach algebras, Proc. London Math. Soc. (1977). https://doi.org/10.1112/plms/s3-34.3.439
  • I. Raeburn, J. L. Taylor, Hochschild cohomology and perturbations of Banach algebras, J. Funct. Anal. (1977). https://doi.org/10.1016/0022-1236(77)90072-6
  • E. Christensen, Near inclusions of C-algebras*, Acta Math. 144 (1980). https://doi.org/10.1007/BF02392125
  • B. E. Johnson, A counterexample in the perturbation theory of C-algebras*, Canad. Math. Bull. 25 (1982). https://doi.org/10.4153/CMB-1982-043-4
  • U. Haagerup, Solution of the similarity problem for cyclic representations of C-algebras*, Ann. of Math. 118 (1983). https://doi.org/10.2307/2007028
  • E. Christensen, A. M. Sinclair, R. R. Smith, S. A. White, W. Winter, Perturbations of nuclear C-algebras*, Acta Math. 208 (2012). https://doi.org/10.1007/s11511-012-0075-5
  • J. Cameron, E. Christensen, A. M. Sinclair, R. R. Smith, S. A. White, A. D. Wiggins, Kadison–Kastler stable factors, Duke Math. J. 163 (2014). https://doi.org/10.1215/00127094-2819736
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Dynamical SystemsMathematical PhysicsProbability·Captain: wurtle

The sharp factor-of-IID threshold for the free Ising model on regular treesResearch Paper

Motivation

A random configuration on the vertices of a graph is a factor of IID if it can be produced by a measurable rule from independent uniform labels at the vertices, where the rule commutes with the graph's automorphisms. On trees this notion connects ergodic theory (which invariant processes are "Bernoulli-like"), local algorithms on sparse random graphs (factors of IID are limits of what local algorithms can produce), and statistical mechanics. The free Ising state on the ddd-regular tree is the basic test case. It is easy to sample from a chosen root by broadcasting spins outward, but a factor rule may not use a root. Lyons asked for which inverse temperatures it is a factor of IID (Lyons 2017), and Nam, Sly and Zhang conjectured the answer tanh⁡β≤(d−1)−1/2\tanh\beta\le(d-1)^{-1/2}tanhβ≤(d−1)−1/2 after proving it for large ddd below a non-explicit constant (Nam–Sly–Zhang 2022).

This mission asks for a formal proof of the exact threshold, including equality, as stated in an OpenAI preprint dated September 26, 2026 (source). The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 1995–1996 — Bleher, Ruiz and Zagrebnov (J. Stat. Phys. 1995) and Ioffe (Lett. Math. Phys. 1996): the free state on the regular tree is extremal exactly when (d−1)tanh⁡2β≤1(d-1)\tanh^2\beta\le1(d−1)tanh2β≤1.
  • 2000 — Evans, Kenyon, Peres and Schulman relate broadcasting on trees to the Ising model (Ann. Appl. Probab. 2000).
  • 2010 — Pemantle and Peres give a capacity criterion that also covers critical cases (Ann. Probab. 2010).
  • 2015 — Backhausz, Szegedy and Virág's correlation bound for factors of IID (Random Struct. Alg. 2015), which rules out the free state beyond the threshold.
  • 2017 — Lyons surveys factors of IID on trees, records Sly's obstruction above the reconstruction threshold, and the finite-cluster construction in the uniqueness range tanh⁡β≤1/(d−1)\tanh\beta\le 1/(d-1)tanhβ≤1/(d−1) (CPC 2017).
  • 2022 — Nam, Sly and Zhang construct the free state as a factor for d≥d0d\ge d_0d≥d0​ and tanh⁡β≤c/d−1\tanh\beta\le c/\sqrt{d-1}tanhβ≤c/d−1​, via posterior-drift stochastic differential equations, and conjecture the sharp threshold (CMP 2022).

Setting

Let TdT_dTd​ be the infinite ddd-regular tree with vertex set VVV; concretely, VVV is the set of finite words over {1,…,d}\{1,\dots,d\}{1,…,d} with no two equal consecutive letters, and www is adjacent to wcwcwc. Put θ=tanh⁡β\theta=\tanh\betaθ=tanhβ for β≥0\beta\ge0β≥0. The free zero-field Ising law μd,β\mu_{d,\beta}μd,β​ on {−1,+1}V\{-1,+1\}^V{−1,+1}V is determined by its marginals on finite connected subtrees DDD:

μd,β(σ∣D=η)=12∏{u,v}∈E(D)1+θ ηuηv2.\mu_{d,\beta}(\sigma|_D=\eta)=\frac12\prod_{\{u,v\}\in E(D)}\frac{1+\theta\,\eta_u\eta_v}{2}.μd,β​(σ∣D​=η)=21​{u,v}∈E(D)∏​21+θηu​ηv​​.

Equivalently, a fair spin at one vertex is broadcast along edges, each child agreeing with its parent with probability (1+θ)/2(1+\theta)/2(1+θ)/2. A spin law is a factor of IID if it is the law of Φ(U)\Phi(U)Φ(U) for i.i.d. uniform labels U=(Uv)v∈VU=(U_v)_{v\in V}U=(Uv​)v∈V​ and a measurable Φ:[0,1]V→{−1,1}V\Phi:[0,1]^V\to\{-1,1\}^VΦ:[0,1]V→{−1,1}V such that, for each fixed automorphism ggg, Φ(gU)=gΦ(U)\Phi(gU)=g\Phi(U)Φ(gU)=gΦ(U) almost surely, where (gx)v=xg−1v(gx)_v=x_{g^{-1}v}(gx)v​=xg−1v​.

Formalization targets

Goal: Theorem 1.1 (p. 1)

For every integer d≥3d\ge3d≥3 and every β≥0\beta\ge0β≥0,

μd,β is a factor of IID  ⟺  tanh⁡β≤1d−1.\mu_{d,\beta}\ \text{is a factor of IID}\iff \tanh\beta\le\frac1{\sqrt{d-1}}.μd,β​ is a factor of IID⟺tanhβ≤d−1​1​.

Significance

The result itself. It answers the ferromagnetic case of Lyons's question and proves the Nam–Sly–Zhang conjecture for every d≥3d\ge3d≥3. The threshold coincides with the reconstruction (extremality) threshold of the free state, and the result holds at equality, where non-reconstruction alone gives no factor rule (a weak limit of factors need not be a factor). The preprint also shows that, in this range, the factor can be chosen to commute with every automorphism on every input (Lemma 8.5, p. 46). The converse direction (tanh⁡β>(d−1)−1/2\tanh\beta>(d-1)^{-1/2}tanhβ>(d−1)−1/2 excludes a factor) is known from Sly's obstruction via the Backhausz–Szegedy–Virág bound and is reproved on p. 2.

Formalizing it. The preprint's construction uses Brownian observation processes, stochastic localization, innovation equations of nonlinear filtering, and conditional-copy coupling arguments. Mathlib has Brownian motion only in early form and no stochastic calculus for infinitely many coupled SDEs; a formal proof would build reusable stochastic-analysis infrastructure. The converse needs the BSV correlation bound for factors of IID. No machine-checked factor-of-IID result for a non-trivial Gibbs measure is known.

Difficulty

Rooted sampling is easy; the obstacle is to remove the root while keeping the output a measurable function of the labels. Finite-cluster constructions only work in the uniqueness range θ≤1/(d−1)\theta\le1/(d-1)θ≤1/(d−1). The Nam–Sly–Zhang approach observes Xv(t)=tσv+Bv(t)X_v(t)=t\sigma_v+B_v(t)Xv​(t)=tσv​+Bv​(t) and expresses the posterior through innovations WvW_vWv​, which are independent Brownian motions; but being Brownian does not make XXX a function of WWW, and that is the central step (pp. 2–3). At criticality θ=(d−1)−1/2\theta=(d-1)^{-1/2}θ=(d−1)−1/2 the field-response sums in the innovation equation are only borderline integrable near time zero, so infinite sums must be justified with an exact covariance-energy identity rather than with a contraction estimate (Section 1.2, p. 3).

Formalization scope

  • TreeVertex d is the set of words in Fin d with distinct consecutive letters, treeAdj appends or removes one letter, and TreeAut d is the group of adjacency-preserving bijections.
  • Labels have law Measure.infinitePi of Lebesgue measure on [0,1][0,1][0,1]; spins take values in a two-element type with the discrete σ-algebra, and configurations carry the product σ-algebra.
  • HasFreeIsingLaw θ μ prescribes μ\muμ on every cylinder over a finite connected Finset by the product formula above; these cylinders determine the law.
  • IsFactorOfIID d θ asks for a measurable Phi with pushforward law HasFreeIsingLaw θ and, for each automorphism g, Phi (relabel g U) = relabel g (Phi U) for almost every U (null set may depend on g), matching (1.1).
  • The goal uses θ = Real.tanh β with β≥0\beta\ge0β≥0 and d≥3d\ge3d≥3; at β=0\beta=0β=0 both sides hold trivially (i.i.d. spins), which is consistent with the source. The stronger everywhere-equivariant version is not part of the goal.

Selected references

  • OpenAI, The sharp factor-of-IID threshold for the free Ising model on regular trees, OpenAI Math Release preprint, September 26, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/The-sharp-factor-of-IID-threshold-for-the-free-Ising-model-on-regular-trees-September-26-2026/article.pdf
  • D. Nam, A. Sly, L. Zhang, Ising model on trees and factors of IID, Comm. Math. Phys. 389 (2022), 1009–1046. https://doi.org/10.1007/s00220-021-04260-2
  • R. Lyons, Factors of IID on trees, Combin. Probab. Comput. 26 (2017), 285–300. https://doi.org/10.1017/S096354831600033X
  • Á. Backhausz, B. Szegedy, B. Virág, Ramanujan graphings and correlation decay in local algorithms, Random Structures Algorithms 47 (2015). https://doi.org/10.1002/rsa.20562
  • P. M. Bleher, J. Ruiz, V. A. Zagrebnov, On the purity of the limiting Gibbs state for the Ising model on the Bethe lattice, J. Stat. Phys. 79 (1995). https://doi.org/10.1007/BF02179399
  • D. Ioffe, On the extremality of the disordered state for the Ising model on the Bethe lattice, Lett. Math. Phys. 37 (1996), 137–143. https://doi.org/10.1007/BF00416016
  • W. Evans, C. Kenyon, Y. Peres, L. J. Schulman, Broadcasting on trees and the Ising model, Ann. Appl. Probab. 10 (2000). https://doi.org/10.1214/aoap/1019487349
  • R. Pemantle, Y. Peres, The critical Ising model on trees, concave recursions and nonlinear capacity, Ann. Probab. 38 (2010). https://doi.org/10.1214/09-AOP482
  • R. Eldan, Thin shell implies spectral gap up to polylog via a stochastic localization scheme, GAFA 23 (2013), 532–569. https://doi.org/10.1007/s00039-013-0214-y
  • A. El Alaoui, A. Montanari, An information-theoretic view of stochastic localization, IEEE Trans. Inform. Theory 68 (2022). https://doi.org/10.1109/TIT.2022.3180298
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Graph TheoryGroup TheoryProbability·Captain: wurtle

No percolation at criticality on quasi-transitive graphsResearch Paper

Motivation

In Bernoulli bond percolation on a graph G=(V,E)G=(V,E)G=(V,E), each edge is kept (open) independently with probability ppp. As ppp grows, an infinite connected component of open edges appears at the critical probability pc(G)p_c(G)pc​(G). The criticality problem asks whether an infinite cluster can already exist at pcp_cpc​. A negative answer means the phase transition is continuous. Benjamini and Schramm (1996) conjectured that, on every graph with a large symmetry group and pc<1p_c<1pc​<1, there is no infinite cluster at pcp_cpc​. The question contains the famous open case of Z3\mathbb Z^3Z3 and connects percolation to geometric group theory, since Cayley graphs of finitely generated groups are the main examples.

Timeline

  • 1957. Broadbent and Hammersley introduce percolation (doi:10.1017/S0305004100032680).
  • 1960, 1980. Harris and Kesten settle nearest-neighbour bond percolation on Z2\mathbb Z^2Z2, including θ(pc)=0\theta(p_c)=0θ(pc​)=0 (doi:10.1017/S0305004100034241, doi:10.1007/BF01197577).
  • 1986–1987. Menshikov and Aizenman–Barsky prove sharpness of the subcritical phase; this does not settle behaviour at pcp_cpc​ (doi:10.1007/BF01212322).
  • 1990. Hara and Slade prove mean-field behaviour, including θ(pc)=0\theta(p_c)=0θ(pc​)=0, for Zd\mathbb Z^dZd in sufficiently high dimension (doi:10.1007/BF02108785).
  • 1996. Benjamini and Schramm formulate the conjecture for quasi-transitive graphs with pc<1p_c<1pc​<1 (doi:10.1214/ECP.v1-978).
  • 1999. Benjamini, Lyons, Peres and Schramm prove it for nonamenable graphs with a unimodular quasi-transitive action (doi:10.1214/aop/1022677450).
  • 2006. Timár excludes infinitely many infinite critical clusters on nonunimodular transitive graphs (doi:10.1214/009117906000000494).
  • 2016. Hutchcroft proves the conjecture for every quasi-transitive graph of exponential growth (arXiv:1605.05301). Duminil-Copin, Sidoravicius and Tassion treat slabs (doi:10.1002/cpa.21641).
  • 2017. Fitzner and van der Hofstad reach nearest-neighbour Zd\mathbb Z^dZd, d≥11d\ge11d≥11 (arXiv:1506.07977).
  • 2021. Hermon and Hutchcroft cover certain groups of intermediate growth (arXiv:1809.11112).
  • 2024. Kozma and Nitzan reduce the Zd\mathbb Z^dZd case to a conjectured gluing inequality (arXiv:2401.12397).
  • 2026. Public, non-peer-reviewed announcements report AI-assisted proofs for Zd\mathbb Z^dZd, including a reported Lean formalization of the lattice case (Leder, August 2026).

The source of this mission is an OpenAI preprint dated September 24, 2026, which treats the remaining subexponential-growth case for all quasi-transitive graphs.

Setting

A graph here has vertex set VVV and a set EEE of labelled bonds, each with a pair of endpoints; loops and parallel bonds are allowed. It is locally finite if each vertex lies in finitely many bonds, connected if any two vertices are joined by a path, and quasi-transitive if its automorphism group (bijections of vertices and of bonds respecting endpoints) has finitely many orbits on VVV. Examples include Zd\mathbb Z^dZd and every Cayley graph of a finitely generated group.

For p∈[0,1]p\in[0,1]p∈[0,1], let Pp\mathbb P_pPp​ be the law of a random set ω⊆E\omega\subseteq Eω⊆E containing each bond independently with probability ppp. The cluster Cx(ω)C_x(\omega)Cx​(ω) of xxx is the set of vertices joined to xxx by a finite path of bonds in ω\omegaω (including xxx). Define

pc(G)=inf⁡{p∈[0,1]: Pp(∃x, ∣Cx∣=∞)>0}.p_c(G)=\inf\{p\in[0,1]:\ \mathbb P_p(\exists x,\ |C_x|=\infty)>0\}.pc​(G)=inf{p∈[0,1]: Pp​(∃x, ∣Cx​∣=∞)>0}.

Formalization targets

Goal: Theorem 1.1

For every infinite, connected, locally finite, quasi-transitive graph GGG,

pc(G)<1 ⟹ Ppc(G)(∃x∈V: ∣Cx∣=∞)=0.p_c(G)<1\ \Longrightarrow\ \mathbb P_{p_c(G)}\bigl(\exists x\in V:\ |C_x|=\infty\bigr)=0.pc​(G)<1 ⟹ Ppc​(G)​(∃x∈V: ∣Cx​∣=∞)=0.

The hypothesis pc<1p_c<1pc​<1 is necessary, since at p=1p=1p=1 every infinite connected graph percolates. The Lean statement OAI.CriticalPercolation.BondGraph.no_percolation_at_criticality is open on the platform.

Significance

Theorem 1.1 resolves the Benjamini–Schramm criticality conjecture for Bernoulli bond percolation, and in particular gives θ(pc)=0\theta(p_c)=0θ(pc​)=0 on Zd\mathbb Z^dZd for every d≥2d\ge2d≥2 (Corollary 10.1, p. 39), including the long-open case d=3d=3d=3. With Hutchcroft's exponential-growth theorem, the remaining work is the subexponential case, divided into superpolynomial growth and growth bounded by a polynomial along a sequence of scales. As a consequence the percolation probability is continuous at pcp_cpc​ on every such graph.

The result is proved in an OpenAI preprint that has not been peer reviewed. No machine-checked proof of the general quasi-transitive statement exists; the reported Lean formalization concerns only nearest-neighbour Zd\mathbb Z^dZd. A formal proof would also certify the structural input (Tessera–Tointon's finitary structure theorem) as used here.

Difficulty

The obvious strategy, renormalization from large finite boxes, needs a gluing inequality to connect independently found large clusters, and it needs coordinates: on a general quasi-transitive graph there is no lattice to place boxes in. Planar duality is unavailable, the lace expansion needs high dimension, and Hutchcroft's argument uses exponential growth essentially. In the superpolynomial case one must rule out two large distinct clusters adjacent across an edge; in the polynomial case one needs nilpotent-group coordinates (Gromov, Trofimov, Tessera–Tointon) and a two-direction corridor exploration in which conditional failure probabilities stay uniformly small. Neither uniqueness of the infinite cluster nor independence across coarse blocks can be assumed.

Formalization scope

  • BondGraph V E stores ends : E → Sym2 V; loops and parallel bonds are allowed. LocallyFinite counts bonds at each vertex. Clusters use SimpleGraph.fromEdgeSet of the open bonds, so loops are discarded and parallel bonds collapse; reachability includes the zero-length path.
  • Aut consists of a vertex bijection and a bond bijection that commute with ends; QuasiTransitive says some finite set of vertices meets every orbit.
  • law p is ProbabilityTheory.setBernoulli Set.univ p on Set E: each bond retained independently with probability p : unitInterval.
  • criticalProbability is sInf in unitInterval of {p:Pp(percolates)>0}\{p:\mathbb P_p(\text{percolates})>0\}{p:Pp​(percolates)>0}; if the set were empty this would be 111, which hpc excludes.
  • percolates is the event that some cluster is infinite; the conclusion says it has measure 000 at pcp_cpc​.

A complete development needs Bernoulli product measures, Harris–FKG and conditional correlation inequalities, Hutchcroft's exponential-growth theorem, volume-growth theory of quasi-transitive graphs, and the Gromov–Trofimov–Tessera–Tointon structure theory. Each of these is reusable well beyond this mission. Contributions formalizing Proposition 3.1 (two-cluster bound), Theorem 6.1 (joint gluing), Theorem 7.1 (criticality with a nilpotent quotient action) or Proposition 9.3 (subcritical exploration), or the cited Theorem 2.2 (Hutchcroft), are welcome.

Selected references

  • OpenAI, No percolation at criticality on quasi-transitive graphs, preprint, September 24, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/No-percolation-at-criticality-on-quasi-transitive-graphs-September-24-2026/paper.pdf
  • I. Benjamini, O. Schramm, Percolation beyond Zd\mathbb Z^dZd, many questions and a few answers, Electron. Commun. Probab., 1996. https://doi.org/10.1214/ECP.v1-978
  • I. Benjamini, R. Lyons, Y. Peres, O. Schramm, Critical percolation on any nonamenable group has no infinite clusters, Ann. Probab., 1999. https://doi.org/10.1214/aop/1022677450
  • T. Hutchcroft, Critical percolation on any quasi-transitive graph of exponential growth has no infinite clusters, C. R. Math., 2016. https://doi.org/10.1016/j.crma.2016.07.013
  • J. Hermon, T. Hutchcroft, No percolation at criticality on certain groups of intermediate growth, IMRN, 2021. https://doi.org/10.1093/imrn/rnz265
  • R. Tessera, M. C. H. Tointon, A finitary structure theorem for vertex-transitive graphs of polynomial growth, Combinatorica, 2021. https://doi.org/10.1007/s00493-020-4295-6
  • G. Kozma, S. Nitzan, A reduction of the θ(p_c)=0 problem to a conjectured inequality, preprint, 2024. https://arxiv.org/abs/2401.12397
  • T. Hara, G. Slade, Mean-field critical behaviour for percolation in high dimensions, Comm. Math. Phys., 1990. https://doi.org/10.1007/BF02108785
  • H. Kesten, The critical probability of bond percolation on the square lattice equals 1/2, Comm. Math. Phys., 1980. https://doi.org/10.1007/BF01197577
  • Á. Timár, Percolation on nonunimodular transitive graphs, Ann. Probab., 2006. https://doi.org/10.1214/009117906000000494
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CombinatoricsGroup TheoryRepresentation Theory·Captain: wurtle

Universal Tensor Squares for Symmetric GroupsResearch Paper

Motivation: tensor squares that contain everything

The irreducible complex representations of the symmetric group SnS_nSn​ are indexed by partitions λ⊢n\lambda\vdash nλ⊢n and written SλS^\lambdaSλ (Specht modules). Decomposing a tensor product Sλ⊗SμS^\lambda\otimes S^\muSλ⊗Sμ (with the diagonal action) into irreducibles is governed by the Kronecker coefficients

g(λ,μ,ν)=dim⁡Hom⁡Sn ⁣(Sν, Sλ⊗Sμ),g(\lambda,\mu,\nu)=\dim\operatorname{Hom}_{S_n}\!\big(S^\nu,\,S^\lambda\otimes S^\mu\big),g(λ,μ,ν)=dimHomSn​​(Sν,Sλ⊗Sμ),

which have no known positive combinatorial formula and are a central open topic in algebraic combinatorics and geometric complexity theory. A basic test of how far tensor products spread is the tensor square conjecture: in every degree (with a few exceptions) some single irreducible representation has a tensor square containing every irreducible representation.

Timeline

  • 2012 — Saxl proposes (UCLA Combinatorics Seminar, 20 March 2012) that the staircase ρm=(m,m−1,…,1)\rho_m=(m,m-1,\dots,1)ρm​=(m,m−1,…,1) at triangular degree n=m(m+1)/2n=m(m+1)/2n=m(m+1)/2 has this property; recorded by Pak, Panova and Vallejo.
  • 2013 — Heide, Saxl, Tiep and Zalesski conjecture an analogous covering property for alternating simple groups (HSTZ 2013, Rem. 1.3(3)).
  • 2013/2016 — Pak, Panova and Vallejo state the tensor square conjecture for n≥3n\ge3n≥3, n≠4,9n\ne4,9n=4,9, and the Saxl conjecture, and give a character-nonvanishing criterion (PPV 2016, Conj. 1.1–1.2, Lemma 1.3).
  • 2015 — Ikenmeyer proves the staircase assertion for all ν\nuν comparable with the staircase in dominance order (Ikenmeyer 2015, Thm 2.1).
  • 2017 — Luo and Sellke: staircase squares contain almost all partitions, and fourth powers cover everything in large degree (Luo–Sellke 2017).
  • 2018 — Bessenrodt: all double-hook constituents (Bessenrodt 2018, Thm 4.10).
  • 2021 — Li: the triple-hook case, and a conjectured family for nontriangular degrees (Li 2021).
  • 2023 — Harman and Ryba: staircase tensor cubes contain everything (Harman–Ryba 2023, Thm 1.1).
  • 2026 — An OpenAI preprint, Universal Tensor Squares for Symmetric Groups (OpenAI Math Release, September 24, 2026), claims the tensor square conjecture for every n∉{2,4,9}n\notin\{2,4,9\}n∈/{2,4,9}, building on a companion preprint that proves Saxl's conjecture in a cyclic form. Neither preprint is peer reviewed and the main theorem is not formally verified; its proof uses exact computer calculations for degrees up to 646464.

