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Campaigns (experimental)

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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.

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.

≥ 2.131121719190Formalized record→≥ 2.15Open frontier
9 provers on it18 of 19 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.

≤ 1.960614Formalized record→≤ 1.9202796Open frontier
4 provers on it7 of 8 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.

≤ 7.101862832357Formalized record→≤ 2Open frontier
17 provers on it8 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.
≤ 21Formalized record→≤ 16Open frontier
5 provers on it12 of 13 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.

≤ 23Formalized record→≤ 5Open frontier
38 provers on it15 of 17 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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EconomicsOperations Research·Captain: mikedeng1

Managing Customer Search via Bundling: With One Mature and One New Product, Bundling Earns Higher Revenue than Selling Separately if and only if the Search Cost Is at Most 25/512Research Paper

Why search changes the bundling decision

A seller deciding whether to offer two products separately or as one bundle also changes what customers need to learn before buying. A customer can know what a familiar product is worth to her while remaining uncertain about a new one. She may pay to inspect the new product, buy it without inspection, or leave. The seller's price can move customers between those choices. Wu, Jin and Chen study this interaction in a tractable two-product market and identify the exact search-cost threshold at which the preferred selling scheme changes (Wu, Jin and Chen, 2022, §§3–5). The question matters for pricing a new product alongside an established one when customers can buy from a description but can also spend effort learning whether the new product suits them.

Market and customer choices

A monopolist faces a unit mass of risk-neutral customers and has zero marginal production cost. Each customer values products 1 and 2 at independent uniform valuations V1,V2∼U[0,1]V_1,V_2\sim U[0,1]V1​,V2​∼U[0,1]. Product 1 is mature: its valuation v1v_1v1​ is already known to that customer. Product 2 is new: before search, the customer knows only that its valuation is uniform on [0,1][0,1][0,1], with mean 1/21/21/2. Searching product 2 reveals v2v_2v2​ and costs c≥0c\ge0c≥0. Search is non-obligatory: a customer can buy a new product without inspecting it. The model and the information available at each decision are specified in §3 of the working paper.

Under separate selling, the seller posts nonnegative prices p1p_1p1​ and p2p_2p2​, and each product is purchased independently. The mature product sells when v1≥p1v_1\ge p_1v1​≥p1​; its revenue is RM(p1)=p1Pr⁡(V1≥p1)R_M(p_1)=p_1\Pr(V_1\ge p_1)RM​(p1​)=p1​Pr(V1​≥p1​). For the new product, buying without search gives expected payoff E[V2]−p2\mathbb E[V_2]-p_2E[V2​]−p2​, searching gives E[(V2−p2)+]−c\mathbb E[(V_2-p_2)^+]-cE[(V2​−p2​)+]−c, and leaving gives zero. If a customer searches, she buys only when the observed v2≥p2v_2\ge p_2v2​≥p2​. Write DN(c,p2)D_N(c,p_2)DN​(c,p2​) for the resulting purchase probability, RN(c,p2)=p2DN(c,p2)R_N(c,p_2)=p_2D_N(c,p_2)RN​(c,p2​)=p2​DN​(c,p2​), and RS(c,p1,p2)=RM(p1)+RN(c,p2)R_S(c,p_1,p_2)=R_M(p_1)+R_N(c,p_2)RS​(c,p1​,p2​)=RM​(p1​)+RN​(c,p2​) for total separate-selling revenue (§4).

Under pure bundling, the seller posts one nonnegative price pBp_BpB​ for both products. A customer who knows v1v_1v1​ compares leaving, buying immediately with expected payoff v1+1/2−pBv_1+1/2-p_Bv1​+1/2−pB​, and searching product 2 with expected payoff E[(v1+V2−pB)+]−c\mathbb E[(v_1+V_2-p_B)^+]-cE[(v1​+V2​−pB​)+]−c. After search she buys the bundle only when v1+v2≥pBv_1+v_2\ge p_Bv1​+v2​≥pB​. Let DB(c,pB)D_B(c,p_B)DB​(c,pB​) be the probability of purchase after these choices, integrating over both independent uniform valuations, and let RB(c,pB)=pBDB(c,pB)R_B(c,p_B)=p_BD_B(c,p_B)RB​(c,pB​)=pB​DB​(c,pB​) (eqs. (1)–(2), pp. 11–13).

The customer follows the paper's footnote-10 tie rule: when an immediate purchase and search have equal best payoff, she buys without search; otherwise she searches if its expected payoff is nonnegative and a valuation in the support can meet the price. If search and leaving tie at zero payoff beyond the support, she leaves. The rule matters at exact optimal prices. It also ensures a customer is counted once when the two demand segments printed in §5.2 overlap at c=0c=0c=0.