Setting

For a Young diagram λ\lambdaλ with nnn cells, fix a bijection ttt between {0,…,n−1}\{0,\dots,n-1\}{0,…,n−1} and the cells (a tableau). The Lean development realizes SλS^\lambdaSλ inside the space of functions on words Fin n→Fin d\mathrm{Fin}\,n\to\mathrm{Fin}\,dFinn→Find (ddd = number of rows), with SnS_nSn​ acting by permuting letters: the polytabloid ete_tet​ is the signed sum, over the column group of ttt, of the permuted indicator of the row word of ttt, and Specht t is the C\mathbb CC-span of the SnS_nSn​-orbit of ete_tet​. The Kronecker coefficient kronecker a b t is finrank of the space of SnS_nSn​-intertwining maps from spechtRep t to the tensor product spechtRep a ⊗ spechtRep b. canonicalTableau λ is a fixed tableau of shape λ\lambdaλ.

Formalization targets

Goal: a universal tensor square in every degree n∉{2,4,9}n\notin\{2,4,9\}n∈/{2,4,9}

For every positive integer nnn with n≠2,4,9n\ne2,4,9n=2,4,9 there is a partition λ⊢n\lambda\vdash nλ⊢n such that

g(λ,λ,ν)>0for every ν⊢n,g(\lambda,\lambda,\nu)>0\qquad\text{for every }\nu\vdash n ,g(λ,λ,ν)>0for every ν⊢n,

so the tensor square Sλ⊗SλS^\lambda\otimes S^\lambdaSλ⊗Sλ contains every irreducible representation of SnS_nSn​. The Lean statement asserts, for one Young diagram λ\lambdaλ with nnn cells: positivity of kronecker for every target diagram ν\nuν with nnn cells; irreducibility of spechtRep for λ\lambdaλ; and that every finite-dimensional irreducible complex representation of SnS_nSn​ admits an injective intertwining map into Sλ⊗SλS^\lambda\otimes S^\lambdaSλ⊗Sλ. This is Theorem 1.1 of the source together with its "thus" sentence. The goal is published on the platform with status Open.

Significance

The result itself. The theorem settles the tensor square conjecture of Pak, Panova and Vallejo, including all nontriangular degrees. Since the sign representation occurs, the chosen λ\lambdaλ must be self-conjugate. Via Letellier's results it also gives tensor squares of unipotent characters of GLn(Fq)\mathrm{GL}_n(\mathbb F_q)GLn​(Fq​) that contain every unipotent character (Corollary 1.2 of the source). The companion cyclic Saxl theorem is used as input at staircase degrees.

Formalizing it. The proof combines representation-theoretic constructions with exact finite computations (Murnaghan–Nakayama recursion for all eligible n≤64n\le64n≤64, and capacity calculations), which the source certifies by included programs. A formal proof would replace these with checked computation and would require building Specht modules, Kronecker coefficients and branching rules in Lean, infrastructure Mathlib currently lacks.

Difficulty

Knowing that a smaller staircase square contains every constituent does not transfer to an enlarged diagram: constituents must survive a map from the actual enlarged tensor square, and the attached cells introduce alternating terms that can cancel. Almost-all or higher-power results (Luo–Sellke, Harman–Ryba) do not give a universal square. Small degrees cannot be handled by asymptotic estimates and require exact Kronecker computations, and n=2,4,9n=2,4,9n=2,4,9 are genuine exceptions.

Formalization scope

  • Partitions are Mathlib YoungDiagrams with card = n; the representation space is (Fin n → Fin d) → ℂ, and Specht t is the cyclic span of one polytabloid. kronecker is Module.finrank ℂ of Representation.IntertwiningMap, so it is the genuine multiplicity of SνS^\nuSν in the tensor square.
  • The third conjunct quantifies over all finite-dimensional complex irreducible representations in a fixed universe; proving it requires that every irreducible of SnS_nSn​ is isomorphic to some Specht module. The second conjunct (irreducibility of SλS^\lambdaSλ) is a standard fact the source uses implicitly.
  • n>0n>0n>0 and n≠2,4,9n\ne2,4,9n=2,4,9 match the source; n=1n=1n=1 is trivial.
  • Needed infrastructure: Specht module theory (irreducibility, completeness), characters and Murnaghan–Nakayama, Littlewood–Richardson branching, verified computation for n≤64n\le 64n≤64. The Specht and Kronecker layer is shared with the companion Saxl mission.

Selected references

  • I. Pak, G. Panova and E. Vallejo, Kronecker products, characters, partitions, and the tensor square conjectures, Adv. Math. 288 (2016), 702–731. https://doi.org/10.1016/j.aim.2015.11.002
  • G. Heide, J. Saxl, P. H. Tiep and A. E. Zalesski, Conjugacy action, induced representations and the Steinberg square for simple groups of Lie type, Proc. London Math. Soc. 106 (2013), 908–930. https://doi.org/10.1112/plms/pds062
  • C. Ikenmeyer, The Saxl conjecture and the dominance order, Discrete Math. 338 (2015), 1970–1975. https://doi.org/10.1016/j.disc.2015.04.027
  • S. Luo and M. Sellke, The Saxl conjecture for fourth powers via the semigroup property, J. Algebraic Combin. 45 (2017), 33–80. https://arxiv.org/abs/1511.02387v2
  • C. Bessenrodt, Critical classes, Kronecker products of spin characters, and the Saxl conjecture, Algebr. Comb. 1 (2018), 353–369. https://doi.org/10.5802/alco.18
  • X. Li, Saxl Conjecture for triple hooks, Discrete Math. 344 (2021), 112340. https://doi.org/10.1016/j.disc.2021.112340
  • N. Harman and C. Ryba, A tensor-cube version of the Saxl conjecture, Algebr. Comb. 6 (2023), 507–511. https://doi.org/10.5802/alco.267
  • E. Letellier, Tensor products of unipotent characters of general linear groups over finite fields, Transform. Groups 18 (2013), 233–262. https://doi.org/10.1007/s00031-013-9211-3
  • OpenAI, A Cyclic Polytabloid Proof of Saxl's Conjecture, OpenAI Math Release preprint, September 24, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-Cyclic-Polytabloid-Proof-of-Saxls-Conjecture-September-24-2026/paper.pdf
  • OpenAI, Universal Tensor Squares for Symmetric Groups, OpenAI Math Release preprint, September 24, 2026 (Theorem 1.1, p. 2). https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Universal-Tensor-Squares-for-Symmetric-Groups-September-24-2026/main.pdf
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CombinatoricsGraph TheoryTheoretical Computer Science·Captain: wurtle

A polynomial-time construction of strong thin treesResearch Paper

Motivation

A thin spanning tree of a graph is a spanning tree that uses only a small fraction of the edges of every cut. Thin trees were introduced for the asymmetric traveling salesman problem: Asadpour, Goemans, Mądry, Oveis Gharan and Saberi showed that a thin tree of low cost can be augmented into a cheap tour, giving an O(log⁡n/log⁡log⁡n)O(\log n/\log\log n)O(logn/loglogn)-approximation (doi:10.1287/opre.2017.1603). Goddyn conjectured that high edge connectivity forces thin trees; the strong thin tree conjecture asks for thinness C/kC/kC/k in every kkk-edge-connected multigraph. For applications one wants not just existence but an efficient algorithm that finds such a tree, also when parallel-edge multiplicities are huge and written in binary.

Background. The maximum-entropy rounding of Asadpour et al. constructs O(log⁡n/(klog⁡log⁡n))O(\log n/(k\log\log n))O(logn/(kloglogn))-thin trees. Oveis Gharan and Saberi constructed O(1/k)O(1/k)O(1/k)-thin trees on planar and bounded-genus graphs (2011, doi:10.1137/1.9781611973082.75). Anari and Oveis Gharan proved existence of poly(log⁡log⁡n)/k\mathrm{poly}(\log\log n)/kpoly(loglogn)/k-thin trees in general (2015, arXiv:1411.4613), without a polynomial-time construction. Klein and Olver (2023, doi:10.1109/FOCS57990.2023.00011) and Klein, Olver and Yeoh (2026, doi:10.4230/LIPIcs.ICALP.2026.129) handled laminar families and near-minimum cuts. A companion OpenAI preprint claims the existence statement of the strong conjecture.

The source of this mission, an OpenAI preprint dated September 23, 2026, claims a deterministic polynomial-time construction.

Setting

Graphs are finite undirected loopless multigraphs; parallel copies count separately. For ∅≠S⊊V(G)\varnothing\ne S\subsetneq V(G)∅=S⊊V(G), δG(S)\delta_G(S)δG​(S) is the multiset of edges with exactly one endpoint in SSS, and GGG is kkk-edge-connected if ∣δG(S)∣≥k|\delta_G(S)|\ge k∣δG​(S)∣≥k for every such SSS. A spanning tree TTT is α\alphaα-thin if ∣δT(S)∣≤α∣δG(S)∣|\delta_T(S)|\le\alpha|\delta_G(S)|∣δT​(S)∣≤α∣δG​(S)∣ for all such SSS. Two input formats are allowed: an explicit list of labelled edge copies, or a list of endpoint pairs with multiplicities written in binary (so the number of edges can be exponential in the input length). Running time is measured in the total binary input length.

Formalization targets

Goal: Theorem 1.1 (algorithmic strong thin trees)

There is an absolute constant CCC and a deterministic algorithm that, given k≥1k\ge1k≥1 and a kkk-edge-connected multigraph GGG on at least one vertex (in either format), returns in time polynomial in the input length a spanning tree TTT with

∣δT(S)∣≤Ck ∣δG(S)∣(∅≠S⊊V(G)),|\delta_T(S)|\le\frac Ck\,|\delta_G(S)|\qquad(\varnothing\ne S\subsetneq V(G)),∣δT​(S)∣≤kC​∣δG​(S)∣(∅=S⊊V(G)),

returning the empty tree for a one-vertex graph. Lean: OAI.AlgorithmicThinTrees.algorithmic_strong_thin_trees, open on the platform.

Significance

The theorem would give an algorithmic resolution of the strong thin tree conjecture: not only do C/kC/kC/k-thin trees exist, they can be found deterministically in polynomial time, even for exponentially many parallel edges. It also yields simultaneous cost-and-cut rounding (Corollary 7.1): from a fractional point whose mass on every cut is at least one, a tree in its support with every cut load and total cost within constant factors, with no metric assumption on costs. The order 1/k1/k1/k is optimal. The result is claimed in an OpenAI preprint that has not been peer reviewed; no machine-checked proof exists.

Difficulty

Existence proofs for thin trees go through the Marcus–Spielman–Srivastava interlacing-families theorem and a fixed-point argument, neither of which is constructive: they show that some choice works without locating it. The algorithm must replace these by explicit, rational, polynomially sized computations (checked signings, rational positive semidefinite decompositions, bounded denominators) and must work with binary multiplicities, where even listing the edges is exponential. Certifying thinness on all exponentially many cuts must also be done without enumerating them.

Formalization scope

  • Graphs: StrongThinTree.MultiGraph n m (vertices Fin n, edges Fin m, loopless). Inputs are ExplicitInput or BinaryInput (ordered, distinct endpoint pairs with multiplicities); a binary input's edge copies are Σ i, Fin (multiplicity i).
  • Valid x: n≥1n\ge1n≥1, k≥1k\ge1k≥1 and EdgeConnected k.
  • The machine model is CurrentKS.Machine: a deterministic machine with finitely many binary stacks and a finite instruction table, run for a fuel bound. Inputs and outputs are self-delimiting binary encodings (CurrentKS.encodeNat).
  • AlgorithmicStrongThinTrees: ∃ C > 0, ∃ M a degree, 0 < a ∧ ∀ x, Valid x → after a * (len + 1)^degree steps M has halted and its output stack encodes a duplicate-free edge list forming a ThinTree C k; for n=1n=1n=1 the output is empty.
  • One machine and one polynomial serve all inputs in both formats.

Needed infrastructure: the existence theory of the companion mission, a model of deterministic computation with polynomial-time bounds, exact rational linear algebra, and constructive spectral sparsification. Contributions formalizing Proposition 2.5, Proposition 3.1, Lemma 6.1, Theorem A.1 (rational rank-one signing) or Corollary 7.1 are welcome.

Selected references

  • OpenAI, A polynomial-time construction of strong thin trees, preprint, September 23, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-polynomial-time-construction-of-strong-thin-trees-September-23-2026/paper.pdf
  • OpenAI, The strong thin tree conjecture, preprint, September 23, 2026.
  • A. Asadpour, M. X. Goemans, A. Mądry, S. Oveis Gharan, A. Saberi, An O(log n/log log n)-approximation algorithm for the asymmetric traveling salesman problem, Oper. Res., 2017. https://doi.org/10.1287/opre.2017.1603
  • N. Anari, S. Oveis Gharan, Effective-resistance-reducing flows, spectrally thin trees, and asymmetric TSP, FOCS, 2015. https://arxiv.org/abs/1411.4613
  • S. Oveis Gharan, A. Saberi, The asymmetric traveling salesman problem on graphs with bounded genus, SODA, 2011. https://doi.org/10.1137/1.9781611973082.75
  • N. Klein, N. Olver, Thin trees for laminar families, FOCS, 2023. https://doi.org/10.1109/FOCS57990.2023.00011
  • N. Klein, N. Olver, Z. S. Yeoh, Thin trees for near minimum cuts, ICALP, 2026. https://doi.org/10.4230/LIPIcs.ICALP.2026.129
  • O. Svensson, J. Tarnawski, L. A. Végh, A constant-factor approximation algorithm for the asymmetric traveling salesman problem, J. ACM, 2020. https://doi.org/10.1145/3424306
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CombinatoricsGraph TheoryRepresentation Theory·Captain: wurtle

Elementary positivity of chromatic quasisymmetric functionsResearch Paper

Motivation: the Shareshian–Wachs elementary-positivity conjecture

The chromatic symmetric function of a graph, introduced by Stanley, records all proper colorings of the graph with infinitely many colors as a symmetric function; it refines the chromatic polynomial. Whether it expands with nonnegative coefficients in the basis of elementary symmetric functions ("eee-positivity") is a central question in algebraic combinatorics. The Stanley–Stembridge conjecture (1993) predicted eee-positivity for incomparability graphs of (3+1)(3+1)(3+1)-free posets; it arose from positivity questions for immanants of Jacobi–Trudi matrices. Shareshian and Wachs introduced a qqq-graded refinement, the chromatic quasisymmetric function, which tracks ascents of colorings along edges, and conjectured that for natural unit interval graphs its elementary coefficients are polynomials in qqq with nonnegative integer coefficients. The qqq-refinement is tied to geometry: it describes the graded representation of the symmetric group on the cohomology of regular semisimple Hessenberg varieties.

Timeline

  • 1993 — Stanley and Stembridge formulate the eee-positivity conjecture for (3+1)(3+1)(3+1)-free posets (J. Combin. Theory Ser. A 1993); Haiman's immanant results imply Schur positivity (JAMS 1993).
  • 1995 — Stanley introduces the chromatic symmetric function (Adv. Math. 1995).
  • 1996 — Gasharov gives a positive Schur expansion via poset tableaux (Discrete Math. 1996).
  • 2012/2016 — Shareshian and Wachs introduce the chromatic quasisymmetric function, prove its symmetry and Schur positivity for natural unit interval graphs, and conjecture elementary positivity over N[q]\mathbb N[q]N[q] and the Hessenberg connection (Configuration Spaces 2012; Adv. Math. 2016).
  • 2013 — Guay-Paquet reduces the Stanley–Stembridge conjecture to unit interval orders (arXiv:1306.2400).
  • 2015 — Athanasiadis gives a power-sum expansion (Electron. J. Combin. 2015).
  • 2016–2018 — Brosnan–Chow (Adv. Math. 2018) and Guay-Paquet (arXiv:1601.05498) prove the Hessenberg representation identity.
  • 2019–2023 — Positivity for substantial subfamilies: abelian Hessenberg varieties (Harada–Precup 2019), explicit expansions (Cho–Huh 2019), melting lollipops (Huh–Nam–Yoo 2020), abelian Dyck paths via qqq-rook theory (Colmenarejo–Morales–Panova 2023); the modular law of Abreu and Nigro (J. Combin. Theory Ser. A 2021).
  • 2024–2025 — Hikita proves the Stanley–Stembridge conjecture (q=1q=1q=1) via a probabilistic formula (arXiv:2410.12758); his weights do not give coefficientwise positivity in N[q]\mathbb N[q]N[q]. Griffin, Mellit, Romero, Weigl and Wen give an independent proof (arXiv:2504.06936).
  • 2026 — The OpenAI preprint Elementary positivity of chromatic quasisymmetric functions (OpenAI Math Release, September 24, 2026) claims elementary positivity over N[q]\mathbb N[q]N[q] for all natural unit interval graphs, with an explicit permutation witness. It has not been peer reviewed and its theorem is not formally verified.

Setting

Let h:[n]→[n]h:[n]\to[n]h:[n]→[n] be weakly increasing with i≤h(i)i\le h(i)i≤h(i). The natural unit interval graph G=G(h)G=G(h)G=G(h) has vertices [n]={1,…,n}[n]=\{1,\dots,n\}[n]={1,…,n} and edges {i,j}\{i,j\}{i,j} with i<j≤h(i)i<j\le h(i)i<j≤h(i). A proper coloring f:[n]→N>0f:[n]\to\mathbb N_{>0}f:[n]→N>0​ gives different colors to adjacent vertices, and asc⁡G(f)\operatorname{asc}_G(f)ascG​(f) counts edges {a<b}\{a<b\}{a<b} with f(a)<f(b)f(a)<f(b)f(a)<f(b). The chromatic quasisymmetric function is

χG(X;q)=∑f properqasc⁡G(f)∏a=1nxf(a).\chi_G(X;q)=\sum_{f\ \text{proper}} q^{\operatorname{asc}_G(f)}\prod_{a=1}^n x_{f(a)} .χG​(X;q)=f proper∑​qascG​(f)a=1∏n​xf(a)​.

For a partition λ\lambdaλ, eλ=∏ieλie_\lambda=\prod_i e_{\lambda_i}eλ​=∏i​eλi​​ with ek=∑i1<⋯<ikxi1⋯xike_k=\sum_{i_1<\dots<i_k}x_{i_1}\cdots x_{i_k}ek​=∑i1​<⋯<ik​​xi1​​⋯xik​​. Let DG0D^0_GDG0​ be the set of permutations σ\sigmaσ (as words σ1⋯σn\sigma_1\cdots\sigma_nσ1​⋯σn​) such that every adjacent descent σi>σi+1\sigma_i>\sigma_{i+1}σi​>σi+1​ is an edge, and ginv⁡G(σ)\operatorname{ginv}_G(\sigma)ginvG​(σ) the number of inversions i<ji<ji<j, σi>σj\sigma_i>\sigma_jσi​>σj​, with {σi,σj}\{\sigma_i,\sigma_j\}{σi​,σj​} an edge.

In Lean (namespace OAI.ElementaryPositivity), NaturalUnitIntervalGraph n stores a monotone extensive h : Fin n → Fin n; chromatic r is χG\chi_GχG​ in rrr variables as an MvPolynomial (Fin r) (Polynomial ℕ); Nondescent and graphInversions define DG0D^0_GDG0​ and ginv⁡G\operatorname{ginv}_GginvG​; a PermutationWitness is a map θ:DG0→{λ⊢n}\theta:D^0_G\to\{\lambda\vdash n\}θ:DG0​→{λ⊢n} together with the identity below in every number rrr of variables, using Mathlib's MvPolynomial.esymmPart.

Formalization targets

Goal: elementary positivity with a permutation witness (Theorem 1.1)

For every nnn and every natural unit interval graph GGG on [n][n][n] there is a map θG:DG0→{λ⊢n}\theta_G:D^0_G\to\{\lambda\vdash n\}θG​:DG0​→{λ⊢n} with

χG(X;q)=∑σ∈DG0qginv⁡G(σ) eθG(σ)(X).\chi_G(X;q)=\sum_{\sigma\in D^0_G} q^{\operatorname{ginv}_G(\sigma)}\,e_{\theta_G(\sigma)}(X).χG​(X;q)=σ∈DG0​∑​qginvG​(σ)eθG​(σ)​(X).

In particular every elementary coefficient of χG\chi_GχG​ lies in N[q]\mathbb N[q]N[q]. The goal is published on the platform with status Open.

Significance

The result itself. The theorem resolves the elementary-positivity part of the Shareshian–Wachs conjecture, and at q=1q=1q=1, via Guay-Paquet's reduction, recovers the Stanley–Stembridge conjecture first proved by Hikita. It is stronger than positivity: it gives a combinatorial witness, assigning each permutation of DG0D^0_GDG0​ an elementary partition while preserving its graph-inversion weight. Through the Brosnan–Chow/Guay-Paquet identity, it implies that each graded piece of the cohomology of a regular semisimple Hessenberg variety is a direct sum of Young permutation modules with multiplicities counted by the witness (Corollary 1.2). Elementary unimodality, the other part of the Shareshian–Wachs conjecture, is not addressed.

Formalizing it. The statement is a finite polynomial identity for each nnn, GGG and rrr, fully expressible with Mathlib's multivariate polynomials and elementary symmetric polynomials. A machine-checked proof would certify a long bijective argument (walls, triangle moves, witness completion) with many case distinctions.

Difficulty

The coloring definition already has nonnegative coefficients in the monomial basis, but rewriting in the elementary basis involves subtraction, so positivity is not visible from the definition. Earlier positive formulas (Schur expansions, power-sum expansions, the acyclic-orientation formula) group partitions or work at q=1q=1q=1, and Hikita's probabilistic formula has rational qqq-weights that are only positive at real q>0q>0q>0, not coefficientwise. A proof over N[q]\mathbb N[q]N[q] must produce, for each elementary partition and each power of qqq, a nonnegative integer count, uniformly over all graphs.

Formalization scope

  • Graphs are encoded by h : Fin n → Fin n monotone with i ≤ h i (zero-indexed); edges are i<j≤h(i)i<j\le h(i)i<j≤h(i) in either order.
  • Colorings use rrr colors Fin r and the identity is required for every r∈Nr\in\mathbb Nr∈N, which is equivalent to the identity of symmetric functions since both sides are homogeneous of degree nnn.
  • Coefficients live in Polynomial ℕ, so nonnegativity in N[q]\mathbb N[q]N[q] is built into the statement; the witness theta is an arbitrary function on the finite set DG0D^0_GDG0​. The source's additional assertion that θG\theta_GθG​ is produced by a deterministic terminating procedure is not encoded, but any such function on a finite set is computable by search, so nothing of mathematical substance is lost.
  • Needed infrastructure: symmetric functions in finitely many variables, elementary basis manipulations, and bijections on ordered independent-set collections. These are reusable for other chromatic-function and LLT-positivity problems.

Selected references

  • R. P. Stanley and J. R. Stembridge, On immanants of Jacobi–Trudi matrices and permutations with restricted position, J. Combin. Theory Ser. A 62 (1993). https://doi.org/10.1016/0097-3165(93)90048-D
  • R. P. Stanley, A symmetric function generalization of the chromatic polynomial of a graph, Adv. Math. 111 (1995), 166–194. https://doi.org/10.1006/aima.1995.1020
  • J. Shareshian and M. L. Wachs, Chromatic quasisymmetric functions, Adv. Math. 295 (2016). https://doi.org/10.1016/j.aim.2015.12.018
  • M. Guay-Paquet, A modular law for the chromatic symmetric functions of (3+1)-free posets, arXiv:1306.2400 (2013). https://arxiv.org/abs/1306.2400v1
  • P. Brosnan and T. Y. Chow, Unit interval orders and the dot action on the cohomology of regular semisimple Hessenberg varieties, Adv. Math. 329 (2018), 955–1001. https://doi.org/10.1016/j.aim.2018.02.020
  • A. Abreu and A. Nigro, Chromatic symmetric functions from the modular law, J. Combin. Theory Ser. A 180 (2021). https://doi.org/10.1016/j.jcta.2021.105407
  • T. Hikita, A proof of the Stanley–Stembridge conjecture, arXiv:2410.12758 (2024, revised 2025). https://arxiv.org/abs/2410.12758v2
  • S. T. Griffin, A. Mellit, M. Romero, K. Weigl and J. J. Wen, On Macdonald expansions of q-chromatic symmetric functions and the Stanley–Stembridge conjecture, arXiv:2504.06936 (2025). https://arxiv.org/abs/2504.06936v1
  • OpenAI, Elementary positivity of chromatic quasisymmetric functions, OpenAI Math Release preprint, September 24, 2026 (Theorem 1.1, p. 2; Corollary 1.2, p. 4). https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Elementary-Positivity-of-Chromatic-Quasisymmetric-Functions-September-24-2026/paper.pdf
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CombinatoricsGraph Theory·Captain: wurtle

A counterexample to Ryser's covering conjectureResearch Paper

Motivation

A vertex cover of a hypergraph HHH is a set of vertices meeting every edge; the covering number τ(H)\tau(H)τ(H) is the minimum size of a cover, and the matching number ν(H)\nu(H)ν(H) is the maximum number of pairwise disjoint edges. In an rrr-partite rrr-uniform hypergraph the vertices are split into rrr parts and every edge contains exactly one vertex from each part. Ryser's covering conjecture asserts

τ(H)≤(r−1) ν(H).\tau(H)\le(r-1)\,\nu(H).τ(H)≤(r−1)ν(H).

For r=2r=2r=2 it is Kőnig's theorem, so it proposes a higher-dimensional analogue of the most basic min–max theorem of bipartite matching theory. In the intersecting case (ν=1\nu=1ν=1) it asks for a cover of size r−1r-1r−1, and it is equivalent to Gyárfás's conjecture that r−1r-1r−1 monochromatic trees cover any rrr-edge-coloured complete graph.

Background. An equivalent formulation appears in Henderson's 1971 thesis (doi:10.7907/J1Z1-SK19). Aharoni proved the case r=3r=3r=3 in 2001 (doi:10.1007/s004930170001); Gyárfás and Tuza settled the intersecting case through r=5r=5r=5; Haxell and Scott (2012) proved τ≤(r−ϵ)ν\tau\le(r-\epsilon)\nuτ≤(r−ϵ)ν for r=4,5r=4,5r=4,5 (doi:10.37236/1175); Francetić, Herke, McKay and Wanless (2017) handled linear intersecting hypergraphs through rank nine (doi:10.1016/j.ejc.2016.10.004); Bishnoi, Das, Morris and Szabó (2021) treated ttt-intersecting hypergraphs (doi:10.1016/j.jcta.2020.105366). Truncated projective planes give equality whenever r−1r-1r−1 is a prime power; equality examples were studied by Mansour, Song and Yuster (2009, doi:10.1007/s00373-008-0821-9), Aharoni, Barát and Wanless (2016, doi:10.1007/s00373-015-1575-9) and Abu-Khazneh, Barát, Pokrovskiy and Szabó (2019, doi:10.1016/j.jcta.2018.07.011). Clow, Haxell and Mohar disproved Lovász's stronger matching-reduction conjecture at r=3r=3r=3 (doi:10.1007/s00493-026-00220-3), without contradicting Ryser's inequality.

The source of this mission, an OpenAI preprint dated September 23, 2026, claims intersecting counterexamples for ranks r=sn+1r=s^n+1r=sn+1.

Setting

A finite hypergraph is a finite set of edges, each a finite set of vertices. It is rrr-partite rrr-uniform if there is a map assigning each vertex one of rrr parts such that every edge contains exactly one vertex of each part. It is intersecting if it is nonempty and any two distinct edges share a vertex, so ν(H)=1\nu(H)=1ν(H)=1. Every edge of an intersecting hypergraph is itself a cover, so τ(H)≤r\tau(H)\le rτ(H)≤r always; a counterexample to Ryser's conjecture in the intersecting case needs τ(H)=r\tau(H)=rτ(H)=r.

Formalization targets

Milestone: special case of Theorem 1.1

There are a prime p>5p>5p>5 with p≡2(mod3)p\equiv2\pmod3p≡2(mod3) and NNN such that for every prime n≥Nn\ge Nn≥N, n>2n>2n>2, an intersecting (pn+1)(p^n+1)(pn+1)-partite (pn+1)(p^n+1)(pn+1)-uniform hypergraph with ν=1\nu=1ν=1 and τ=pn+1\tau=p^n+1τ=pn+1 exists.

Goal: Theorem 1.1

There is s0s_0s0​ such that for every prime s≥s0s\ge s_0s≥s0​ with s≡2(mod3)s\equiv2\pmod 3s≡2(mod3) there is n0(s)≥3n_0(s)\ge3n0​(s)≥3 such that for every odd n≥n0(s)n\ge n_0(s)n≥n0​(s), with q=snq=s^nq=sn, there is a finite intersecting (q+1)(q+1)(q+1)-partite (q+1)(q+1)(q+1)-uniform hypergraph HHH with

τ(H)=q+1>q=(r−1) ν(H).\tau(H)=q+1>q=(r-1)\,\nu(H).τ(H)=q+1>q=(r−1)ν(H).

In particular infinitely many ranks fail. Lean: OAI.RyserOdd.eventualOddFailures_and_infinite, open on the platform.

Significance

The theorem would disprove Ryser's conjecture in its intersecting case, and through the standard transfer (Corollary 1.2) also Gyárfás's monochromatic tree-cover conjecture, for the ranks sn+1s^n+1sn+1. The value τ=r\tau=rτ=r is the maximum possible. A companion preprint of the same family covers a different range of ranks (prime qqq, with balanced parts); the two constructions are independent apart from three elementary estimates. Thresholds are not numerical. The result is claimed in an OpenAI preprint that has not been peer reviewed; no machine-checked proof exists.

Difficulty

The truncated-plane examples sit exactly at τ=r−1\tau=r-1τ=r−1, and covers may mix vertices from different parts, so enlarging individual parts does not help. One must insert exceptional edges that destroy every cover of size qqq while preserving the intersecting property. Ruling out all small covers requires showing that any small cover contains almost a full pencil of lines, which over Fsn\mathbb F_{s^n}Fsn​ needs an incidence bound with a power saving (a Bourgain–Katz–Tao-type sum–product estimate) valid in fields whose proper subfields are small. This is where odd exponents and the congruence s≡2(mod3)s\equiv2\pmod3s≡2(mod3) enter.

Formalization scope

  • Hypergraph V := Finset (Finset V) over a finite type V with decidable equality.
  • RPartiteUniform r H: some part : V → Fin r with exactly one vertex of each part in every edge. Uniform r H: every edge has r vertices.
  • Intersecting: distinct edges meet. matchingNumber is the maximal size of a pairwise disjoint subfamily; coverNumber is sInf of cover sizes, and existence of a cover is asserted separately so the sInf is not the empty-set default.
  • ExplicitFailureAt r packages all of these with ν=1\nu=1ν=1, τ=r\tau=rτ=r and (r−1)ν<τ(r-1)\nu<\tau(r−1)ν<τ; the goal asserts it for the stated ranks and that the set of failing ranks is infinite.

Needed infrastructure: finite fields Fsn\mathbb F_{s^n}Fsn​ and their projective planes, incidence and sum–product estimates, and probabilistic selection arguments. Contributions formalizing Theorem 2.1 (uniform incidence saving), Lemma 3.2 (line covers after random deletions) or Theorem 4.1 (compatible translates from independent pools) are welcome.

Selected references

  • OpenAI, A counterexample to Ryser's covering conjecture, preprint, September 23, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-Counterexample-to-Rysers-Covering-Conjecture-September-23-2026/paper.pdf
  • J. R. Henderson, Permutation decompositions of (0,1)-matrices and decomposition transversals, PhD thesis, 1971. https://doi.org/10.7907/J1Z1-SK19
  • R. Aharoni, Ryser's conjecture for tripartite 3-graphs, Combinatorica, 2001. https://doi.org/10.1007/s004930170001
  • P. Haxell, A. Scott, On Ryser's conjecture, Electron. J. Combin., 2012. https://doi.org/10.37236/1175
  • N. Francetić, S. Herke, B. D. McKay, I. M. Wanless, On Ryser's conjecture for linear intersecting multipartite hypergraphs, European J. Combin., 2017. https://doi.org/10.1016/j.ejc.2016.10.004
  • A. Abu-Khazneh, J. Barát, A. Pokrovskiy, T. Szabó, A family of extremal hypergraphs for Ryser's conjecture, J. Combin. Theory Ser. A, 2019. https://doi.org/10.1016/j.jcta.2018.07.011
  • J. Bourgain, N. Katz, T. Tao, A sum-product estimate in finite fields, and applications, Geom. Funct. Anal., 2004. https://doi.org/10.1007/s00039-004-0451-1
  • A. Clow, P. Haxell, B. Mohar, A counterexample to a conjecture of Lovász, Combinatorica, 2026. https://doi.org/10.1007/s00493-026-00220-3
  • OpenAI, Balanced counterexamples to Ryser's conjecture at prime orders, preprint, September 27, 2026.
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Single-exponential recovery and bounded-price strictness for metric k-medianResearch Paper

Motivation

In metric kkk-median, a finite set JJJ (or DDD) of clients and a finite set FFF of candidate facilities lie in a common finite metric with rational distances. Given an integer k≥1k\ge1k≥1, one opens a nonempty set S⊆FS\subseteq FS⊆F with ∣S∣≤k|S|\le k∣S∣≤k and pays

cost(S)=∑j∈Jd(j,S),d(j,S)=min⁡i∈Sd(j,i),OPTk=min⁡S⊆F, 1≤∣S∣≤kcost(S).\mathrm{cost}(S)=\sum_{j\in J}d(j,S),\qquad d(j,S)=\min_{i\in S}d(j,i),\qquad \mathrm{OPT}_k=\min_{S\subseteq F,\ 1\le|S|\le k}\mathrm{cost}(S).cost(S)=j∈J∑​d(j,S),d(j,S)=i∈Smin​d(j,i),OPTk​=S⊆F, 1≤∣S∣≤kmin​cost(S).

Candidate facilities are part of the input and need not coincide with the clients. It is one of the basic clustering and facility-location objectives, and its approximability has been a testing ground for LP rounding, primal-dual methods and local search. The hard part of the problem is the facility budget: a solution with small connection cost is much easier to find if a few extra facilities may be opened, and every approximation algorithm must eventually enforce ∣S∣≤k|S|\le k∣S∣≤k on its output.

This mission concerns two tools for enforcing that budget and their combination into a randomized approximation strictly below factor 222 on arbitrary finite rational metrics, as stated in an OpenAI preprint dated September 24, 2026 (source). The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 2001–2002 — Jain and Vazirani connect kkk-median to facility location by Lagrangian relaxation and primal-dual methods (J. ACM 2001); Charikar, Guha, Tardos and Shmoys give the first constant-factor approximation by LP rounding (JCSS 2002); Jain, Mahdian and Saberi introduce greedy dual fitting (STOC 2002; J. ACM 2003).
  • 2004 — Arya et al. show that bounded-swap local search achieves 3+ε3+\varepsilon3+ε (SICOMP 2004).
  • 2016 — Li and Svensson show that constant-additive pseudo-approximations can be converted to true approximations at arbitrarily small loss, breaking the factor-333 barrier (SICOMP 2016).
  • 2017–2023 — Bi-point rounding: 2.675+ε2.675+\varepsilon2.675+ε (Byrka et al., TALG 2017) and 2.6132.6132.613 (Gowda et al., SODA 2023).
  • 2019 — Cohen-Addad, Gupta, Kumar, Lee and Li give a tight FPT (1+2/e+ε)(1+2/e+\varepsilon)(1+2/e+ε)-approximation in time kO(k)polyk^{O(k)}\mathrm{poly}kO(k)poly (ICALP 2019).
  • 2025–2026 — Cohen-Addad, Grandoni, Lee, Schwiegelshohn and Svensson reach 2+ε2+\varepsilon2+ε (arXiv:2503.10972); Byrka et al. develop iterative randomized rounding with 2+ε2+\varepsilon2+ε (arXiv:2604.06046).
  • September 2026 — Two OpenAI preprints claim a deterministic (1+2/e+ε)(1+2/e+\varepsilon)(1+2/e+ε)-approximation, matching the known hardness threshold (source), and an independent randomized (2−σ)(2-\sigma)(2−σ)-approximation via anchor recovery and bounded-price strictness (source).

Setting

Write n=∣D∣n=|D|n=∣D∣ and N=∣D∣+∣F∣N=|D|+|F|N=∣D∣+∣F∣. A comparison solution O⊆FO\subseteq FO⊆F of size hhh assigns each client to a nearest member of OOO (ties broken by fixed priorities); CiC_iCi​ is the cluster of i∈Oi\in Oi∈O and Pi=∑p∈Cid(p,i)P_i=\sum_{p\in C_i}d(p,i)Pi​=∑p∈Ci​​d(p,i), with P=cost(O)P=\mathrm{cost}(O)P=cost(O). An anchor is a supplied feasible S⊆FS\subseteq FS⊆F with ∣S∣=h|S|=h∣S∣=h. A certificate partitions OOO into good and bad centres and gives distinct proxies φi∈S\varphi_i\in Sφi​∈S for the good centres. A randomized polynomial-time algorithm is a polynomial-time multi-stack Turing machine that reads the encoded instance together with a string of fair random bits whose length is a fixed polynomial in the input length.

Formalization targets

Milestone: refined recovery (Theorem 1.1, p. 2)

Let D,FD,FD,F be disjoint, with distances between distinct indices positive integers bounded by a fixed polynomial in NNN. Fix ε>0\varepsilon>0ε>0, 0<L0<∞0<L_0<\infty0<L0​<∞ and a rational 0<μ≤min⁡{1/4,ε/12}0<\mu\le\min\{1/4,\varepsilon/12\}0<μ≤min{1/4,ε/12}. There is a randomized algorithm that, given an anchor SSS with ∣S∣=h≥1|S|=h\ge1∣S∣=h≥1 and a failure parameter ζ∈(0,1)\zeta\in(0,1)ζ∈(0,1), always returns S^⊆F\hat S\subseteq FS^⊆F with ∣S^∣≤h|\hat S|\le h∣S^∣≤h, runs in time polynomial in NNN and log⁡(1/ζ)\log(1/\zeta)log(1/ζ), and, whenever some comparison solution OOO of size hhh and cost P>0P>0P>0 admits a certificate with

∑i good∑p∈Cid(p,φi)≤∑i goodPi+μP,#{i bad}≤L0log⁡N,\sum_{i\ \mathrm{good}}\sum_{p\in C_i}d(p,\varphi_i)\le \sum_{i\ \mathrm{good}}P_i+\mu P,\qquad \#\{i\ \mathrm{bad}\}\le L_0\log N,i good∑​p∈Ci​∑​d(p,φi​)≤i good∑​Pi​+μP,#{i bad}≤L0​logN,

satisfies cost(S^)≤(1+2/e+ε)P\mathrm{cost}(\hat S)\le(1+2/e+\varepsilon)Pcost(S^)≤(1+2/e+ε)P with probability at least 1−ζ1-\zeta1−ζ. The algorithm is not given OOO, PPP or the certificate.

Goal: global application (Theorem 1.2, p. 3)

There is an absolute constant σ>0\sigma>0σ>0 such that for every fixed a>0a>0a>0 some randomized polynomial-time algorithm for metric kkk-median always returns a feasible SSS (nonempty, S⊆FS\subseteq FS⊆F, ∣S∣≤k|S|\le k∣S∣≤k) and satisfies

Pr⁡[cost(S)≤(2−σ) OPTk] ≥ 1−(∣D∣+∣F∣+2)−a,E cost(S)≤(2−σ) OPTk.\Pr\bigl[\mathrm{cost}(S)\le(2-\sigma)\,\mathrm{OPT}_k\bigr]\ \ge\ 1-(|D|+|F|+2)^{-a},\qquad \mathbb E\,\mathrm{cost}(S)\le(2-\sigma)\,\mathrm{OPT}_k .Pr[cost(S)≤(2−σ)OPTk​] ≥ 1−(∣D∣+∣F∣+2)−a,Ecost(S)≤(2−σ)OPTk​.

Significance

The result itself. Theorem 1.1 makes the running time single-exponential in the number of clusters without accurate proxies, so logarithmically many exceptions are tractable; FPT methods with kO(k)k^{O(k)}kO(k) dependence do not give this by setting k=O(log⁡N)k=O(\log N)k=O(logN). Combined with a new proof of bounded-price strictness for one compatible execution of the logarithmic-surplus construction of Cohen-Addad, Grandoni, Lee, Schwiegelshohn and Svensson (Lemma 8.1, p. 43), it yields Theorem 1.2: a randomized approximation strictly below 222, both with high probability and in expectation, that opens at most kkk facilities on every output. A companion preprint proves a stronger deterministic (1+2/e+ε)(1+2/e+\varepsilon)(1+2/e+ε) bound by an independent route; Theorem 1.2's interest is the way recovery and payment accounting together enforce the budget.

Formalizing it. The statements are fully explicit about the machine model, the random bits, and the input encoding. A formal proof would need local-search anchoring (Theorem 3.3), leader/ball sampling with amortized radius guesses (Section 4), a finite categorical continuous-greedy algorithm with explicit error (Lemma 5.1, p. 21), the surplus construction as an external interface (Theorem 7.1, p. 35), and metric rounding and transfer (Lemma 2.1, p. 6). The submodular-optimization and local-search components are reusable.

Difficulty

Every factor-222 dual-fitting argument charges λ+2PC\lambda+2P_Cλ+2PC​ to a client set CCC served by a comparison facility, which gives exactly 222; improving the constant requires saving on connection cost while still paying for all hhh regular openings with one final price, one set of copy lengths and the budgets of one actual replay of the construction (Section 1.2, p. 3). On the recovery side, guessing a good solution from an anchor naively costs kO(k)k^{O(k)}kO(k); keeping the dependence single-exponential in the number of bad clusters requires interleaving leader sampling and removals and amortizing radius guesses over disjoint client sets (Section 4). Theorem 1.1 holds only for normalized integral metrics; the global application must construct its anchors after normalization and transfer the final cost bound back (Lemma 2.1, p. 6).

Formalization scope

  • RationalMetricInput: points Fin pointCount, a rational pseudometric table (zero on the diagonal, symmetric, triangle inequality), client and facility Finsets covering all points (they may overlap, so clients and facilities may share locations), a nonempty facility set and a positive budget kkk. Feasible S is S⊆FS\subseteq FS⊆F, ∣S∣≤k|S|\le k∣S∣≤k, and SSS nonempty when there are clients; optimum minimizes over nonempty subsets of size ≤k\le k≤k.
  • A BinaryRandomizedAlgorithm is a TM2ComputableInPolyTime function of (input bits, random bits) with finite alphabets, using randomBits.eval (input length) fair bits; probabilities and expectations are uniform averages over all seeds.
  • In the goal, feasibility holds for every seed; the success bound is 1−(N+2)−a1-(N+2)^{-a}1−(N+2)−a with N=∣D∣+∣F∣N=|D|+|F|N=∣D∣+∣F∣ (Real.rpow); the same algorithm must also satisfy the expectation bound.
  • In the milestone, Input adds disjointness of DDD and FFF, integral distances, positivity between distinct indices, and an anchor with anchor.card = budget; Bounded bound caps distances by a fixed polynomial in NNN; ζ is passed in unary precision ⌈log⁡2(1/ζ)⌉\lceil\log_2(1/\zeta)\rceil⌈log2​(1/ζ)⌉, and PolynomialWork bounds work by c(N+1)d(1+log⁡(1/ζ))dc(N+1)^d(1+\log(1/\zeta))^dc(N+1)d(1+log(1/ζ))d. A Certificate encodes OOO with ∣O∣=h|O|=h∣O∣=h, P>0P>0P>0, the good set, injective proxies into the anchor, the proxy-cost promise with lexicographic tie-breaking, and at most L0log⁡NL_0\log NL0​logN bad centres.

Selected references

  • OpenAI, Single-exponential recovery and bounded-price strictness for metric k-median, OpenAI Math Release preprint, September 24, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Single-Exponential-Recovery-and-Bounded-Price-Strictness-for-Metric-k-Median-September-24-2026/paper.pdf
  • OpenAI, The approximation threshold for metric k-median, OpenAI Math Release preprint, September 24, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/The-Approximation-Threshold-for-Metric-k-Median-September-24-2026/main.pdf
  • V. Cohen-Addad, F. Grandoni, E. Lee, C. Schwiegelshohn, Breaching the 2 LMP approximation barrier for facility location with applications to k-median, arXiv:2207.05150 (2026 version). https://arxiv.org/abs/2207.05150v2
  • V. Cohen-Addad, C. Schwiegelshohn, On the local structure of stable clustering instances, FOCS 2017. https://doi.org/10.1109/FOCS.2017.14
  • G. Călinescu, C. Chekuri, M. Pál, J. Vondrák, Maximizing a monotone submodular function subject to a matroid constraint, SIAM J. Comput. 40 (2011). https://doi.org/10.1137/080733991
  • J. Vondrák, Optimal approximation for the submodular welfare problem in the value oracle model, STOC 2008. https://doi.org/10.1145/1374376.1374389
  • K. Jain, M. Mahdian, E. Markakis, A. Saberi, V. V. Vazirani, Greedy facility location algorithms analyzed using dual fitting with factor-revealing LP, J. ACM 50 (2003). https://doi.org/10.1145/950620.950621
  • K. Jain, V. V. Vazirani, Approximation algorithms for metric facility location and k-median problems using the primal-dual schema and Lagrangian relaxation, J. ACM 48 (2001). https://doi.org/10.1145/375827.375845
  • M. Charikar, S. Guha, É. Tardos, D. B. Shmoys, A constant-factor approximation algorithm for the k-median problem, JCSS 65 (2002). https://doi.org/10.1006/jcss.2002.1882
  • V. Arya, N. Garg, R. Khandekar, A. Meyerson, K. Munagala, V. Pandit, Local search heuristics for k-median and facility location problems, SIAM J. Comput. 33 (2004). https://doi.org/10.1137/S0097539702416402
  • S. Li, O. Svensson, Approximating k-median via pseudo-approximation, SIAM J. Comput. 45 (2016). https://doi.org/10.1137/130938645
  • J. Byrka, T. Pensyl, B. Rybicki, A. Srinivasan, K. Trinh, An improved approximation for k-median and positive correlation in budgeted optimization, ACM TALG 13 (2017). https://doi.org/10.1145/2981561
  • V. Cohen-Addad, A. Gupta, A. Kumar, E. Lee, J. Li, Tight FPT approximations for k-median and k-means, ICALP 2019. https://doi.org/10.4230/LIPIcs.ICALP.2019.42
  • V. Cohen-Addad, F. Grandoni, E. Lee, C. Schwiegelshohn, O. Svensson, A (2+ε)-approximation algorithm for metric k-median, arXiv:2503.10972 (2026 version). https://arxiv.org/abs/2503.10972v2
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A Polynomial-Time Algorithm for Three-Machine Unit-Job SchedulingResearch Paper

Motivation

A set of unit-length jobs with precedence constraints is to be run on a fixed number of identical machines so that all jobs finish as early as possible. For two machines this was solved in 1969–1972; for a number of machines given as part of the input the problem is NP-complete (Ullman, 1975). Whether the problem is polynomial-time solvable for three machines, written P3∣prec,pj=1∣Cmax⁡P3\mid\mathrm{prec},p_j=1\mid C_{\max}P3∣prec,pj​=1∣Cmax​, is problem OPEN8 in the appendix of Garey and Johnson's 1979 book and is one of the best-known open questions on the complexity of scheduling.

Timeline

  • 1969–1971. Fujii, Kasami and Ninomiya solve the two-processor case by matching (doi:10.1137/0117070, erratum doi:10.1137/0120018).
  • 1972. Coffman and Graham give an optimal list-scheduling algorithm for two processors (doi:10.1007/BF00288685).
  • 1975. Ullman proves NP-completeness when the number of machines is part of the input (doi:10.1016/S0022-0000(75)80008-0).
  • 1979. Garey and Johnson list the fixed-three-machine problem as OPEN8; Graham, Lawler, Lenstra and Rinnooy Kan introduce the standard notation (doi:10.1016/S0167-5060(08)70356-X).
  • 1983. Garey, Johnson, Tarjan and Yannakakis give a linear-time algorithm on three processors for opposing forests (doi:10.1137/0604011).
  • 1984. Dolev and Warmuth give an O(nh(m−1)+1)O(n^{h(m-1)+1})O(nh(m−1)+1) algorithm for precedence graphs of height hhh (doi:10.1016/0196-6774(84)90039-7).
  • 2016–2022. Approximation schemes for fixed machine counts: Levey and Rothvoß via LP hierarchies (doi:10.1145/2897518.2897532), Garg's quasi-PTAS (doi:10.4230/LIPIcs.ICALP.2018.59), Li (doi:10.1137/1.9781611976465.178), Das and Wiese (doi:10.4230/LIPIcs.ESA.2022.40).
  • 2025. Nederlof, Swennenhuis and Węgrzycki give an exact algorithm in time 2O(nlog⁡n)2^{O(\sqrt n\log n)}2O(n​logn) for three machines (doi:10.1137/1.9781611978322.16).

The source of this mission, an OpenAI preprint dated September 24, 2026, claims a deterministic polynomial-time algorithm.

Setting

The input is a directed acyclic graph G=(V,E)G=(V,E)G=(V,E) on V={1,…,n}V=\{1,\dots,n\}V={1,…,n}, n≥1n\ge1n≥1, given as an explicit list of arcs, and optionally an integer deadline TTT with 1≤T≤n1\le T\le n1≤T≤n. A feasible schedule with makespan at most TTT is a map

τ:V→{1,…,T}\tau:V\to\{1,\dots,T\}τ:V→{1,…,T}

such that each value is taken at most three times (three machines) and τ(u)<τ(v)\tau(u)<\tau(v)τ(u)<τ(v) for every arc (u,v)∈E(u,v)\in E(u,v)∈E (precedence). Slot ttt means execution during [t−1,t)[t-1,t)[t−1,t). There are no release dates, communication delays or other resources. The input length LLL is the length of the binary encoding of the graph and deadline.

Formalization targets

Goal: Theorem 1.1

There is a single deterministic multitape Turing machine MMM and a constant CCC such that, on every such input of length LLL, MMM halts within

C (L+2)150020C\,(L+2)^{150020}C(L+2)150020

steps and

  • without a deadline, outputs a feasible schedule of minimum makespan;
  • with a deadline TTT, outputs "infeasible" exactly when no feasible schedule with makespan at most TTT exists, and otherwise outputs one.

The exponent is the one stated in the paper and is not optimized; the content of the theorem is that a fixed polynomial bound exists. The Lean statement OAI.ThreeMachine.main_theorem is open on the platform.

Significance

The theorem resolves the polynomial-time side of Garey and Johnson's OPEN8: unit-job makespan scheduling with arbitrary precedence constraints on three identical machines lies in P. Previous exact algorithms were either restricted to special precedence structures (forests, bounded height) or subexponential, and approximation schemes did not decide the optimum. The structural statement behind the algorithm, that feasible schedules admit recursive decompositions whose interval job sets have descriptions of bounded size, may be of independent use for other fixed-machine scheduling problems. No practical running time is claimed.

The result is claimed in an OpenAI preprint; it has not been peer reviewed and no machine-checked proof exists. A formal proof would also certify the running-time analysis in an explicit machine model, which is rarely done for algorithmic results of this size.

Difficulty

Removing selected slots from a feasible schedule leaves gaps that can be rescheduled independently, which suggests a recursive search over the job sets of gaps. The obstacle is their number: naming a gap by its two boundary triples does not determine its job set, and intersecting descriptions inherited from ancestors can make the descriptions grow without bound along a recursion of linear depth. The subexponential decomposition of Nederlof–Swennenhuis–Węgrzycki controls the number of subproblems only up to 2O(nlog⁡n)2^{O(\sqrt n\log n)}2O(n​logn); a polynomial bound needs every subproblem to have a global description of constant size.

Formalization scope

  • Instance n is a list of arcs on Fin n; acyclic forbids a Relation.TransGen cycle. Jobs are Fin n (shifted to 1,…,n1,\dots,n1,…,n in the encoding).
  • Feasible G T τ: slots in [1,T][1,T][1,T], at most three jobs per slot, strict precedence.
  • CorrectOutput distinguishes the optimization mode (none) and the decision mode (some T).
  • The machine model is a custom multitape Turing machine Machine k q g over Fin (g+3) with k+1k+1k+1 tapes; input on tape 0 encoded by encodeInput (self-delimiting binary numbers), output read from tape 0 after halting. The time bound is C (L+2)150020C\,(L+2)^{150020}C(L+2)150020 with LLL the encoded length.
  • The quantifiers are ordered so that the machine and constant are fixed before the instance (uniformity).

A complete development needs the combinatorics of the decomposition (separators and bounded global descriptions), a dynamic program over polynomially many descriptions, and its implementation and time analysis on the given Turing machine model. Contributions formalizing the purely combinatorial structure theorem, independently of the machine model, are welcome.

Selected references

  • OpenAI, A Polynomial-Time Algorithm for Three-Machine Unit-Job Scheduling, preprint, September 24, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-polynomial-time-algorithm-for-three-machine-unit-job-scheduling-September-24-2026/paper.pdf
  • M. R. Garey, D. S. Johnson, Computers and Intractability: A Guide to the Theory of NP-Completeness, W. H. Freeman, 1979.
  • E. G. Coffman Jr., R. L. Graham, Optimal scheduling for two-processor systems, Acta Inform., 1972. https://doi.org/10.1007/BF00288685
  • J. D. Ullman, NP-complete scheduling problems, J. Comput. System Sci., 1975. https://doi.org/10.1016/S0022-0000(75)80008-0
  • D. Dolev, M. K. Warmuth, Scheduling precedence graphs of bounded height, J. Algorithms, 1984. https://doi.org/10.1016/0196-6774(84)90039-7
  • J. Nederlof, C. M. F. Swennenhuis, K. Węgrzycki, A subexponential time algorithm for makespan scheduling of unit jobs with precedence constraints, SODA 2025. https://doi.org/10.1137/1.9781611978322.16
  • E. Levey, T. Rothvoß, A (1+ϵ)(1+\epsilon)(1+ϵ)-approximation for makespan scheduling with precedence constraints using LP hierarchies, STOC 2016. https://doi.org/10.1145/2897518.2897532
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Uniform computation of the squared-logarithmic k-server boundResearch Paper

Motivation

In the kkk-server problem, kkk labelled servers occupy points of a metric space, requests arrive online, and each request is served by moving one server onto it; the cost is the total distance moved, compared with the offline optimum through the competitive ratio. A companion OpenAI preprint claims that on every metric there exists a randomized policy with ratio O(log⁡2(k+1))O(\log^2(k+1))O(log2(k+1)) against oblivious requests, matching the known worst-case lower bound. That result is an existence statement: it gives no procedure for computing the policy's probabilities.

This mission asks whether the bound can be realized by one uniform algorithm with explicit bit complexity on all finite rational metrics, as stated in an OpenAI preprint dated September 24, 2026 (source). The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 1988–1990 — Manasse, McGeoch and Sleator introduce the kkk-server problem and prove the deterministic lower bound kkk (STOC 1988; J. Algorithms 1990).
  • 1991 — Paging (the uniform metric): Fiat, Karp, Luby, McGeoch, Sleator and Young give the randomized marking algorithm and the harmonic lower bound (J. Algorithms 1991); McGeoch and Sleator attain HkH_kHk​ exactly (Algorithmica 1991). This suggested the randomized kkk-server conjecture, an O(log⁡k)O(\log k)O(logk) ratio on every metric.
  • 1995 — Koutsoupias and Papadimitriou prove that the work function algorithm is (2k−1)(2k-1)(2k−1)-competitive (J. ACM 1995).
  • 1996–2004 — Probabilistic tree embeddings: Bartal (FOCS 1996) and Fakcharoenphol–Rao–Talwar with distortion O(log⁡n)O(\log n)O(logn) (JCSS 2004).
  • 2012–2015 — Bansal, Buchbinder and Naor give O(log⁡k)O(\log k)O(logk) for weighted paging (J. ACM 2012); Bansal, Buchbinder, Mądry and Naor give the first polylogarithmic bound O(log⁡2klog⁡3nlog⁡log⁡n)O(\log^2k\log^3n\log\log n)O(log2klog3nloglogn) on arbitrary finite metrics (J. ACM 2015).
  • 2018 — Bubeck, Cohen, Lee, Lee and Mądry achieve O(log⁡2k)O(\log^2 k)O(log2k) on hierarchically separated trees, hence O(log⁡2klog⁡n)O(\log^2k\log n)O(log2klogn) on nnn-point metrics (STOC 2018).
  • 2023 — Bubeck, Coester and Rabani disprove the randomized kkk-server conjecture: some (k+1)(k+1)(k+1)-point metrics need ratio Ω(log⁡2k)\Omega(\log^2k)Ω(log2k) (STOC 2023).
  • 2026 — Coester and Cosson make the tree and finite-metric bounds polynomial-time, with ratio O(log⁡nlog⁡2k)O(\log n\log^2k)O(lognlog2k) on general metrics (ICALP 2026).
  • September 2026 — Two OpenAI preprints claim the matching upper bound O(log⁡2(k+1))O(\log^2(k+1))O(log2(k+1)) on every metric space (source) and a uniform bit-level implementation on finite rational metrics (source).

Setting

Fix n≥3n\ge3n≥3 and 2≤k<n2\le k<n2≤k<n. A rational metric on X={1,…,n}X=\{1,\dots,n\}X={1,…,n} is a table d(x,y)∈Qd(x,y)\in\mathbb Qd(x,y)∈Q that is nonnegative, zero exactly on the diagonal, symmetric, and satisfies the triangle inequality. An initial labelled tuple s∈Xks\in X^ks∈Xk may have repetitions. For a request word σ\sigmaσ, costA,s(σ)\mathrm{cost}_{A,s}(\sigma)costA,s​(σ) is the algorithm's total movement and OPTs(σ)\mathrm{OPT}_s(\sigma)OPTs​(σ) the minimum over all choices of serving labels with knowledge of σ\sigmaσ. LLL denotes the total binary length of the encoding of (n,k,d,s)(n,k,d,s)(n,k,d,s).

The computational model is a bit machine: a finite control with an input tape, finitely many work tapes over {0,1,blank}\{0,1,\text{blank}\}{0,1,blank}, an output channel, and one fresh unbiased random bit per step. At each request the input tape is replaced by the encoded request, the internal state is retained, and the output after the step budget names the server to move.

Formalization targets

Goal: Theorem 1.1 (p. 1)

There are an absolute constant CCC and a polynomial ppp such that a single uniform randomized online algorithm, on every instance (n,k,d,s)(n,k,d,s)(n,k,d,s) as above,

  • preprocesses the instance in at most p(L)p(L)p(L) bit operations;
  • serves request rtr_trt​, for every reachable history and internal state, in at most p(L+⌈log⁡2(t+1)⌉)p\bigl(L+\lceil\log_2(t+1)\rceil\bigr)p(L+⌈log2​(t+1)⌉) further bit operations, outputting a valid server label and moving exactly that server;
  • for every fixed finite request sequence σ\sigmaσ independent of its random bits satisfies
E costA,s(σ) ≤ C (log⁡(k+1))2 OPTs(σ)+Bd,k,s,\mathbb E\,\mathrm{cost}_{A,s}(\sigma)\ \le\ C\,\bigl(\log(k+1)\bigr)^2\,\mathrm{OPT}_s(\sigma)+B_{d,k,s},EcostA,s​(σ) ≤ C(log(k+1))2OPTs​(σ)+Bd,k,s​,

with Bd,k,s<∞B_{d,k,s}<\inftyBd,k,s​<∞ independent of σ\sigmaσ and of its length.

Significance

The result itself. It converts the existence theorem into an algorithm whose ratio is independent of nnn, using only unbiased random bits and polynomial work per request in the input length and the bit length of the request counter. The price is an additive constant Bd,k,sB_{d,k,s}Bd,k,s​ with no size bound: the algorithm may serve a very long initial stretch with a fixed label while its constructor runs. Coester and Cosson obtain stronger time and randomness guarantees but with ratio O(log⁡nlog⁡2k)O(\log n\log^2k)O(lognlog2k) on general metrics; the two results are incomparable.

Formalizing it. The goal is stated in an explicit machine model, so a formal proof certifies both the competitive bound and the bit-complexity bound. It needs the companion existence theorem (Theorem 2.1 here, p. 4) as an input; a full development therefore also requires formalizing that theorem or taking it as a separate milestone. Exact rational linear algebra (Fourier–Motzkin elimination), dyadic rounding of probabilities, and step-counted machine simulation are reusable.

Difficulty

Knowing that a good policy exists does not give its probabilities, and a finite horizon alone does not control a long input on which the optimum barely moves. The preprint (pp. 3–4) solves a rational linear system for each horizon, then filters requests so that only those missed by some strongly lazy service with bounded moves are retained, which bounds the retained word length; a marking fallback pays for trajectories exceeding the move cap. The constructor's running time is uncontrolled, so the algorithm simulates it for only ⌊log⁡2(t+1)⌋\lfloor\log_2(t+1)\rfloor⌊log2​(t+1)⌋ steps at request ttt (Proposition 4.2, p. 14), and the delayed activation is absorbed into Bd,k,sB_{d,k,s}Bd,k,s​.

Formalization scope

  • RationalMetric n is a Fin n → Fin n → ℚ table with the metric axioms; configurations are Fin k → Fin n; offlineCost is the sInf over label histories matching the request word (a finite, nonempty set of costs).
  • BitMachine has finitely many controls and tapes and a transition consuming one coin per step. Preprocessing (boot) runs c(L+1)ec(L+1)^ec(L+1)e steps with all coins 000, so it is deterministic; this is satisfied by the source's deterministic constructor, and Theorem 1.1 does not require randomness there.
  • Each request runs exactly requestBudget c e L t =c(L+⌈log⁡2(t+1)⌉+1)e=c(L+\lceil\log_2(t+1)\rceil+1)^e=c(L+⌈log2​(t+1)⌉+1)e steps (Nat.clog 2 (t+1)) and must have yielded with output value <k<k<k for every reachable state and every coin string; requests are encoded by a fixed self-delimiting binary code.
  • machineExpectedCost averages over all coin strings of the step budget, i.e. uniformly random bits; the bound is required for every request list w, with B≥0B\ge0B≥0 chosen after (d,s)(d,s)(d,s) and before w.
  • The machine, the polynomial (c,e)(c,e)(c,e) and CCC are fixed before nnn, kkk, ddd, sss: the algorithm is uniform.

Selected references

  • OpenAI, Uniform computation of the squared-logarithmic k-server bound, OpenAI Math Release preprint, September 24, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Uniform-computation-of-the-squared-logarithmic-k-server-bound-September-24-2026/Uniform-computation-of-the-squared-logarithmic-k-server-bound-September-24-2026.pdf
  • OpenAI, Squared-logarithmic randomized k-server on arbitrary metrics, OpenAI Math Release preprint, September 24, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Squared-logarithmic-randomized-k-server-on-arbitrary-metrics-September-24-2026/Squared-logarithmic-randomized-k-server-on-arbitrary-metrics-September-24-2026.pdf
  • D. Komm, R. Královič, R. Královič, T. Mömke, Randomized online computation with high probability guarantees, Algorithmica (2022). https://doi.org/10.1007/s00453-022-00925-z
  • G. B. Dantzig, B. C. Eaves, Fourier–Motzkin elimination and its dual, J. Combin. Theory Ser. A 14 (1973). https://doi.org/10.1016/0097-3165(73)90004-6
  • M. S. Manasse, L. A. McGeoch, D. D. Sleator, Competitive algorithms for server problems, J. Algorithms 11 (1990). https://doi.org/10.1016/0196-6774(90)90003-W
  • E. Koutsoupias, C. H. Papadimitriou, On the k-server conjecture, J. ACM 42 (1995). https://doi.org/10.1145/210118.210128
  • A. Fiat, R. M. Karp, M. Luby, L. A. McGeoch, D. D. Sleator, N. E. Young, Competitive paging algorithms, J. Algorithms 12 (1991). https://doi.org/10.1016/0196-6774(91)90041-V
  • N. Bansal, N. Buchbinder, A. Mądry, J. Naor, A polylogarithmic-competitive algorithm for the k-server problem, J. ACM 62 (2015). https://doi.org/10.1145/2783434
  • S. Bubeck, M. B. Cohen, J. R. Lee, Y. T. Lee, A. Mądry, k-server via multiscale entropic regularization, STOC 2018. https://doi.org/10.1145/3188745.3188798
  • S. Bubeck, C. Coester, Y. Rabani, The randomized k-server conjecture is false!, STOC 2023. https://doi.org/10.1145/3564246.3585132
  • C. Coester, R. Cosson, Randomized k-server in polynomial time, ICALP 2026. https://doi.org/10.4230/LIPIcs.ICALP.2026.65
  • J. Fakcharoenphol, S. Rao, K. Talwar, A tight bound on approximating arbitrary metrics by tree metrics, JCSS 69 (2004). https://doi.org/10.1016/j.jcss.2004.04.011
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Staggered extraction for exact matrix multiplication over every fieldResearch Paper

Motivation: the matrix-multiplication exponent

Multiplying two n×nn\times nn×n matrices by the schoolbook method costs about n3n^3n3 operations. The matrix-multiplication exponent ωF\omega_FωF​ of a field FFF is the infimum of exponents τ\tauτ such that n×nn\times nn×n matrices over FFF can be multiplied with O(nτ+o(1))O(n^{\tau+o(1)})O(nτ+o(1)) additions, subtractions and multiplications. It governs the asymptotic cost of a central bilinear operation and of the many algorithms built from it (determinants, inversion, linear systems). Bounding ω\omegaω has driven algebraic complexity theory since 1969. In recent years the bounds have moved in the third and fourth decimal place, with each improvement coming from a finer analysis of the same tensor-power framework.

Background

  • 1969 — Strassen's seven-product algorithm gives ω≤log⁡27\omega\le\log_27ω≤log2​7 (Strassen 1969).
  • 1980–1987 — Approximate bilinear algorithms (Bini 1980), the asymptotic sum inequality (Schönhage 1981) and the laser method (Strassen 1987).
  • 1990 — Coppersmith and Winograd introduce the tensor family CWq\mathrm{CW}_qCWq​ and progression-free extraction (J. Symbolic Comput. 1990).
  • 2010–2014 — Higher tensor powers: Stothers (fourth power; with Davie, Proc. Roy. Soc. Edinburgh 2013), Vassilevska Williams (eighth power, STOC 2012), Le Gall (thirty-second power, ISSAC 2014).
  • 2023–2024 — The refined laser method gives ω<2.3728596\omega<2.3728596ω<2.3728596 (Alman–Vassilevska Williams, TheoretiCS 2024). Asymmetric hashing reduces combination loss (Duan–Wu–Zhou). Finer variable sharing follows (Vassilevska Williams–Xu–Xu–Zhou).
  • 2024–2026 — Successive asymmetric compatibility tests (Alman–Duan–Vassilevska Williams–Xu–Xu–Zhou, arXiv:2404.16349). Dupont et al. optimize the eighth-power instance of this framework to ω<2.371177\omega<2.371177ω<2.371177 (arXiv:2608.16884).
  • 2026 — An OpenAI preprint, Staggered extraction for exact matrix multiplication over every field (OpenAI Math Release, September 24, 2026), claims ωF<2.371054886006746\omega_F<2.371054886006746ωF​<2.371054886006746 for every fixed field FFF, including every positive characteristic. It has not been peer reviewed, and the claim has not been formally verified.

Setting

Fix a field FFF. An arithmetic program is a straight-line sequence of gates, each a constant from FFF, an input entry, or the sum, difference or product of two earlier gates. Its cost counts the addition, subtraction and multiplication gates. A program multiplies n×nn\times nn×n matrices if designated registers equal the entries of ABABAB for every pair of input matrices A,BA,BA,B over FFF. A real number τ\tauτ is admissible if for every ε>0\varepsilon>0ε>0 there is C>0C>0C>0 such that for every n≥1n\ge1n≥1 some correct program has cost at most C nτ+εC\,n^{\tau+\varepsilon}Cnτ+ε, and

ωF=inf⁡{τ∈R: τ admissible over F}.\omega_F=\inf\{\tau\in\mathbb R:\ \tau\text{ admissible over }F\}.ωF​=inf{τ∈R: τ admissible over F}.

In Lean this is MatrixAllFields.MatrixMultiplication.Arithmetic.omega F, defined for every F : Type u with [Field F].

Formalization targets

Goal: the exponent bound over every field (Theorem 1.1)

∀ F field:ωF<2.371054886006746.\forall\,F\ \text{field}:\qquad \omega_F<2.371054886006746 .∀F field:ωF​<2.371054886006746.

The Lean statement also contains the numerical comparison 2.371054886006746<2.3710562.371054886006746<2.3710562.371054886006746<2.371056, which carries no mathematical content (the source writes the comparison as <2.371054887<2.371054887<2.371054887). This is Theorem 1.1 of the source. The goal is published on the platform with status Open: no machine-checked proof exists yet.

Significance

The result itself. If the source's argument and certificate are correct, the theorem lowers the best stated bound on ω\omegaω from 2.3711772.3711772.371177 (Dupont et al.) to 2.3710552.3710552.371055, and it does so uniformly over all fields, with exact algorithms in every positive characteristic. Any improvement in ω\omegaω lowers the exponent of every algorithm reducible to matrix multiplication. The method — pooling directional capacities across extraction depths and staggering lots so that one lot sits at each splitting stage — shows that combination losses in the asymmetric framework can be traded across depths.

Formalizing it. Bounds of this type rest on long chains of tensor-power constructions, recovery arguments and large rational parameter tables, checked in the source by an accompanying verifier with interval certificates for logarithms. A machine-checked proof would certify the whole chain from the arithmetic model to the final rational inequality. It would also give Mathlib the asymptotic sum inequality and Coppersmith–Winograd machinery, which every future bound on ω\omegaω needs.

Difficulty

Every recent improvement fights extraction losses. Restricting a tensor power to a direct sum of independent matrix products wastes variables whenever whole blocks must be disjoint, while the final products only need disjoint subsets. Prescribed marginals may also allow several joint distributions. Earlier analyses take the minimum of three directional capacities separately at each depth, so a shortage on one side at one depth is lost. Using capacity across depths requires that variables deleted in earlier extractions (to resolve conflicts or impose type conditions) can still be recovered exactly, over the original field and with only subexponentially many extra copies. Positive characteristic rules out arguments that divide by small integers or rely on characteristic-zero identities.

Formalization scope

  • The model is division-free straight-line programs over an arbitrary field F : Type u, with free constants from FFF and unit cost for add, sub and mul. This matches the source's "scalar additions and multiplications".
  • AdmissibleExponent F τ asks, for each ε>0\varepsilon>0ε>0, for one constant C>0C>0C>0 that works for every n≥1n\ge1n≥1. omega F is the sInf of the admissible set, which is nonempty (schoolbook algorithm) and bounded below by the output size, so a junk value cannot make the strict inequality true.
  • The goal quantifies over every field, including finite fields, so a proof cannot use characteristic-zero arguments or embeddings into C\mathbb CC.
  • The second conjunct is a trivially true rational comparison and can be ignored.
  • Infrastructure needed: tensor rank and border rank over arbitrary fields, the asymptotic sum inequality, the Coppersmith–Winograd tensor and its powers, method-of-types counting, and verified rational/logarithm interval arithmetic for the parameter certificate. All of this is reusable for other matrix-multiplication results.

Selected references

  • V. Strassen, Gaussian elimination is not optimal, Numer. Math. 13 (1969), 354–356. https://doi.org/10.1007/BF02165411
  • D. Bini, Relations between exact and approximate bilinear algorithms. Applications, Calcolo 17 (1980), 87–97. https://doi.org/10.1007/BF02575865
  • A. Schönhage, Partial and total matrix multiplication, SIAM J. Comput. 10 (1981), 434–455. https://doi.org/10.1137/0210032
  • V. Strassen, Relative bilinear complexity and matrix multiplication, J. reine angew. Math. 375/376 (1987), 406–443. https://doi.org/10.1515/crll.1987.375-376.406
  • D. Coppersmith and S. Winograd, Matrix multiplication via arithmetic progressions, J. Symbolic Comput. 9 (1990), 251–280. https://doi.org/10.1016/S0747-7171(08)80013-2
  • A. M. Davie and A. J. Stothers, Improved bound for complexity of matrix multiplication, Proc. Roy. Soc. Edinburgh Sect. A 143 (2013), 351–369. https://doi.org/10.1017/S0308210511001648
  • V. Vassilevska Williams, Multiplying matrices faster than Coppersmith–Winograd, STOC 2012, 887–898. https://doi.org/10.1145/2213977.2214056
  • F. Le Gall, Powers of tensors and fast matrix multiplication, ISSAC 2014, 296–303. https://arxiv.org/abs/1401.7714v1
  • J. Alman and V. Vassilevska Williams, A refined laser method and faster matrix multiplication, TheoretiCS 3 (2024), Art. 21. https://doi.org/10.46298/theoretics.24.21
  • R. Duan, H. Wu and R. Zhou, Faster matrix multiplication via asymmetric hashing, arXiv:2210.10173. https://arxiv.org/abs/2210.10173v5
  • V. Vassilevska Williams, Y. Xu, Z. Xu and R. Zhou, New bounds for matrix multiplication: from alpha to omega, arXiv:2307.07970. https://arxiv.org/abs/2307.07970v2
  • J. Alman, R. Duan, V. Vassilevska Williams, Y. Xu, Z. Xu and R. Zhou, More asymmetry yields faster matrix multiplication, arXiv:2404.16349v3. https://arxiv.org/abs/2404.16349v3
  • E. Dupont et al., Improving the matrix multiplication exponent with modern optimization, arXiv:2608.16884 (2026). https://doi.org/10.48550/arXiv.2608.16884
  • OpenAI, Staggered extraction for exact matrix multiplication over every field, OpenAI Math Release preprint, September 24, 2026 (Theorem 1.1, p. 2). https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Staggered-extraction-for-exact-matrix-multiplication-over-every-field-September-24-2026/Staggered-extraction-for-exact-matrix-multiplication-over-every-field-September-24-2026.pdf
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Perfect completeness for 2-to-1 gamesResearch Paper

Motivation

A projection game (label cover) asks for labels on the two sides of a bipartite multigraph so that, on each edge, the right label is the image of the left label under a prescribed map. In a 2-to-1 game the left alphabet has 2q2q2q labels, the right alphabet qqq, and every edge map has exactly two preimages of each right label. Khot introduced the 2-to-1 and Unique Games conjectures in 2002 (STOC 2002) as hypotheses that yield tight hardness of approximation. The 2-to-1 Games Conjecture with perfect completeness asserts that, for every fixed δ>0\delta>0δ>0, it is NP-hard to tell satisfiable 2-to-1 games from games in which every labeling satisfies at most a δ\deltaδ fraction of edges. Perfect completeness matters for problems whose YES instances must be exactly satisfiable, such as graph coloring: hardness with completeness 1−ε1-\varepsilon1−ε does not imply it.

This mission asks for a formal proof of the conjecture, as stated in an OpenAI preprint dated September 23, 2026 (source). The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 1998 — The PCP theorem (Arora–Safra, JACM 1998; Arora–Lund–Motwani–Sudan–Szegedy, JACM 1998) and Raz's parallel repetition theorem (SICOMP 1998).
  • 2002 — Khot formulates the 2-to-1 and Unique Games conjectures.
  • 2011 — Rao's parallel repetition for projection games (SICOMP 2011).
  • 2014 — Austrin, O'Donnell, Tan and Wright prove perfect-completeness 2-to-1 label cover hardness with alphabets of sizes 666 and 333 and soundness 23/24+ε23/24+\varepsilon23/24+ε (ACM TOCT 2014).
  • 2017–2023 — The Grassmann/shortcode programme: Khot–Minzer–Safra (STOC 2017; ToC 2025), Dinur–Khot–Kindler–Minzer–Safra (STOC 2018), Barak–Kothari–Steurer (ITCS 2019), and the Grassmann expansion theorem of Khot–Minzer–Safra (Annals 2023), giving 2-to-1 hardness with completeness arbitrarily close to 111.
  • 2026 — Fei, Minzer and Wang prove perfect-completeness hardness for 4-to-1 games at arbitrarily small soundness (ECCC TR26-179).
  • September 2026 — The OpenAI preprint claims perfect completeness for 2-to-1 games (Theorem 1.1, p. 1).

Setting

For an integer q≥2q\ge2q≥2, a 2-to-1 instance has finite left and right vertex sets and a nonempty list of edge occurrences e=(ue,ve,πe)e=(u_e,v_e,\pi_e)e=(ue​,ve​,πe​), where πe:[2q]→[q]\pi_e:[2q]\to[q]πe​:[2q]→[q] is given by an explicit table with ∣πe−1(b)∣=2|\pi_e^{-1}(b)|=2∣πe−1​(b)∣=2 for every b∈[q]b\in[q]b∈[q]. Parallel occurrences, possibly with different maps, are allowed and counted with multiplicity; there are no weights. A labeling (a,b)(a,b)(a,b) assigns a(u)∈[2q]a(u)\in[2q]a(u)∈[2q] and b(v)∈[q]b(v)\in[q]b(v)∈[q] and satisfies eee when πe(a(ue))=b(ve)\pi_e(a(u_e))=b(v_e)πe​(a(ue​))=b(ve​). The value is the maximum, over labelings, of the fraction of satisfied occurrences. 3-SAT inputs are bit strings that decode to conjunctions of three-literal clauses (repetitions allowed); malformed inputs count as unsatisfiable.

Formalization targets

Goal: Theorem 1.1 (p. 1)

For every fixed rational δ∈(0,1)\delta\in(0,1)δ∈(0,1) there are an integer q=q(δ)≥2q=q(\delta)\ge2q=q(δ)≥2 and a deterministic polynomial-time reduction φ↦Gφ\varphi\mapsto G_\varphiφ↦Gφ​ from 3-SAT to 2-to-1 instances with alphabets [2q][2q][2q] and [q][q][q] such that

φ satisfiable ⇒ val⁡(Gφ)=1,φ unsatisfiable ⇒ val⁡(Gφ)≤δ.\varphi\ \text{satisfiable}\ \Rightarrow\ \operatorname{val}(G_\varphi)=1,\qquad \varphi\ \text{unsatisfiable}\ \Rightarrow\ \operatorname{val}(G_\varphi)\le\delta .φ satisfiable ⇒ val(Gφ​)=1,φ unsatisfiable ⇒ val(Gφ​)≤δ.

The running time is polynomial in the binary input length, with degree and constants depending only on δ\deltaδ.

Significance

The result itself. It removes the conditional hypothesis from perfect-completeness reductions. The preprint derives NP-hardness for maximum kkk-colorable subgraph at soundness 1−1k+Clog⁡kk21-\frac1k+C\frac{\log k}{k^2}1−k1​+Ck2logk​ through Guruswami and Sinop's reduction (Corollary 1.2, p. 3), and recovers satisfiable Not-Two and three-query PCP hardness (Corollary 1.3, p. 4), the latter already known unconditionally by Håstad (SICOMP 2014). A companion preprint uses it for hardness of finding large independent sets in three-colorable graphs.

Formalizing it. No PCP-style hardness result of this strength has been machine-checked. A complete development needs a perfect-completeness PCP gap (Theorem 2.1, p. 5), projection-game parallel repetition (Theorem 2.2, p. 6), the Grassmann expansion theorem (Theorem 2.3, p. 7) and inverse shortcode estimates (Theorem 2.6, p. 9), on top of a polynomial-time Turing-machine framework. These components are shared with the Unique Games formalization and would be reusable.

Difficulty

Near-perfect completeness does not give perfect completeness: the 1−ε1-\varepsilon1−ε reductions need not produce any finite satisfiable game. Amplifying a constant-soundness perfect-completeness game by parallel repetition destroys the 2-to-1 structure, since kkk-fold repetition gives 2k2^k2k preimages per right label. The preprint therefore builds a new tree-structured construction (Section 3) whose joint-partition questions keep two-element fibers and satisfy exact identities, and the soundness analysis must decode labelings through a rank test whose tested rows depend on the decoded form itself (Sections 5–6), before projection-game repetition gives the contradiction (Section 7).

Formalization scope

  • ProjectionTable q is a Vector (Fin q) (2*q) with exactly two preimages of every b : Fin q. Instance q lists edges as a List with a nonemptiness proof, so value = maxSatisfied / edges.length never divides by zero; maxSatisfied is a Finset.sup over all labelings.
  • BinaryGapReduction δ fixes alphabet ≥ 2, a construct map, a Turing.TM2ComputableInPolyTime witness from raw input bits (identity encoding) to the explicit bit encoding gameBits, finite tape alphabets, completeness value = 1 on encodings of satisfiable formulas, and soundness value ≤ δ on all other inputs.
  • The goal quantifies over rational δ\deltaδ with 0<δ<10<\delta<10<δ<1, as in the source; the alphabet and machine are fixed before the input.
  • No vacuous reading: the 3-SAT language is nontrivial and value = 1 requires a labeling satisfying every edge.

Selected references

  • OpenAI, Perfect completeness for 2-to-1 games, OpenAI Math Release preprint, September 23, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Perfect-completeness-for-2-to-1-games-September-23-2026/paper.pdf
  • S. Khot, On the power of unique 2-prover 1-round games, STOC 2002. https://doi.org/10.1145/509907.510017
  • P. Austrin, R. O'Donnell, L.-Y. Tan, J. Wright, New NP-hardness results for 3-coloring and 2-to-1 label cover, ACM Trans. Comput. Theory 6 (2014).
  • S. Khot, D. Minzer, M. Safra, Pseudorandom sets in Grassmann graph have near-perfect expansion, Ann. of Math. 198 (2023). https://doi.org/10.4007/annals.2023.198.1.1
  • I. Dinur, S. Khot, G. Kindler, D. Minzer, M. Safra, Towards a proof of the 2-to-1 games conjecture?, STOC 2018. https://doi.org/10.1145/3188745.3188804
  • B. Barak, P. K. Kothari, D. Steurer, Small-set expansion in shortcode graph and the 2-to-2 conjecture, ITCS 2019. https://doi.org/10.4230/LIPIcs.ITCS.2019.9
  • Y. Fei, D. Minzer, S. Wang, On the hardness of 4-to-1 games with perfect completeness, ECCC TR26-179 (2026). https://eccc.weizmann.ac.il/report/2026/179/
  • A. Rao, Parallel repetition in projection games and a concentration bound, SIAM J. Comput. 40 (2011). https://doi.org/10.1137/080734042
  • R. Raz, A parallel repetition theorem, SIAM J. Comput. (1998). https://doi.org/10.1137/S0097539795280895
  • V. Guruswami, A. K. Sinop, Improved inapproximability results for maximum k-colorable subgraph, Theory Comput. 9 (2013). https://doi.org/10.4086/toc.2013.v009a011
  • M. Braverman, S. Khot, D. Minzer, On rich 2-to-1 games, ITCS 2021. https://doi.org/10.4230/LIPIcs.ITCS.2021.27
  • J. Håstad, On the NP-hardness of Max-Not-2, SIAM J. Comput. (2014). https://doi.org/10.1137/120882718
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Discrete GeometryHarmonic Analysis·Captain: wurtle

A sharp Fourier certificate for planar circle packingResearch Paper

Motivation

How densely can equal disks be packed in the plane? The hexagonal arrangement, with centers on the triangular lattice, covers a fraction π/(23)≈0.9069\pi/(2\sqrt3)\approx0.9069π/(23​)≈0.9069 of the plane, and Thue's theorem says no packing does better. In 2003 Cohn and Elkies introduced a linear programming bound for sphere packing: a single auxiliary function whose values are nonpositive outside a ball and whose Fourier transform is nonnegative certifies an upper bound on packing density. Viazovska (dimension 8) and Cohn, Kumar, Miller, Radchenko and Viazovska (dimension 24) found auxiliary functions for which the bound is sharp, solving sphere packing in those dimensions. Cohn and Elkies conjectured that a sharp function exists also in dimension 2 (Conjecture 7.3 of their paper). The planar packing problem itself is classical; the question here is whether the Fourier method certifies it exactly.

Timeline

  • 1890s–1940s. Thue's theorem on optimality of the hexagonal circle packing; an elementary proof based on an idea of Rogers is presented by Hales (2000).
  • 2003. Cohn and Elkies introduce the linear programming bound and conjecture sharp auxiliary functions in dimensions 2, 8 and 24 (doi:10.4007/annals.2003.157.689).
  • 2017. Viazovska constructs the sharp function in dimension 8 (doi:10.4007/annals.2017.185.3.7); Cohn, Kumar, Miller, Radchenko and Viazovska do so in dimension 24 (doi:10.4007/annals.2017.185.3.8).
  • 2019. Radchenko and Viazovska prove Fourier interpolation on the real line (doi:10.1007/s10240-018-0101-z).
  • 2021. Sardari shows that values and first derivatives on triangular-lattice shells do not determine a planar radial Schwartz function (arXiv:2102.08753).
  • 2022. Cohn, Kumar, Miller, Radchenko and Viazovska prove universal optimality in dimensions 8 and 24 via interpolation formulas (doi:10.4007/annals.2022.196.3.3).

The source of this mission, an OpenAI preprint dated September 23, 2026, claims an explicit sharp planar certificate.

Setting

Scale disks to radius 1/21/21/2, so a packing is a set of centers C⊂R2\mathcal C\subset\mathbb R^2C⊂R2 with ∣x−y∣≥1|x-y|\ge1∣x−y∣≥1 for distinct centers. The Fourier transform is

f^(ξ)=∫R2f(x) e−2πi x⋅ξ dx.\widehat f(\xi)=\int_{\mathbb R^2}f(x)\,e^{-2\pi i\,x\cdot\xi}\,dx.f​(ξ)=∫R2​f(x)e−2πix⋅ξdx.

A Schwartz function is smooth with all derivatives decaying faster than any inverse power of ∣x∣|x|∣x∣. A function is radial if f(x)f(x)f(x) depends only on ∣x∣|x|∣x∣; for real radial integrable fff, f^\widehat ff​ is real and radial. The Cohn–Elkies theorem says that if fff is admissible, f(x)≤0f(x)\le0f(x)≤0 for ∣x∣≥1|x|\ge1∣x∣≥1 and f^≥0\widehat f\ge0f​≥0, then every packing of radius-1/21/21/2 disks has density at most vol⁡B(0,1/2)⋅f(0)/f^(0)\operatorname{vol}B(0,1/2)\cdot f(0)/\widehat f(0)volB(0,1/2)⋅f(0)/f​(0).

Formalization targets

Goal: Theorem 1.1 (sharp Fourier certificate)

There is a real radial Schwartz function f:R2→Rf:\mathbb R^2\to\mathbb Rf:R2→R with

f^(0)=1,f(0)=23,f^(ξ)≥0  (ξ∈R2),f(x)≤0  (∣x∣≥1).\widehat f(0)=1,\qquad f(0)=\frac{2}{\sqrt3},\qquad \widehat f(\xi)\ge0\ \ (\xi\in\mathbb R^2),\qquad f(x)\le0\ \ (|x|\ge1).f​(0)=1,f(0)=3​2​,f​(ξ)≥0  (ξ∈R2),f(x)≤0  (∣x∣≥1).

Lean: OAI.sharp_fourier_certificate, open on the platform.

Significance

With f(0)/f^(0)=2/3f(0)/\widehat f(0)=2/\sqrt3f(0)/f​(0)=2/3​ the Cohn–Elkies bound equals π4⋅23=π23\frac{\pi}{4}\cdot\frac{2}{\sqrt3}=\frac{\pi}{2\sqrt3}4π​⋅3​2​=23​π​, the hexagonal density, so the theorem answers the two-dimensional case of Cohn–Elkies Conjecture 7.3 affirmatively and gives a Fourier-analytic proof of Thue's theorem for arbitrary (not only periodic) packings. Its zero structure also recovers uniqueness of the triangular lattice among periodic optimal packings. The certificate does not satisfy the additional zero-set requirement of Cohn–Elkies Conjecture 8.1, which remains a separate question. The construction methods feed into the companion work on universal optimality of the triangular lattice in the same family. The result is claimed in an OpenAI preprint that has not been peer reviewed; no machine-checked proof exists. By contrast, Viazovska's dimension-8 theorem has been the subject of formalization efforts, so a planar certificate would be a natural low-dimensional companion.

Difficulty

In dimensions 8 and 24 the magic functions come from modular forms, whose symmetries control a function and its Fourier transform at once. No such modular construction is known to produce the planar certificate, and Sardari's nonuniqueness theorem shows that prescribing values and derivatives on the lattice shells does not pin a function down. Numerical Laguerre–Gaussian searches (Cohn–Elkies) approach the bound but do not attain it. The hard part is an exact construction together with rigorous sign control of both fff (for ∣x∣≥1|x|\ge1∣x∣≥1) and f^\widehat ff​ (everywhere), including between interpolation nodes and in the tails.

Formalization scope

  • The plane is EuclideanSpace ℝ (Fin 2); the function is a SchwartzMap Plane ℝ.
  • SharpPlanar.fourier f ξ is the Bochner integral of f(x)exp⁡(−2πi⟨x,ξ⟩)f(x)\exp(-2\pi i\langle x,\xi\rangle)f(x)exp(−2πi⟨x,ξ⟩); for a Schwartz function it is the usual transform.
  • SharpCertificate f: Radial f, fourier f 0 = 1, f 0 = 2 / √3, for every ξ the transform has zero imaginary part and nonnegative real part, and f x ≤ 0 when 1 ≤ ‖x‖.
  • The goal is pure existence; any certificate, explicit or not, proves it.

A complete development needs Fourier transforms of radial functions in the plane (Hankel transforms, Gaussian pairings) and rigorous interval or Bernstein-polynomial sign certification. Formalizing the Cohn–Elkies bound itself (certificate implies density bound) would be a valuable reusable companion. Contributions formalizing Proposition 2.2, Proposition 3.4 or Proposition 4.3 are welcome.

Selected references

  • OpenAI, A sharp Fourier certificate for planar circle packing, preprint, September 23, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-sharp-Fourier-certificate-for-planar-circle-packing-September-23-2026/paper.pdf
  • H. Cohn, N. Elkies, New upper bounds on sphere packings I, Ann. of Math., 2003. https://doi.org/10.4007/annals.2003.157.689
  • T. C. Hales, Cannonballs and honeycombs, Notices Amer. Math. Soc., 2000.
  • M. S. Viazovska, The sphere packing problem in dimension 8, Ann. of Math., 2017. https://doi.org/10.4007/annals.2017.185.3.7
  • H. Cohn, A. Kumar, S. D. Miller, D. Radchenko, M. Viazovska, The sphere packing problem in dimension 24, Ann. of Math., 2017. https://doi.org/10.4007/annals.2017.185.3.8
  • D. Radchenko, M. Viazovska, Fourier interpolation on the real line, Publ. Math. IHÉS, 2019. https://doi.org/10.1007/s10240-018-0101-z
  • H. Cohn, A. Kumar, S. D. Miller, D. Radchenko, M. Viazovska, Universal optimality of the E8 and Leech lattices and interpolation formulas, Ann. of Math., 2022. https://doi.org/10.4007/annals.2022.196.3.3
  • N. Talebizadeh Sardari, Higher Fourier interpolation on the plane, preprint, 2021. https://arxiv.org/abs/2102.08753
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Discrete GeometryHarmonic AnalysisMathematical Physics·Captain: wurtle

An atomic certificate for triangular-lattice universal optimalityResearch Paper

Motivation

Which arrangement of points in the plane minimizes interaction energy? For many repulsive interactions the expected answer is the triangular (hexagonal) lattice. Universal optimality, formulated by Cohn and Kumar (2007, doi:10.1090/S0894-0347-06-00546-7), asks for a single configuration that minimizes energy simultaneously for every completely monotone potential of squared distance, which includes all Gaussians and all inverse powers. It was proved in dimensions 8 and 24 for E8E_8E8​ and the Leech lattice; in dimension two it was a conjecture. The question matters in mathematical physics (crystallization, vortex lattices, Coulomb and Riesz gases) and in the theory of Fourier interpolation.

Timeline

  • 1953–1964. Rankin, Cassels, Ennola and Diananda show that the triangular lattice minimizes the Epstein zeta function among planar lattices (doi:10.1017/S2040618500035668, doi:10.1017/S2040618500033906).
  • 1988. Montgomery proves the Gaussian (theta-function) minimum among planar lattices of fixed covolume for every parameter (doi:10.1017/S0017089500007047).
  • 2003. Cohn and Elkies introduce Fourier linear-programming bounds for sphere packing (doi:10.4007/annals.2003.157.689).
  • 2007. Cohn and Kumar formulate the Euclidean universal-optimality program (Conjecture 9.4).
  • 2018. Cohn and de Courcy-Ireland extend the Fourier comparison to density-based competitor classes (doi:10.1215/00127094-2018-0018).
  • 2019. Radchenko and Viazovska develop Fourier interpolation on the line (doi:10.1007/s10240-018-0101-z).
  • 2022. Cohn, Kumar, Miller, Radchenko and Viazovska prove universal optimality of E8E_8E8​ and the Leech lattice (doi:10.4007/annals.2022.196.3.3).
  • 2024–2025. Partial planar results: comparisons with periodic classes (Faulhuber–Shafkulovska–Zlotnikov, doi:10.1090/bproc/247), small periodic configurations (Hardin–Tenpas, doi:10.19086/da.144978), and local optimality under small displacements (Leblé, arXiv:2511.03353).

The source of this mission, an OpenAI preprint dated September 26, 2026, claims the full planar statement against all locally finite configurations of density one. A companion OpenAI preprint reaches the same energy conclusion by a different (modulo-12) interpolation construction.

Setting

Let b=3/2b=\sqrt3/2b=3​/2 and A=b−1/2{m(1,0)+n(1/2,b):m,n∈Z}A=b^{-1/2}\{m(1,0)+n(1/2,b):m,n\in\mathbb Z\}A=b−1/2{m(1,0)+n(1/2,b):m,n∈Z}, the triangular lattice of covolume one. Let BRB_RBR​ be the closed disk of radius RRR about the origin. A set C⊂R2\mathcal C\subset\mathbb R^2C⊂R2 is locally finite if each C∩BR\mathcal C\cap B_RC∩BR​ is finite, and has centered disk density one if NR/(πR2)→1N_R/(\pi R^2)\to1NR​/(πR2)→1, where NR=#(C∩BR)N_R=\#(\mathcal C\cap B_R)NR​=#(C∩BR​).

A smooth g:(0,∞)→[0,∞)g:(0,\infty)\to[0,\infty)g:(0,∞)→[0,∞) is completely monotone if (−1)jg(j)(t)≥0(-1)^jg^{(j)}(t)\ge0(−1)jg(j)(t)≥0 for all j≥0j\ge0j≥0, t>0t>0t>0. The lower energy per particle is

Eg(C)=lim inf⁡R→∞1NR∑x,y∈C∩BRx≠yg(∣x−y∣2)∈[0,∞],E_g(\mathcal C)=\liminf_{R\to\infty}\frac1{N_R}\sum_{\substack{x,y\in\mathcal C\cap B_R\\ x\ne y}}g(|x-y|^2)\in[0,\infty],Eg​(C)=R→∞liminf​NR​1​x,y∈C∩BR​x=y​∑​g(∣x−y∣2)∈[0,∞],

summing over ordered pairs. The Fourier transform is f^(ξ)=∫f(x)e−2πix⋅ξ dx\widehat f(\xi)=\int f(x)e^{-2\pi i x\cdot\xi}\,dxf​(ξ)=∫f(x)e−2πix⋅ξdx and A∗={ξ:ξ⋅a∈Z ∀a∈A}A^*=\{\xi:\xi\cdot a\in\mathbb Z\ \forall a\in A\}A∗={ξ:ξ⋅a∈Z ∀a∈A} is the dual lattice.

Formalization targets

Milestone: Theorem 1.2 (sharp Gaussian minorants)

For every α>0\alpha>0α>0 there is a real radial Schwartz fαf_\alphafα​ with

fα≤e−πα∣x∣2,f^α≥0,fα(a)=e−πα∣a∣2 (a∈A∖{0}),f^α(w)=0 (w∈A∗∖{0}),f_\alpha\le e^{-\pi\alpha|x|^2},\quad \widehat f_\alpha\ge0,\quad f_\alpha(a)=e^{-\pi\alpha|a|^2}\ (a\in A\setminus\{0\}),\quad \widehat f_\alpha(w)=0\ (w\in A^*\setminus\{0\}),fα​≤e−πα∣x∣2,f​α​≥0,fα​(a)=e−πα∣a∣2 (a∈A∖{0}),f​α​(w)=0 (w∈A∗∖{0}),

given for α≥1\alpha\ge1α≥1 by the paper's explicit atomic interpolation construction.

Goal: Theorem 1.1 (universal energy minimum)

For every smooth nonnegative completely monotone ggg and every locally finite C\mathcal CC of centered disk density one,

Eg(C) ≥ ∑a∈A∖{0}g(∣a∣2) = Eg(A)in [0,∞].E_g(\mathcal C)\ \ge\ \sum_{a\in A\setminus\{0\}}g(|a|^2)\ =\ E_g(A)\qquad\text{in }[0,\infty].Eg​(C) ≥ a∈A∖{0}∑​g(∣a∣2) = Eg​(A)in [0,∞].

Lean: OAI.AtomicTriangular.universal_energy_minimum, open on the platform.

Significance

Theorem 1.1 would settle the planar case of the Cohn–Kumar universal-optimality conjecture in a density-based competitor class with no periodicity or perturbation assumption, for every completely monotone potential including those (such as t−pt^{-p}t−p with p≤1p\le1p≤1) whose lattice sums diverge. By Bernstein's theorem such potentials are mixtures of Gaussians, so the sharp Gaussian certificates of Theorem 1.2 are the analytic core. The theorem identifies the minimum value; it does not classify minimizers. The result is claimed in an OpenAI preprint that has not been peer reviewed; no machine-checked proof exists. A formalization would also produce reusable Fourier-analytic tools in Lean (Poisson summation for lattices, linear-programming energy bounds).

Difficulty

Lattice-restricted results (Rankin, Montgomery) compare only lattices; a competitor here may be nonperiodic, have arbitrarily close pairs, and have large local clustering. The Fourier linear-programming method handles general competitors but needs, for each Gaussian, an auxiliary function that is simultaneously a pointwise minorant, has nonnegative Fourier transform, and is sharp: it must touch the Gaussian on every lattice shell and its transform must vanish on every dual shell. Constructing such functions for all α>0\alpha>0α>0 at once, with rigorous sign control between the interpolation nodes, is the central obstacle. A second issue is passing from the density hypothesis alone (no averaging over translates) to the energy inequality.

Formalization scope

  • Points live in EuclideanSpace ℝ (Fin 2); A is Set.range triangularPoint.
  • AdmissiblePotential g: ContDiffOn ℝ ⊤ g (Ioi 0), g≥0g\ge0g≥0 and (−1)r(-1)^r(−1)r iteratedDeriv r g t ≥0\ge0≥0 for t>0t>0t>0.
  • energy g C is the liminf over R→∞R\to\inftyR→∞ of diskEnergy, valued in ℝ≥0∞; latticeEnergy g is a tsum in ℝ≥0∞, so divergent sums are allowed and no summability hypothesis is needed.
  • The goal returns both the inequality for every admissible C and the equality latticeEnergy g = energy g A.
  • For Theorem 1.2, realFourier is Mathlib's 𝓕 (kernel e−2πi⟨x,ξ⟩e^{-2\pi i\langle x,\xi\rangle}e−2πi⟨x,ξ⟩) applied to the complexified function; the α≥1\alpha\ge1α≥1 clause names the paper's explicit coefficients (R, R0, Yf, Uplus, Uminus) and error bounds.

Contributions formalizing Lemma 2.1 (reciprocal Gaussian parameters), Proposition 2.3 (density-only linear programming), Lemma 4.1 (finite certificate) and Proposition 5.1 (exact interpolation and approximation) are welcome.

Selected references

  • OpenAI, An atomic certificate for triangular-lattice universal optimality, preprint, September 26, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/An-atomic-certificate-for-triangular-lattice-universal-optimality-September-26-2026/paper.pdf
  • H. Cohn, A. Kumar, Universally optimal distribution of points on spheres, J. Amer. Math. Soc., 2007. https://doi.org/10.1090/S0894-0347-06-00546-7
  • H. Cohn, A. Kumar, S. D. Miller, D. Radchenko, M. Viazovska, Universal optimality of the E8 and Leech lattices and interpolation formulas, Ann. of Math., 2022. https://doi.org/10.4007/annals.2022.196.3.3
  • H. Cohn, N. Elkies, New upper bounds on sphere packings I, Ann. of Math., 2003. https://doi.org/10.4007/annals.2003.157.689
  • H. Cohn, M. de Courcy-Ireland, The Gaussian core model in high dimensions, Duke Math. J., 2018. https://doi.org/10.1215/00127094-2018-0018
  • H. L. Montgomery, Minimal theta functions, Glasgow Math. J., 1988. https://doi.org/10.1017/S0017089500007047
  • R. A. Rankin, A minimum problem for the Epstein zeta-function, 1953. https://doi.org/10.1017/S2040618500035668
  • D. Radchenko, M. Viazovska, Fourier interpolation on the real line, Publ. Math. IHÉS, 2019. https://doi.org/10.1007/s10240-018-0101-z
  • T. Leblé, The hexagonal lattice is universally locally optimal, preprint, 2025. https://arxiv.org/abs/2511.03353
2 thms1 active userReviewed
Algebraic Geometry·Captain: wurtle

Maximal Seshadri constants on arbitrary polarized surfacesResearch Paper

Motivation: Nagata's conjecture beyond the plane

Seshadri constants measure the local positivity of a line bundle at a point or a configuration of points: how much of an ample class survives after blowing up the points and subtracting equal multiples of the exceptional curves. For rrr points on a surface with ample LLL, a dimension count gives the universal upper bound L2/r\sqrt{L^2/r}L2/r​. Nagata's 1959 conjecture, which came out of his counterexample to Hilbert's fourteenth problem, says that this bound is attained at r≥10r\ge10r≥10 very general points of the projective plane. On an arbitrary polarized surface, the qualitative Nagata–Biran(–Szemberg) conjecture predicts that the bound is attained at rrr very general points for every sufficiently large rrr. On the symplectic side, the conjecture corresponds to packing stability: large numbers of equal balls fill a four-manifold.

Timeline

  • 1959 — Nagata formulates his plane conjecture and proves the strict multiplicity inequality when r≥16r\ge16r≥16 is a perfect square (Amer. J. Math. 81).
  • 1999 — Biran proves symplectic packing stability for rational symplectic classes on closed four-manifolds (Invent. Math. 136).
  • 2003 — Harbourne proves maximality for all sufficiently large rrr with rL2rL^2rL2 a perfect square, and asymptotic lower bounds (J. reine angew. Math.).
  • 2004 — Roé relates one-point and multipoint Seshadri constants (J. Algebra); Strycharz-Szemberg and Szemberg formulate a stronger prediction with an explicit threshold (Serdica Math. J. 30).
  • 2009 — Roé and Ross prove a multipoint product inequality that propagates maximality (Geom. Dedicata).
  • 2010 — Syzdek and Szemberg state the qualitative conjecture for arbitrary polarized surfaces (Math. Nachr. 283, Conjecture 4.3; arXiv:0709.2592).
  • 2016 — Buse, Hind and Opshtein prove strong packing stability for all closed symplectic four-manifolds (Trans. AMS). Symplectic stability alone does not fix the complex structure needed for the algebraic statement (Eckl 2017, Differential Geom. Appl.).
  • 2026 — An OpenAI preprint, Maximal Seshadri constants on arbitrary polarized surfaces (OpenAI Math Release, September 23, 2026), claims the qualitative conjecture for every smooth complex projective surface and every ample line bundle. It has not been peer reviewed, and its proof is not formally verified.

Setting

Let SSS be a smooth integral complex projective surface and LLL an ample line bundle, with self-intersection H=L2H=L^2H=L2. For a tuple p=(p1,…,pr)\mathbf p=(p_1,\dots,p_r)p=(p1​,…,pr​) of distinct points, the multipoint Seshadri constant is

ε(S,L;p)=inf⁡CL⋅C∑i=1rmult⁡piC,\varepsilon(S,L;\mathbf p)=\inf_C\frac{L\cdot C}{\sum_{i=1}^r\operatorname{mult}_{p_i}C},ε(S,L;p)=Cinf​∑i=1r​multpi​​CL⋅C​,

the infimum over integral curves CCC through at least one pip_ipi​. If π:Y→S\pi:Y\to Sπ:Y→S is the blow-up at p\mathbf pp with exceptional curves E1,…,ErE_1,\dots,E_rE1​,…,Er​, then ε\varepsilonε is the largest λ≥0\lambda\ge0λ≥0 such that π∗L−λ∑Ei\pi^*L-\lambda\sum E_iπ∗L−λ∑Ei​ is nef (nonnegative on every integral curve), and always ε≤H/r\varepsilon\le\sqrt{H/r}ε≤H/r​. Let Ur⊂SrU_r\subset S^rUr​⊂Sr be the set of tuples of distinct points. A property holds at very general tuples if it fails only on a countable union of proper Zariski-closed subsets of UrU_rUr​.

Formalization targets

Goal: eventual maximality of multipoint Seshadri constants (Theorem 1.1)

For every such (S,L)(S,L)(S,L) there is r0≥1r_0\ge1r0​≥1 such that for each r≥r0r\ge r_0r≥r0​ there is a countable union ZrZ_rZr​ of proper Zariski-closed subsets of UrU_rUr​, with Ur∖Zr≠∅U_r\setminus Z_r\neq\varnothingUr​∖Zr​=∅, such that for every p∈Ur∖Zr\mathbf p\in U_r\setminus Z_rp∈Ur​∖Zr​

π∗L−L2r∑i=1rEi  is nef on the blow-up at p,andε(S,L;p)=L2r.\pi^*L-\sqrt{\tfrac{L^2}{r}}\sum_{i=1}^rE_i\ \text{ is nef on the blow-up at }\mathbf p, \qquad\text{and}\qquad \varepsilon(S,L;\mathbf p)=\sqrt{\tfrac{L^2}{r}} .π∗L−rL2​​i=1∑r​Ei​  is nef on the blow-up at p,andε(S,L;p)=rL2​​.

The threshold r0r_0r0​ may depend on (S,L)(S,L)(S,L) and is not explicit. The goal statement is published on the platform with status Open.

Significance

The result itself. Theorem 1.1 settles the qualitative Nagata–Biran conjecture for all polarized complex surfaces, with no assumption that rL2rL^2rL2 is a square or that a plane constant is maximal (the hypotheses needed by Harbourne, Roé and Roé–Ross). Because the conclusion is nefness of the square-zero boundary class, it rules out every curve whose degree-to-multiplicity ratio is below L2/r\sqrt{L^2/r}L2/r​, including curves with unequal multiplicities. Via Eckl's Kähler packing correspondence, it gives the algebraic counterpart of packing stability. The sharp plane case (r≥10r\ge10r≥10 in P2\mathbb P^2P2) is a separate companion result.

Formalizing it. The statement is built from scheme-theoretic foundations: projective surfaces, line bundles, sheaf cohomology, blow-ups by universal property, intersection numbers through Euler characteristics. A complete proof would be among the first machine-checked results about the birational geometry of surfaces. Much of the required infrastructure, such as Riemann–Roch on surfaces, finite-dimensionality of coherent cohomology and the existence of blow-ups, is not yet in Mathlib.

Difficulty

The upper bound ε≤H/r\varepsilon\le\sqrt{H/r}ε≤H/r​ is an elementary jet count. Equality requires showing that no curve on the surface has too large multiplicity at the chosen points, for all multiplicity orders simultaneously. Degenerating the points to a special configuration, the usual approach in the plane, fails because the threshold in rrr must be uniform in the jet order: the asymptotic interpolation theorems (Alexander–Hirschowitz) give thresholds depending on a fixed multiplicity bound. Arbitrary surfaces also lack the toric coordinates available on P2\mathbb P^2P2. The source transfers the problem to finite interpolation on an algebraic torus through a nodal divisor in ∣dL∣|dL|∣dL∣.

Formalization scope

  • Surface: an integral scheme, smooth of relative dimension 222 over Spec⁡C\operatorname{Spec}\mathbb CSpecC, with a closed immersion into some PCN\mathbb P^N_{\mathbb C}PCN​ compatible with the structure maps. LineBundle: a locally free sheaf of rank one. IsAmple: the nonvanishing loci of sections of positive powers that are affine form a neighbourhood basis.
  • Cohomology is Ext^n(𝒪, M) in the category of sheaves of modules, and dimensions are finrank ℂ. Then L2=χ(2L)−2χ(L)+χ(O)L^2=\chi(2L)-2\chi(L)+\chi(\mathcal O)L2=χ(2L)−2χ(L)+χ(O) and L⋅C=χ(L∣C)−χ(OC)L\cdot C=\chi(L|_C)-\chi(\mathcal O_C)L⋅C=χ(L∣C​)−χ(OC​), by Riemann–Roch. If cohomology were infinite-dimensional, finrank would return 000; finite-dimensionality for projective schemes is part of what a solver must prove.
  • Points are C\mathbb CC-points, the configuration space carries the Zariski topology induced from SrS^rSr, and very general sets are indexed by N\mathbb NN (IsClosed, ≠ univ, with a point outside all of them).
  • The multiplicity is the order of the local equation of CCC in the local ring at ppp. The Seshadri constant is the real sInf over integral curves with positive total multiplicity.
  • Nefness is expressed through a blow-up PointBlowup, characterized by its universal property, and the exceptional ideal sheaves O(−Ei)\mathcal O(-E_i)O(−Ei​). The inequality is π∗L⋅C+H/r∑ideg⁡(O(−Ei)∣C)≥0\pi^*L\cdot C+\sqrt{H/r}\sum_i \deg(\mathcal O(-E_i)|_C)\ge0π∗L⋅C+H/r​∑i​deg(O(−Ei​)∣C​)≥0 for every integral curve CCC on the blow-up.
  • Needed infrastructure: coherent cohomology of projective schemes, Riemann–Roch on curves and surfaces, blow-ups of points, jets and principal parts. Contributions building any of these layers are welcome and reusable.

Selected references

  • M. Nagata, On the 14-th problem of Hilbert, Amer. J. Math. 81 (1959), 766–772. https://doi.org/10.2307/2372927
  • P. Biran, A stability property of symplectic packing, Invent. Math. 136 (1999), 123–155. https://doi.org/10.1007/s002220050306
  • B. Harbourne, Seshadri constants and very ample divisors on algebraic surfaces, J. reine angew. Math. (2003). https://doi.org/10.1515/crll.2003.044
  • J. Roé, A relation between one-point and multi-point Seshadri constants, J. Algebra (2004). https://doi.org/10.1016/j.jalgebra.2003.10.009
  • B. Strycharz-Szemberg and T. Szemberg, Remarks on the Nagata conjecture, Serdica Math. J. 30 (2004), 405–430. https://www.math.bas.bg/serdica/2004/2004-405-430.pdf
  • J. Roé and J. Ross, An inequality between multipoint Seshadri constants, Geom. Dedicata (2009). https://doi.org/10.1007/s10711-008-9315-4
  • W. Syzdek and T. Szemberg, Seshadri fibrations of algebraic surfaces, Math. Nachr. 283 (2010), 902–908. https://arxiv.org/abs/0709.2592v1
  • O. Buse, R. Hind and E. Opshtein, Packing stability for symplectic 4-manifolds, Trans. Amer. Math. Soc. (2016). https://doi.org/10.1090/tran/6802
  • T. Eckl, Kähler packings and Seshadri constants on projective complex surfaces, Differential Geom. Appl. (2017). https://doi.org/10.1016/j.difgeo.2017.03.007
  • OpenAI, Maximal Seshadri constants on arbitrary polarized surfaces, OpenAI Math Release preprint, September 23, 2026 (Theorem 1.1, p. 2). https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Maximal-Seshadri-Constants-on-Arbitrary-Polarized-Surfaces-September-23-2026/main.pdf
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Number Theory·Captain: wurtle

An asymptotic formula for the number of totientsResearch Paper

Motivation

Euler's totient φ(n)\varphi(n)φ(n) counts the integers in {1,…,n}\{1,\dots,n\}{1,…,n} coprime to nnn. Many integers share a totient, and most integers are not totients at all, so counting the distinct values of φ\varphiφ is much harder than counting integers with a given factorization. Let

V={φ(n):n≥1},V(x)=#{v∈V:v≤x}.\mathcal V=\{\varphi(n):n\ge1\},\qquad V(x)=\#\{v\in\mathcal V: v\le x\}.V={φ(n):n≥1},V(x)=#{v∈V:v≤x}.

The size of V(x)V(x)V(x) was studied by Pillai, Erdős, Hall, Pomerance, Maier and Ford over most of the twentieth century; Ford's 1998 estimate determines V(x)V(x)V(x) up to a bounded multiplicative factor but leaves open whether V(x)V(x)V(x) has an asymptotic equivalent, and Erdős and Hall's question whether V(cx)/V(x)→cV(cx)/V(x)\to cV(cx)/V(x)→c.

This mission asks for a formal proof of the explicit asymptotic formula and the Erdős–Hall regular-variation property, as stated in an OpenAI preprint dated September 25, 2026 (source). The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 1929 — Pillai proves that totients have density zero (Bull. AMS 35, 1929).
  • 1935 — Erdős shows V(x)≪εx/(log⁡x)1−εV(x)\ll_\varepsilon x/(\log x)^{1-\varepsilon}V(x)≪ε​x/(logx)1−ε via the normal number of prime factors of p−1p-1p−1 (Q. J. Math. 1935); later lower bounds use semiprimes (1945).
  • 1976 — Erdős and Hall obtain a lower factor exp⁡{a(log⁡3x)2}\exp\{a(\log_3x)^2\}exp{a(log3​x)2} and ask whether V(cx)/V(x)→cV(cx)/V(x)\to cV(cx)/V(x)→c (Mathematika 1976).
  • 1986–1988 — Pomerance brings the upper bound to the same scale (Acta Arith. 1986); Maier and Pomerance determine the leading constant C0=0.8178…C_0=0.8178\ldotsC0​=0.8178… in V(x)=xlog⁡xexp⁡{(C0+o(1))(log⁡3x)2}V(x)=\frac{x}{\log x}\exp\{(C_0+o(1))(\log_3x)^2\}V(x)=logxx​exp{(C0​+o(1))(log3​x)2} (Acta Arith. 1988).
  • 1998 — Ford determines V(x)V(x)V(x) up to a bounded factor and proves V(cx)−V(x)≍cV(x)V(cx)-V(x)\asymp_cV(x)V(cx)−V(x)≍c​V(x) (Ramanujan J. 1998).
  • September 2026 — The OpenAI preprint claims an explicit asymptotic equivalent and V(cx)/V(x)→cV(cx)/V(x)\to cV(cx)/V(x)→c (Theorem 2.1, p. 4).

Setting

Logarithms are natural and log⁡j\log_jlogj​ is the jjj-fold iterate. For j≥1j\ge1j≥1 let aj=(j+1)log⁡(j+1)−jlog⁡j−1a_j=(j+1)\log(j+1)-j\log j-1aj​=(j+1)log(j+1)−jlogj−1, let ρ∈(0,1)\rho\in(0,1)ρ∈(0,1) be the unique root of ∑j≥1ajρj=1\sum_{j\ge1}a_j\rho^j=1∑j≥1​aj​ρj=1, and set

λ=log⁡(1/ρ),γ=(∑j≥1jajρj)−1,g0=1,  gj=∑d=1jadgj−d.\lambda=\log(1/\rho),\qquad \gamma=\Bigl(\sum_{j\ge1}ja_j\rho^j\Bigr)^{-1},\qquad g_0=1,\ \ g_j=\sum_{d=1}^ja_dg_{j-d}.λ=log(1/ρ),γ=(j≥1∑​jaj​ρj)−1,g0​=1,  gj​=d=1∑j​ad​gj−d​.

For large xxx put B=log⁡2xB=\log_2xB=log2​x, m=⌊(log⁡B−log⁡2B)/λ⌋m=\lfloor(\log B-\log_2B)/\lambda\rfloorm=⌊(logB−log2​B)/λ⌋, the phase θ=(log⁡B−log⁡2B)/λ−m∈[0,1)\theta=(\log B-\log_2B)/\lambda-m\in[0,1)θ=(logB−log2​B)/λ−m∈[0,1), and Gm=Bm/(m!∏i≤mgi)G_m=B^m/(m!\prod_{i\le m}g_i)Gm​=Bm/(m!∏i≤m​gi​); the factor xlog⁡xGm\frac{x}{\log x}G_mlogxx​Gm​ is Ford's counting scale.

For each HHH the preprint defines an explicit arithmetic coefficient AH(f;s)A_H(f;s)AH​(f;s), s∈[0,1)s\in[0,1)s∈[0,1), from a finite set of "tail witnesses" (tuples of primes QhQ_hQh​, P≤h<HP\le h<HP≤h<H, and a cofactor aaa, subject to explicit size and recurrence constraints, P=⌊log⁡log⁡H⌋P=\lfloor\log\log H\rfloorP=⌊loglogH⌋) by inclusion–exclusion over witnesses with a common totient ddd, weighted by f(ℓ(d)/d)/df(\ell(d)/d)/df(ℓ(d)/d)/d (formula (2.8), p. 5). Here ℓ(v)=min⁡{n≥1:φ(n)=v}\ell(v)=\min\{n\ge1:\varphi(n)=v\}ℓ(v)=min{n≥1:φ(n)=v} is the least preimage, and A(f;s)=lim⁡H→∞AH(f;s)A(f;s)=\lim_{H\to\infty}A_H(f;s)A(f;s)=limH→∞​AH​(f;s) when the limit exists. The coefficient is defined without reference to VVV.

Formalization targets

Milestone: nonnegativity of the approximants (Theorem 2.1, p. 4)

AH(1;s)≥0A_H(1;s)\ge0AH​(1;s)≥0 for s∈[0,1)s\in[0,1)s∈[0,1).

Goal: Theorem 2.1 (p. 4)

AH(1;⋅)→A(1;⋅)A_H(1;\cdot)\to A(1;\cdot)AH​(1;⋅)→A(1;⋅) uniformly on [0,1)[0,1)[0,1), with 0<inf⁡sA(1;s)≤sup⁡sA(1;s)<∞0<\inf_sA(1;s)\le\sup_sA(1;s)<\infty0<infs​A(1;s)≤sups​A(1;s)<∞, and

V(x)∼xlog⁡x Gm A(1;θ),V(cx)V(x)⟶c(c>0 fixed).V(x)\sim\frac{x}{\log x}\,G_m\,A(1;\theta),\qquad \frac{V(cx)}{V(x)}\longrightarrow c\quad(c>0\ \text{fixed}).V(x)∼logxx​Gm​A(1;θ),V(x)V(cx)​⟶c(c>0 fixed).

Further milestones: least preimages (Theorem 2.2, p. 6)

For k≥1k\ge1k≥1 let Nk(x)=#{v∈V:v≤x, kx<ℓ(v)≤(k+1)x}N_k(x)=\#\{v\in\mathcal V:v\le x,\ kx<\ell(v)\le(k+1)x\}Nk​(x)=#{v∈V:v≤x, kx<ℓ(v)≤(k+1)x} and fk(r)=min⁡{1,k+1r}−min⁡{1,kr}f_k(r)=\min\{1,\tfrac{k+1}r\}-\min\{1,\tfrac kr\}fk​(r)=min{1,rk+1​}−min{1,rk​}. Then AH(fk;⋅)A_H(f_k;\cdot)AH​(fk​;⋅) converges uniformly and Nk(x)=xlog⁡xGm(A(fk;θ)+o(1))N_k(x)=\frac{x}{\log x}G_m(A(f_k;\theta)+o(1))Nk​(x)=logxx​Gm​(A(fk​;θ)+o(1)); if some totient ddd has ℓ(d)>kd\ell(d)>kdℓ(d)>kd then inf⁡sA(fk;s)>0\inf_sA(f_k;s)>0infs​A(fk​;s)>0 and Nk(x)≍V(x)N_k(x)\asymp V(x)Nk​(x)≍V(x), and otherwise Nk≡0N_k\equiv0Nk​≡0 and A(fk;⋅)≡0A(f_k;\cdot)\equiv0A(fk​;⋅)≡0. The positive alternative holds for k=1,2k=1,2k=1,2.

Significance

The result itself. The formula replaces Ford's bounded uncertainty by an explicit function of the phase θ\thetaθ, built from finite arithmetic data, and answers the Erdős–Hall question: VVV is regularly varying of index 111. Theorem 2.2 answers, in weighted form, Erdős's question on how least preimages are distributed in intervals (kx,(k+1)x](kx,(k+1)x](kx,(k+1)x], reducing it to the existence of a "seed" totient with ℓ(d)>kd\ell(d)>kdℓ(d)>kd. Whether such seeds exist for every kkk (equivalently, whether ℓ(d)/d\ell(d)/dℓ(d)/d is unbounded) is not settled by the preprint.

Formalizing it. This is analytic number theory at full strength: Ford's structure theorems for totient preimages, sieve bounds for two or three linear forms in shifted primes, simplex volume computations and an inclusion–exclusion limit. Mathlib has the totient and the prime number theorem in some forms but not these sieve and distribution results. The definitions in this mission (the renewal root ρ\rhoρ, the witnesses, AHA_HAH​) are explicit and can be checked independently of any proof.

Difficulty

Counting integers nnn with a typical factorization is a volume computation, but V(x)V(x)V(x) counts values, and different nnn can have the same totient. The preprint must show that, outside a negligible set, distinct long prime prefixes give distinct values (Proposition 5.1, p. 22, and Proposition 5.3, p. 27), which needs a uniform comparison estimate for products of shifted primes (Proposition 4.2, p. 17), while short discrete tails that may collide are kept exactly and handled by inclusion–exclusion (Lemma 6.4, p. 30). The limits are taken in a specific order (x→∞x\to\inftyx→∞ with HHH fixed, then H→∞H\to\inftyH→∞), and no continuity of s↦A(1;s)s\mapsto A(1;s)s↦A(1;s) is available, so all errors must be uniform in the phase.

Formalization scope

  • IsTotient v means v=φ(n)v=\varphi(n)v=φ(n) for some n≥1n\ge1n≥1; V x counts totients in {1,…,⌊x⌋}\{1,\dots,\lfloor x\rfloor\}{1,…,⌊x⌋}; ell v is Nat.find of the least preimage (junk value 000 for non-totients, never used on them).
  • rho is the sInf of roots in (0,1)(0,1)(0,1) of ∑j≥0aj+1zj+1=1\sum_{j\ge0}a_{j+1}z^{j+1}=1∑j≥0​aj+1​zj+1=1; the root is unique, so this is the source's ρ\rhoρ.
  • AH H f s is formula (2.8) with finsum over totients ddd and over nonempty finite sets TTT of witnesses with φ(w)=d\varphi(w)=dφ(w)=d; the witness set is finite for each HHH, so the finsums are genuine finite sums. A f s is limUnder atTop; the goal asserts uniform convergence, so the junk value is never used.
  • mainTerm x = x / log x * G x (m x) * A 1 (theta x); asymptotic equivalence is Tendsto (V x / mainTerm x) atTop (𝓝 1).
  • The milestone coefficient_nonnegative is stated for every HHH, while the source states it for sufficiently large HHH; for small HHH the witness set is empty or the inclusion–exclusion is still a probability, so this is a harmless strengthening.
  • companion_zero_case restates alternative (ii) of Theorem 2.2 in a separate definition file (TotientCompanionZero) with identical definitions.

Selected references

  • OpenAI, An asymptotic formula for the number of totients, OpenAI Math Release preprint, September 25, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/An-asymptotic-formula-for-the-number-of-totients-September-25-2026/An-asymptotic-formula-for-the-number-of-totients-September-25-2026.pdf
  • S. S. Pillai, On some functions connected with φ(n), Bull. Amer. Math. Soc. 35 (1929), 832–836. https://www.ams.org/journals/bull/1929-35-06/S0002-9904-1929-04799-2/S0002-9904-1929-04799-2.pdf
  • P. Erdős, On the normal number of prime factors of p−1 and some related problems concerning Euler's φ-function, Q. J. Math. 6 (1935). https://doi.org/10.1093/qmath/os-6.1.205
  • P. Erdős, R. R. Hall, Distinct values of Euler's φ-function, Mathematika 23 (1976). https://doi.org/10.1112/S0025579300006100
  • C. Pomerance, On the distribution of the values of Euler's function, Acta Arith. 47 (1986). https://doi.org/10.4064/aa-47-1-63-70
  • H. Maier, C. Pomerance, On the number of distinct values of Euler's φ-function, Acta Arith. 49 (1988). https://doi.org/10.4064/aa-49-3-263-275
  • K. Ford, The distribution of totients, Ramanujan J. 2 (1998), 67–151; revised arXiv:1104.3264. https://arxiv.org/abs/1104.3264v2
2 thms1 active userReviewed
Number Theory·Captain: wurtle

A quadratic bound for Jacobsthal's functionResearch Paper

Motivation

For a positive integer nnn, Jacobsthal's function j(n)j(n)j(n) is the least mmm such that every run of mmm consecutive integers contains an integer coprime to nnn. Equivalently, j(n)−1j(n)-1j(n)−1 is the longest interval that can be covered by choosing one residue class modulo each prime divisor of nnn (the classes 0 mod p0\bmod p0modp shifted by the interval's start). Its maximum over integers with at most kkk prime divisors,

h(k)=max⁡{j(n): ω(n)≤k},h(k)=\max\{j(n):\ \omega(n)\le k\},h(k)=max{j(n): ω(n)≤k},

governs how long a stretch can be sieved out by kkk primes. It is linked to gaps between consecutive primes (long covered intervals produce large prime gaps, as in the Erdős–Rankin and Ford–Green–Konyagin–Maynard–Tao constructions) and to the limits of the linear sieve. Jacobsthal asked, and Erdős recorded, whether h(k)≪k2h(k)\ll k^2h(k)≪k2.

Background

  • 1960. Jacobsthal begins a series of papers on this function.
  • 1962. Erdős records Jacobsthal's question h(k)≪k2h(k)\ll k^2h(k)≪k2 and notes Brun's bound h(k)≪kC0h(k)\ll k^{C_0}h(k)≪kC0​ (doi:10.7146/math.scand.a-10523).
  • 1971. Iwaniec's error-term estimate for the linear sieve gives order k2log⁡2kk^2\log^2kk2log2k for the first kkk primes (doi:10.4064/aa-19-1-1-30).
  • 1977. Vaughan proves the uniform bound j(n)≪ω(n)2log⁡(2ω(n))j(n)\ll\omega(n)^2\log(2\omega(n))j(n)≪ω(n)2log(2ω(n)) and explains the exponent 2 by the linear sieve's square-root restriction (doi:10.1017/S0013091500026560).
  • 1978. Iwaniec proves h(k)≪k2log⁡2kh(k)\ll k^2\log^2kh(k)≪k2log2k for arbitrary prime sets (doi:10.1515/dema-1978-0121).
  • 2012. Hajdu and Saradha disprove Jacobsthal's primorial-extremality conjecture: j(P24)=234<236=h(24)j(P_{24})=234<236=h(24)j(P24​)=234<236=h(24) (doi:10.1090/S0025-5718-2012-02581-6).
  • 2015, 2019. Costello–Watts and Ziller compute bounds and exact values for small kkk (doi:10.1090/S0025-5718-2014-02896-2).
  • 2018. Ford, Green, Konyagin, Maynard and Tao give the lower bound j(Pk)≫k(log⁡k)2log⁡log⁡log⁡klog⁡log⁡kj(P_k)\gg k(\log k)^2\frac{\log\log\log k}{\log\log k}j(Pk​)≫k(logk)2loglogklogloglogk​ (doi:10.1090/jams/876).

The source of this mission is an OpenAI preprint dated September 25, 2026.

Setting

  • ω(n)\omega(n)ω(n) is the number of distinct prime divisors of nnn, with ω(1)=0\omega(1)=0ω(1)=0.
  • For n≥1n\ge1n≥1, j(n)j(n)j(n) is the least m≥1m\ge1m≥1 such that for every integer aaa, one of a,a+1,…,a+m−1a,a+1,\dots,a+m-1a,a+1,…,a+m−1 is coprime to nnn (note gcd⁡(0,n)=n\gcd(0,n)=ngcd(0,n)=n).
  • h(k)=sup⁡{j(n):n≥1, ω(n)≤k}h(k)=\sup\{j(n):n\ge1,\ \omega(n)\le k\}h(k)=sup{j(n):n≥1, ω(n)≤k} for k≥1k\ge1k≥1. All logarithms are natural.

Formalization targets

Milestone: quadratic bound (Jacobsthal's question)

∃C>0 ∀k≥1:h(k)≤C k2.\exists C>0\ \forall k\ge1:\quad h(k)\le C\,k^2.∃C>0 ∀k≥1:h(k)≤Ck2.

Goal: Theorem 1.1

∃C>0 ∀k≥1:h(k)≤C k2(log⁡log⁡(3k))2.\exists C>0\ \forall k\ge1:\quad h(k)\le C\,\frac{k^2}{(\log\log(3k))^2}.∃C>0 ∀k≥1:h(k)≤C(loglog(3k))2k2​.

Both are stated in Lean as the existence, for each kkk, of a length mmm satisfying IsJacobsthalBound k m with the displayed size bound. The goal OAI.Erdos970.Erdos970Final.erdos_970_iterated_log is open on the platform.

Significance

Theorem 1.1 answers Jacobsthal's question affirmatively, uniformly over all prime sets and interval positions, and removes the logarithmic losses in the bounds of Vaughan and Iwaniec, going slightly below the quadratic scale. It shows that the linear sieve can be pushed to its limiting parameter s=2s=2s=2, where the lower sieve function vanishes, by retaining a boundary contribution. The gap to the best lower bound (roughly k(log⁡k)2k(\log k)^2k(logk)2) remains large; Vaughan suggested j(n)≪εω(n)1+εj(n)\ll_\varepsilon\omega(n)^{1+\varepsilon}j(n)≪ε​ω(n)1+ε.

The result is proved in an OpenAI preprint, which has not been peer reviewed. No machine-checked proof exists. The constant CCC is not made explicit.

Difficulty

The linear sieve gives a lower bound for the number of uncovered integers only when the sieving range is below the square root of the interval length, which is exactly where the exponent 2 comes from; at the critical parameter the main term of the lower-bound sieve vanishes, so the standard argument yields nothing and a log⁡2k\log^2klog2k loss appears. One must keep the boundary term that the leading linear-sieve calculation discards, and then show that the actual prescribed residue classes do not deviate much from a reference calculation. Positivity of the reference calculation alone does not suffice: the comparison requires an inverse estimate for a witnessing edge of a decreasing-prime tree, variance bounds, and stopping-time counts for hard endpoints.

Formalization scope

  • IsJacobsthalBound k m: for every n : ℕ with 0 < n and n.primeFactors.card ≤ k, and every a : ℤ, some i < m has (a + i).natAbs.Coprime n.
  • JacobsthalQuadratic: ∃ C > 0, ∀ k > 0, ∃ m, IsJacobsthalBound k m ∧ m ≤ C k^2.
  • JacobsthalIteratedLog: the same with bound C k^2 / (log (log (3k)))^2; for k≥1k\ge1k≥1 the denominator is positive.
  • The two targets live in separate definition files that both define IsJacobsthalBound identically.

A complete development needs the fundamental lemma of the sieve, Buchstab-type functions of the linear sieve, prime number theorem estimates in short ranges and progressions, the additive large sieve, a lattice-point count on plane curves, and renewal-type arguments for a continuous path process. Contributions formalizing Theorem 1.2 (the quantitative covering estimate), Lemma 2.1 (fundamental lemma of the sieve), Proposition 6.3 (positive reference margin), Proposition 8.2 (inverse estimate for an edge) and Corollary 9.3 are welcome.

Selected references

  • OpenAI, A quadratic bound for Jacobsthal's function, preprint, September 25, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-quadratic-bound-for-Jacobsthals-function-September-25-2026/paper.pdf
  • P. Erdős, On the integers relatively prime to n and on a number-theoretic function considered by Jacobsthal, Math. Scand., 1962. https://doi.org/10.7146/math.scand.a-10523
  • R. C. Vaughan, On the order of magnitude of Jacobsthal's function, Proc. Edinburgh Math. Soc., 1977. https://doi.org/10.1017/S0013091500026560
  • H. Iwaniec, On the problem of Jacobsthal, Demonstratio Math., 1978. https://doi.org/10.1515/dema-1978-0121
  • H. Iwaniec, On the error term in the linear sieve, Acta Arith., 1971. https://doi.org/10.4064/aa-19-1-1-30
  • L. Hajdu, N. Saradha, Disproof of a conjecture of Jacobsthal, Math. Comp., 2012. https://doi.org/10.1090/S0025-5718-2012-02581-6
  • K. Ford, B. Green, S. Konyagin, J. Maynard, T. Tao, Long gaps between primes, J. Amer. Math. Soc., 2018. https://doi.org/10.1090/jams/876
  • F. Costello, P. Watts, An upper bound on Jacobsthal's function, Math. Comp., 2015. https://doi.org/10.1090/S0025-5718-2014-02896-2
  • J. Friedlander, H. Iwaniec, Opera de Cribro, AMS, 2010. https://doi.org/10.1090/coll/057
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AnalysisOperations ResearchProbability+1·Captain: mikedeng1

Law of Large Numbers Limits for Many-Server Queues 1: The Fluid Equations Have at Most One Solution, Given Explicitly by the Age Representation (3.11)Research Paper

Motivation

Large service systems such as call centers and hospital wards are modelled as many-server queues: NNN identical servers, customers arriving according to a general process, service requirements drawn independently from a general distribution GGG, and a single first-come-first-served queue. When GGG is not exponential the number of customers in system is not Markov, and a tractable state must keep track of how long each customer in service has been served. Kaspi and Ramanan (Ann. Appl. Probab. 21 (2011)) take as state the number in system together with the age measure, the point measure of the ages of the customers in service, and prove a functional law of large numbers: scaled by NNN, these processes converge to the unique solution of a deterministic system, the fluid equations. Earlier fluid and diffusion analyses of the G/GI/NG/GI/NG/GI/N queue worked with other state descriptors (Reed, Ann. Appl. Probab. 19 (2009); Whitt, Oper. Res. 54 (2006)); the measure-valued description records the elapsed service time of every customer in service, which is the information a non-exponential service distribution requires.

This mission covers the deterministic half of that result: the fluid equations are well posed, and their solution is given in closed form.

Setting

Service requirements have a density ggg that vanishes on (−∞,0)(-\infty,0)(−∞,0), G(x)=∫(−∞,x]gG(x)=\int_{(-\infty,x]}gG(x)=∫(−∞,x]​g, and the mean is normalized to one, ∫x g(x) dx=1\int x\,g(x)\,dx=1∫xg(x)dx=1. Let M=sup⁡{x≥0:G(x)<1}∈(0,∞]M=\sup\{x\ge0: G(x)<1\}\in(0,\infty]M=sup{x≥0:G(x)<1}∈(0,∞] and let h=g/(1−G)h=g/(1-G)h=g/(1−G) be the hazard rate on [0,M)[0,M)[0,M); hhh is locally integrable on [0,M)[0,M)[0,M) but not integrable on it. For a measure μ\muμ and a function fff write ⟨f,μ⟩=∫f dμ\langle f,\mu\rangle=\int f\,d\mu⟨f,μ⟩=∫fdμ, and 1\mathbf 11 for the constant one.

The data are a triple (Eˉ,Xˉ(0),νˉ0)(\bar E,\bar X(0),\bar\nu_0)(Eˉ,Xˉ(0),νˉ0​) in

S0={(f,x,μ):f nondecreasing caˋdlaˋg,f(0)=0; x≥0; μ a measure on [0,M), ⟨1,μ⟩≤1, 1−⟨1,μ⟩=[1−x]+},\mathcal S_0=\{(f,x,\mu): f \text{ nondecreasing càdlàg}, f(0)=0;\ x\ge0;\ \mu \text{ a measure on }[0,M),\ \langle\mathbf 1,\mu\rangle\le1,\ 1-\langle\mathbf 1,\mu\rangle=[1-x]^+\},S0​={(f,x,μ):f nondecreasing caˋdlaˋg,f(0)=0; x≥0; μ a measure on [0,M), ⟨1,μ⟩≤1, 1−⟨1,μ⟩=[1−x]+},

where Eˉ\bar EEˉ is the cumulative arrival process, Xˉ(0)\bar X(0)Xˉ(0) the initial number in system and νˉ0\bar\nu_0νˉ0​ the initial age measure (per server, so the total capacity is one). A càdlàg pair (Xˉ,νˉ)(\bar X,\bar\nu)(Xˉ,νˉ), with νˉt\bar\nu_tνˉt​ a sub-probability measure on [0,M)[0,M)[0,M) in the weak topology, solves the fluid equations if for every t≥0t\ge0t≥0: ∫0t⟨h,νˉs⟩ds<∞\int_0^t\langle h,\bar\nu_s\rangle ds<\infty∫0t​⟨h,νˉs​⟩ds<∞ (3.4); for every test function φ∈Cc1,1([0,M)×R+)\varphi\in\mathcal C_c^{1,1}([0,M)\times\mathbb R_+)φ∈Cc1,1​([0,M)×R+​)

⟨φ(⋅,t),νˉt⟩=⟨φ(⋅,0),νˉ0⟩+∫0t⟨φx+φs,νˉs⟩ds−∫0t⟨hφ(⋅,s),νˉs⟩ds+∫[0,t]φ(0,s) dKˉ(s)(3.5);\langle\varphi(\cdot,t),\bar\nu_t\rangle=\langle\varphi(\cdot,0),\bar\nu_0\rangle+\int_0^t\langle\varphi_x+\varphi_s,\bar\nu_s\rangle ds-\int_0^t\langle h\varphi(\cdot,s),\bar\nu_s\rangle ds+\int_{[0,t]}\varphi(0,s)\,d\bar K(s)\quad(3.5);⟨φ(⋅,t),νˉt​⟩=⟨φ(⋅,0),νˉ0​⟩+∫0t​⟨φx​+φs​,νˉs​⟩ds−∫0t​⟨hφ(⋅,s),νˉs​⟩ds+∫[0,t]​φ(0,s)dKˉ(s)(3.5);

Xˉ(t)=Xˉ(0)+Eˉ(t)−Dˉ(t)\bar X(t)=\bar X(0)+\bar E(t)-\bar D(t)Xˉ(t)=Xˉ(0)+Eˉ(t)−Dˉ(t) (3.6); and the nonidling condition 1−⟨1,νˉt⟩=[1−Xˉ(t)]+1-\langle\mathbf 1,\bar\nu_t\rangle=[1-\bar X(t)]^+1−⟨1,νˉt​⟩=[1−Xˉ(t)]+ (3.7). Here Dˉ(t)=∫0t⟨h,νˉs⟩ds\bar D(t)=\int_0^t\langle h,\bar\nu_s\rangle dsDˉ(t)=∫0t​⟨h,νˉs​⟩ds is the cumulative departure process and Kˉ(t)=⟨1,νˉt⟩−⟨1,νˉ0⟩+Dˉ(t)\bar K(t)=\langle\mathbf 1,\bar\nu_t\rangle-\langle\mathbf 1,\bar\nu_0\rangle+\bar D(t)Kˉ(t)=⟨1,νˉt​⟩−⟨1,νˉ0​⟩+Dˉ(t) the cumulative entry into service. Equation (3.5) is a weak form of a transport equation: mass moves to the right at unit speed, is killed at rate hhh, and enters at age 000 at rate dKˉd\bar KdKˉ.

Formalization targets

Goal: Theorem 3.5

For every (Eˉ,Xˉ(0),νˉ0)∈S0(\bar E,\bar X(0),\bar\nu_0)\in\mathcal S_0(Eˉ,Xˉ(0),νˉ0​)∈S0​:

  1. the fluid equations have at most one solution;
  2. under (3.4) and the path conditions, (Xˉ,νˉ)(\bar X,\bar\nu)(Xˉ,νˉ) is a solution if and only if it satisfies (3.6), (3.7) and, for every bounded continuous fff and t≥0t\ge0t≥0,
⟨f,νˉt⟩=∫[0,M)f(x+t)1−G(x+t)1−G(x) νˉ0(dx)+∫[0,t]f(t−s)(1−G(t−s)) dKˉ(s);(3.11)\langle f,\bar\nu_t\rangle=\int_{[0,M)}f(x+t)\frac{1-G(x+t)}{1-G(x)}\,\bar\nu_0(dx)+\int_{[0,t]}f(t-s)\big(1-G(t-s)\big)\,d\bar K(s);\quad(3.11)⟨f,νˉt​⟩=∫[0,M)​f(x+t)1−G(x)1−G(x+t)​νˉ0​(dx)+∫[0,t]​f(t−s)(1−G(t−s))dKˉ(s);(3.11)
  1. if Eˉ\bar EEˉ has a density λˉ\bar\lambdaλˉ, then Kˉ\bar KKˉ has a density κˉ\bar\kappaκˉ equal a.e. to λˉ\bar\lambdaλˉ where Xˉ<1\bar X<1Xˉ<1, to λˉ∧⟨h,νˉt⟩\bar\lambda\wedge\langle h,\bar\nu_t\rangleλˉ∧⟨h,νˉt​⟩ where Xˉ=1\bar X=1Xˉ=1, and to ⟨h,νˉt⟩\langle h,\bar\nu_t\rangle⟨h,νˉt​⟩ where Xˉ>1\bar X>1Xˉ>1 (3.12);
  2. if moreover νˉ0\bar\nu_0νˉ0​ is absolutely continuous, so is every νˉt\bar\nu_tνˉt​.

Milestones

  • Remark 4.3, (4.4): integration by parts for the entry term of (4.3).
  • (4.55): the integrated hazard in closed form, ψh(x,t)=(1−G(x))/(1−G(x−t))\psi_h(x,t)=(1-G(x))/(1-G(x-t))ψh​(x,t)=(1−G(x))/(1−G(x−t)) or 1−G(x)1-G(x)1−G(x).
  • Theorem 4.1: for a Radon-measure-valued path satisfying the hazard bound (4.1), the age equation (4.2), which is (3.5) with an arbitrary Radon measure υ0\upsilon_0υ0​ and an arbitrary ZZZ of bounded variation in place of νˉ0\bar\nu_0νˉ0​ and Kˉ\bar KKˉ, holds if and only if the representation (4.3) holds.
  • Proof of Corollary 4.4: Kˉ\bar KKˉ is nondecreasing.
  • Corollary 4.4, (4.5): Kˉ(t)=⟨1,νˉt⟩−⟨1,νˉ0⟩+∫G(x+t)−G(x)1−G(x)νˉ0(dx)+∫0tg(t−s)Kˉ(s)ds\bar K(t)=\langle\mathbf 1,\bar\nu_t\rangle-\langle\mathbf 1,\bar\nu_0\rangle+\int\frac{G(x+t)-G(x)}{1-G(x)}\bar\nu_0(dx)+\int_0^tg(t-s)\bar K(s)dsKˉ(t)=⟨1,νˉt​⟩−⟨1,νˉ0​⟩+∫1−G(x)G(x+t)−G(x)​νˉ0​(dx)+∫0t​g(t−s)Kˉ(s)ds.
  • Lemma 4.5: ∥⟨f,νˉs2⟩−⟨f,νˉs1⟩∥T≤∥f∥M∣Δυ0∣TV+(2∥f∥T+∥f′∥T)∥ΔZ∥T\|\langle f,\bar\nu^2_s\rangle-\langle f,\bar\nu^1_s\rangle\|_T\le\|f\|_M|\Delta\upsilon_0|_{TV}+(2\|f\|_T+\|f'\|_T)\|\Delta Z\|_T∥⟨f,νˉs2​⟩−⟨f,νˉs1​⟩∥T​≤∥f∥M​∣Δυ0​∣TV​+(2∥f∥T​+∥f′∥T​)∥ΔZ∥T​.
  • Theorem 4.6: with equal initial measures, ∥ΔKˉ∥T∨∥ΔDˉ∥T≤∣ΔXˉ(0)∣+∥ΔEˉ∥T\|\Delta\bar K\|_T\vee\|\Delta\bar D\|_T\le|\Delta\bar X(0)|+\|\Delta\bar E\|_T∥ΔKˉ∥T​∨∥ΔDˉ∥T​≤∣ΔXˉ(0)∣+∥ΔEˉ∥T​, together with (4.8) and (4.10).

Significance

Uniqueness of the fluid solution is what turns tightness of the scaled NNN-server processes into convergence: every subsequential limit solves the fluid equations, so all coincide (the paper's Theorem 3.7). The representation (3.11) reduces the measure-valued equation to the scalar process Kˉ\bar KKˉ, and the continuity estimate of Theorem 4.6 says the fluid solution is a Lipschitz function of the arrival process. Both are used in the paper's study of long-time behaviour, where νˉt\bar\nu_tνˉt​ converges to the measure with density 1−G1-G1−G, and (3.12) is the form of the entry rate used there.

The results are proved in the paper. None of them, and no part of the measure-valued fluid model, has a machine-checked proof. Formalizing them produces a checked weak-solution theory for a transport equation with an unbounded killing rate and a measure-valued boundary input, which is a reusable piece of infrastructure for other age- and residual-time-based queueing models.

Difficulty

The central step is Theorem 4.1. The naive approach treats (4.2) as a first-order PDE and integrates along characteristics, but the solution is only a càdlàg path of measures, hhh is merely locally integrable and blows up near MMM, and ZZZ may jump, so classical characteristics are not available; the test functions must not vanish on the boundary x=0x=0x=0, since that is where the entry term lives. The second difficulty is in Theorem 4.6: the entry process Kˉ\bar KKˉ is defined implicitly through the nonidling condition, and comparing two solutions requires a first-crossing argument that distinguishes whether the system is below, at or above capacity at that time.

Formalization scope

The service law is its density ggg (ServiceLaw), with g=0g=0g=0 below 000, ∫g=1\int g=1∫g=1 and mean one. Time is R\mathbb RR read on [0,∞)[0,\infty)[0,∞); every condition is stated for t≥0t\ge0t≥0. Measures of the fluid model are FiniteMeasure ℝ carried by [0,M)[0,M)[0,M), whose topology is weak convergence, so càdlàg paths are càdlàg in MF[0,M)\mathcal M_F[0,M)MF​[0,M) with the weak topology. The paths of Theorem 4.1 and Lemma 4.5 are ℝ → Measure ℝ with values Radon on [0,M)[0,M)[0,M) (possibly infinite) and càdlàg in the vague topology. M∈[0,∞]M\in[0,\infty]M∈[0,∞] is an extended number. The integral in (3.4) is a lower integral in [0,∞][0,\infty][0,∞], and Dˉ\bar DDˉ, Kˉ\bar KKˉ are its real value. dKˉd\bar KdKˉ is the Lebesgue–Stieltjes measure of Kˉ\bar KKˉ, with no atom at 000. A function ZZZ of bounded variation is a difference Z1−Z2Z_1-Z_2Z1​−Z2​ of nondecreasing càdlàg functions vanishing at 000.

Explicit choices: compact support of test functions is relative to [0,M)×R+[0,M)\times\mathbb R_+[0,M)×R+​, so φ(0,s)\varphi(0,s)φ(0,s) need not vanish (with supports taken in R2\mathbb R^2R2 the entry term of (3.5) would vanish identically); νˉ(0)=νˉ0\bar\nu(0)=\bar\nu_0νˉ(0)=νˉ0​ and Xˉ(0)\bar X(0)Xˉ(0) equal to the datum are clauses of the fluid equations, but not of the age equation, where υ0\upsilon_0υ0​ is arbitrary; functions in Cb(R+)\mathcal C_b(\mathbb R_+)Cb​(R+​), Cc(R+)\mathcal C_c(\mathbb R_+)Cc​(R+​) and Cb1(R+)\mathcal C^1_b(\mathbb R_+)Cb1​(R+​) are represented by functions on R\mathbb RR of the same class, of which only values on [0,∞)[0,\infty)[0,∞) are read; norms in Lemma 4.5 are computed in [0,∞][0,\infty][0,∞], since ∣Δυ0∣TV|\Delta\upsilon_0|_{TV}∣Δυ0​∣TV​ may be infinite. Two printed statements are corrected: in Theorem 3.5 the paper's right-hand side of the equivalence lists (3.6) and (3.11); the nonidling condition (3.7), part of the fluid equations on the left, is kept on the right, as the proof requires. In (4.10), ΔXˉ(0)\Delta\bar X(0)ΔXˉ(0) is replaced by ∣ΔXˉ(0)∣|\Delta\bar X(0)|∣ΔXˉ(0)∣, which is what Lemma 4.5 and (4.9) give.

A fluid solution is defined by the weak transport equation (3.5), never by the representation (3.11) or by a formula for νˉ\bar\nuνˉ in terms of Kˉ\bar KKˉ; with such a definition the equivalence of the goal would be an unfolding of definitions.

A complete development needs Lebesgue–Stieltjes integration by parts for càdlàg functions of bounded variation, the Riesz description of the vague topology, and uniqueness for weak solutions of transport equations; these are reusable beyond this mission. Proofs of any milestone, and of the parts of Theorem 3.5 separately, are welcome. The paper's Section 4.3 machinery (the abstract and simplified age equations, Lemmas 4.12–4.13, Propositions 4.15–4.16) is not posed here and may be formalized as supporting lemmas.

Selected references

  • H. Kaspi and K. Ramanan, Law of large numbers limits for many-server queues, Ann. Appl. Probab. 21(1) (2011), 33–114. https://doi.org/10.1214/09-AAP662
  • J. Reed, The G/GI/N queue in the Halfin–Whitt regime, Ann. Appl. Probab. 19(6) (2009), 2211–2269. https://doi.org/10.1214/09-AAP609
  • W. Whitt, Fluid models for multiserver queues with abandonments, Oper. Res. 54(1) (2006), 37–54. https://doi.org/10.1287/opre.1050.0227
  • S. Asmussen, Applied Probability and Queues, 2nd ed., Springer, 2003. https://doi.org/10.1007/b97236
10 thms1 active userReviewed
Partial Differential EquationsProbability·Captain: mikedeng1

An Optimal Variance Estimate in Stochastic Homogenization of Discrete Elliptic Equations: Scale-L Averages of the Approximate-Corrector Energy Density Have Variance ≲ L^−d, Times (ln T)^q if d = 2Research Paper

Motivation

A random conductance model puts a random conductivity on every edge of the lattice Zd\mathbb Z^dZd. It is the simplest discrete model of diffusion in a heterogeneous medium, and its generator is the generator of a random walk in a random environment. Classical stochastic homogenization shows that on large scales the random operator behaves like a constant-coefficient elliptic operator whose homogenized coefficient AhomA_{\mathrm{hom}}Ahom​ is deterministic. The characterization of AhomA_{\mathrm{hom}}Ahom​, however, involves an equation on the whole lattice for every realization of the coefficients. In practice one computes a spatial average over a box of size LLL of the energy density of an approximate corrector, as in Gloria and Otto (arXiv:1104.1291, §1). The random part of the error of this procedure is a variance. Its size as a function of LLL determines how large a computational box must be.

Timeline:

  • 1979–1981: Kozlov (MR542557) and Papanicolaou–Varadhan (MR712714) prove qualitative homogenization for continuum elliptic equations with random coefficients.
  • 1983: Künnemann (MR714611) proves the discrete version, the diffusion limit of reversible jump processes on Zd\mathbb Z^dZd with ergodic bond conductivities. It provides the corrector and the approximate corrector used here.
  • 1986: Yurinskii (MR867870) gives the first quantitative rates, far from optimal.
  • 1998: Naddaf and Spencer (preprint, Estimates on the variance of some homogenization problems) introduce the spectral-gap approach and obtain optimal variance bounds under a small-contrast assumption on the conductivities.
  • 2011: Gloria and Otto (DOI 10.1214/10-AOP571) prove the optimal variance estimate without any small-contrast assumption, with a logarithmic loss in d=2d = 2d=2. This mission formalizes that estimate.

Setting

Fix d≥2d \ge 2d≥2 and 0<α≤β0 < \alpha \le \beta0<α≤β. Sites are x∈Zdx \in \mathbb Z^dx∈Zd and e1,…,ede_1,\dots,e_de1​,…,ed​ is the canonical basis. An edge [z,z+ei][z, z+e_i][z,z+ei​] carries a conductivity a(z,i)∈[α,β]a(z,i) \in [\alpha,\beta]a(z,i)∈[α,β]; such a field aaa belongs to the class Aαβ\mathcal A_{\alpha\beta}Aαβ​. The discrete gradients are ∇iu(x)=u(x+ei)−u(x)\nabla_i u(x) = u(x+e_i) - u(x)∇i​u(x)=u(x+ei​)−u(x) and ∇i∗u(x)=u(x)−u(x−ei)\nabla^*_i u(x) = u(x) - u(x-e_i)∇i∗​u(x)=u(x)−u(x−ei​), and A(x)=diag[a(x,1),…,a(x,d)]A(x) = \mathrm{diag}[a(x,1),\dots,a(x,d)]A(x)=diag[a(x,1),…,a(x,d)].

The conductivities are i.i.d.: they are distributed according to the product ν⊗E\nu^{\otimes E}ν⊗E over all edges of one probability law ν\nuν on [α,β][\alpha,\beta][α,β]. No density is assumed, so atomic laws are allowed. ⟨⋅⟩\langle\cdot\rangle⟨⋅⟩ is the expectation and var⁡\operatorname{var}var the variance.

For a direction ξ∈Rd\xi \in \mathbb R^dξ∈Rd with ∣ξ∣=1|\xi| = 1∣ξ∣=1 and a cut-off T>0T > 0T>0, the approximate corrector ϕT\phi_TϕT​ solves

T−1ϕT(x)−∇∗⋅A(x)(∇ϕT(x)+ξ)=0(x∈Zd).T^{-1}\phi_T(x) - \nabla^*\cdot A(x)\big(\nabla\phi_T(x) + \xi\big) = 0 \qquad (x \in \mathbb Z^d).T−1ϕT​(x)−∇∗⋅A(x)(∇ϕT​(x)+ξ)=0(x∈Zd).

The zero-order term introduces the length scale T\sqrt TT​. The Green's function GT(x,y;a)G_T(x,y;a)GT​(x,y;a) is the ℓ2\ell^2ℓ2 solution of (T−1−∇∗⋅A∇)GT(⋅,y)=δy(T^{-1} - \nabla^*\cdot A\nabla)G_T(\cdot,y) = \delta_y(T−1−∇∗⋅A∇)GT​(⋅,y)=δy​ in weak form.

A mask ηL:Zd→[0,1]\eta_L : \mathbb Z^d \to [0,1]ηL​:Zd→[0,1] is supported in the box (−L,L)d(-L,L)^d(−L,L)d, sums to 111 and satisfies ∣∇ηL∣≤CηL−d−1|\nabla\eta_L| \le C_\eta L^{-d-1}∣∇ηL​∣≤Cη​L−d−1. The averaged energy density is

ξ⋅AL,Tξ=∑x∈Zd(T−1ϕT(x)2+(∇ϕT(x)+ξ)⋅A(x)(∇ϕT(x)+ξ))ηL(x).\xi\cdot A_{L,T}\xi = \sum_{x\in\mathbb Z^d}\Big(T^{-1}\phi_T(x)^2 + \big(\nabla\phi_T(x)+\xi\big)\cdot A(x)\big(\nabla\phi_T(x)+\xi\big)\Big)\eta_L(x).ξ⋅AL,T​ξ=x∈Zd∑​(T−1ϕT​(x)2+(∇ϕT​(x)+ξ)⋅A(x)(∇ϕT​(x)+ξ))ηL​(x).

Formalization targets

Goal: Theorem 2.1, estimate (2.5)

There are an exponent q>0q > 0q>0 and a threshold T0T_0T0​, depending only on d,α,βd, \alpha, \betad,α,β, and for each mask constant CηC_\etaCη​ a constant CCC, such that for every law ν\nuν on [α,β][\alpha,\beta][α,β], every unit ξ\xiξ, every T≥T0T \ge T_0T≥T0​, every L>0L > 0L>0 and every mask ηL\eta_LηL​:

var⁡[ξ⋅AL,Tξ]≤{C L−2(ln⁡T)q,d=2,C L−d,d>2.\operatorname{var}[\xi\cdot A_{L,T}\xi] \le \begin{cases} C\,L^{-2}(\ln T)^q, & d = 2,\\ C\,L^{-d}, & d > 2.\end{cases}var[ξ⋅AL,T​ξ]≤{CL−2(lnT)q,CL−d,​d=2,d>2.​

The statement fixes the shape of the bound, not the value of qqq or CCC, which is why it is the goal.

Milestones

The milestones follow the paper's proof:

  • well-posedness: the Green's function (Definition 2.7) and the approximate corrector (Lemma 2.2, pathwise form);
  • the variance estimate Lemma 2.3 for functions of countably many i.i.d. variables;
  • deterministic Green's-function bounds: Lemma 2.8 (BMO and decay on dyadic annuli), Lemma 2.9 (Meyers-type higher integrability), Corollaries 2.2 and 2.3;
  • susceptibility formulas: Lemmas 2.4 and 2.5, which give ∂ϕT/∂a(e)\partial\phi_T/\partial a(e)∂ϕT​/∂a(e) and ∂GT/∂a(e)\partial G_T/\partial a(e)∂GT​/∂a(e);
  • measurability: Lemma 2.6;
  • a Caccioppoli inequality in probability: Lemma 2.7;
  • a convolution estimate: Lemma 2.10;
  • moment bounds: Proposition 2.1, which gives ⟨∣ϕT(0)∣q⟩≲1\langle|\phi_T(0)|^q\rangle \lesssim 1⟨∣ϕT​(0)∣q⟩≲1 for d>2d > 2d>2 and ≲(ln⁡T)γ(q)\lesssim(\ln T)^{\gamma(q)}≲(lnT)γ(q) for d=2d = 2d=2;
  • the two steps of §3.2: the derivative formula (3.17) and its uniform bound (3.22).

Significance

The result. The estimate says that smooth averages of the energy density fluctuate as if the density were independent from site to site, at the rate L−d/2L^{-d/2}L−d/2. That rate is the best possible, since the coefficients themselves are independent. In the error analysis of approximations of AhomA_{\mathrm{hom}}Ahom​, this controls the random error and separates it from the systematic error caused by the cut-off TTT. Proposition 2.1, a byproduct, shows that the approximate corrector has all moments bounded uniformly in TTT when d>2d > 2d>2, which yields a stationary corrector (Corollary 2.1 of the paper).

Formalizing it. The theorem has been proved since 2011, and no machine-checked version is known. A formal proof would combine three components that are reusable well beyond this paper:

  • a variance inequality for functions of countably many independent variables, in the infinite product measure;
  • quantitative regularity of discrete elliptic Green's functions, uniform in the coefficients;
  • the sensitivity calculus of solutions with respect to a single coefficient.

Difficulty

The obvious argument fails because the energy density is not independent from site to site: the corrector couples all conductivities through the inverse of a random elliptic operator. Bounding the variance needs the sensitivity of ξ⋅AL,Tξ\xi\cdot A_{L,T}\xiξ⋅AL,T​ξ to each single conductivity, and that sensitivity is expressed through gradients of the Green's function. Pointwise bounds on ∇GT\nabla G_T∇GT​ that are uniform in the coefficients do not exist: the continuum counterpart fails, by examples from quasi-conformal mappings. Only averaged decay on dyadic annuli and a small gain of integrability are available, which is why the proof needs the moment bounds of Proposition 2.1. In d=2d = 2d=2 the Green's function does not decay, so only BMO-type control is available, and a logarithm of TTT is lost.

Formalization scope

Statements follow the arXiv v1 reprint (arXiv:1104.1291v1) of the Annals of Probability article; theorem and page numbers refer to it.

  • The lattice is Fin d → ℤ. An edge [z,z+ei][z,z+e_i][z,z+ei​] is the pair (z, i), and a coefficient field is a real function on edges; the theorems assume it takes values in [α,β][\alpha,\beta][α,β].
  • The i.i.d. law is Measure.infinitePi of one probability measure ν\nuν on R\mathbb RR with ν([α,β]c)=0\nu([\alpha,\beta]^c) = 0ν([α,β]c)=0.
  • ϕT\phi_TϕT​ is the unique bounded solution of (2.3) and GT(⋅,y)G_T(\cdot,y)GT​(⋅,y) the unique ℓ2\ell^2ℓ2 solution of (2.11). The definitions file explains why the bounded solution is the paper's stationary ϕT\phi_TϕT​.
  • Norms are Euclidean. The mask's gradient bound is componentwise with an explicit constant CηC_\etaCη​.
  • Every ≲\lesssim≲ becomes an explicit constant chosen before the law, the coefficients and the spatial variables, and every ≫1\gg 1≫1 becomes an explicit threshold.
  • Variances, lower integrals and infinite sums that could otherwise default to 000 are either taken in [0,∞][0,\infty][0,∞] or come with square-integrability in the conclusion.

Ruling out a trivial formalization. If the constant CCC were allowed to depend on the law ν\nuν or on the mask, the goal would follow from the boundedness of the energy average alone. If the variance were taken of a function that is not square-integrable, it would be 000 by convention. The goal fixes CCC before ν\nuν and ηL\eta_LηL​ and requires square-integrability as part of the conclusion.

Not formalized:

  • the last sentence of Theorem 2.1, the variance estimate for the corrector ϕ\phiϕ itself when d>2d > 2d>2. It needs the stationary corrector of Lemma 2.1, whose existence is quoted from Künnemann;
  • Lemma 2.8 (ii);
  • the stochastic part of Lemma 2.2 (stationarity and zero mean of ϕT\phi_TϕT​), which follows from the pathwise statement as explained in the definitions file.

Welcome contributions are proofs of any milestone and reusable infrastructure: infinite-product variance inequalities, discrete integration by parts, and discrete maximum principles.

Selected references

  • A. Gloria, F. Otto, An optimal variance estimate in stochastic homogenization of discrete elliptic equations, Ann. Probab. 39(3) (2011) 779–856. arXiv:1104.1291, DOI 10.1214/10-AOP571
  • R. Künnemann, The diffusion limit for reversible jump processes on Zd\mathbb Z^dZd with ergodic random bond conductivities, Comm. Math. Phys. 90 (1983) 27–68. MR714611
  • S. M. Kozlov, The averaging of random operators, Mat. Sb. 109(151) (1979) 188–202. MR542557
  • G. C. Papanicolaou, S. R. S. Varadhan, Boundary value problems with rapidly oscillating random coefficients, Colloq. Math. Soc. János Bolyai 27 (1981) 835–873. MR712714
  • V. V. Yurinskii, Averaging of symmetric diffusion in a random medium, Sibirsk. Mat. Zh. 27 (1986) 167–180. MR867870
  • N. G. Meyers, An LpL^pLp estimate for the gradient of solutions of second order elliptic divergence equations, Ann. Scuola Norm. Sup. Pisa 17 (1963) 189–206. MR0159110
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