Formalization targets

The mission first identifies the optimal new-product and bundle revenues, including prices at which they are attained. The new-product maximum has three search-cost regimes: c≤1/32c\le1/32c≤1/32, 1/32<c≤1/81/32<c\le1/81/32<c≤1/8, and c>1/8c>1/8c>1/8. The bundle maximum likewise has three regimes, with boundaries 2−37/42-3\sqrt7/42−37​/4 and 1/321/321/32. These are the cases of Propositions 1 and 2, pp. 9–13, and form the central milestones. The mature product's optimal revenue is 1/41/41/4, attained at price 1/21/21/2.

The goal is the paper's Theorem 1, p. 15. Write RS∗(c)R_S^*(c)RS∗​(c) for the maximum of RS(c,p1,p2)R_S(c,p_1,p_2)RS​(c,p1​,p2​) over p1,p2≥0p_1,p_2\ge0p1​,p2​≥0, and RB∗(c)R_B^*(c)RB∗​(c) for the maximum of RB(c,pB)R_B(c,p_B)RB​(c,pB​) over pB≥0p_B\ge0pB​≥0. The theorem asserts that these maxima exist and

RS∗(c)≤RB∗(c)⟺0≤c≤25512.R_S^*(c)\le R_B^*(c)\quad\Longleftrightarrow\quad 0\le c\le\frac{25}{512}.RS∗​(c)≤RB∗​(c)⟺0≤c≤51225​.

At c=25/512c=25/512c=25/512, both revenues equal 9/169/169/16. The formal goal therefore also records the strict form, RS∗(c)<RB∗(c)R_S^*(c)<R_B^*(c)RS∗​(c)<RB∗​(c) exactly when c<25/512c<25/512c<25/512, under the standing assumption c≥0c\ge0c≥0. It asserts no unique optimal price: the new product can have two optimal prices at c=1/32c=1/32c=1/32.

What the result establishes

The threshold gives an exact decision rule in this model: below it, bundling earns more; at it, the schemes tie; above it, separate selling earns more. It is a comparison of optimized revenues, after the seller chooses the best admissible price for each scheme, rather than a comparison at fixed prices. It also makes precise how the familiar product's known value changes the demand generated by searching for the new one (Theorem 1 and its discussion, pp. 15–16).

The paper gives the analytical results, but this mission targets machine-checked proofs of their formal statements. The development contributes a reusable payoff-based rule for non-obligatory search and a concrete uniform-valuation revenue model. It leaves the interval-integral demand definition in place so that deriving the piecewise optimal revenues remains genuine mathematical work. No proof of these results is included in the SSRN copy held for this mission; the supporting milestones are the results stated in its main text.

Where the mathematics is difficult

Search and purchase choices change discontinuously when a price crosses a payoff threshold. For a single new product the same choice is made by every customer, but under bundling the mature valuation v1v_1v1​ sorts customers into buyers without search, searchers who may buy after observing v2v_2v2​, and nonbuyers. The bundle demand must integrate across these groups. Its maximizing price changes regime as ccc moves through 2−37/42-3\sqrt7/42−37​/4 and 1/321/321/32 (§5.2 and Figure 1, pp. 12–13). A fixed-price comparison cannot establish Theorem 1, because the best price itself depends on search cost and on the selling scheme.

Formalization scope

Lean uses real prices and costs, with c≥0c\ge0c≥0 and every price restricted to be nonnegative. Uniform expectations are interval integrals over [0,1][0,1][0,1], and uniform tail probabilities are volumes intersected with that interval. Demand and revenue are built from the customer choice rule; optimal values are expressed as greatest elements of the image of the admissible price set. In particular, the goal does not substitute the closed formulas from Propositions 1 and 2 for those maxima. Such a substitution would reduce the intended economic comparison to arithmetic and leave the search model untested.

The formal choice rule implements footnote 10's immediate-purchase tie preference and selects leaving when zero-cost search could never result in a purchase. Bundle demand counts each customer once, including at c=0c=0c=0, where the two weak-inequality demand segments in the printed text overlap. The mature and new valuations remain independent uniform variables; search reveals the new value only, and every search incurs cost ccc. The real-valued interval integrals represent finite, bounded payoffs or bounded purchase probabilities, so their values are genuine expectations and probabilities rather than defaults for nonintegrable functions. No separate assumption of a unique maximizer is used. Contributions that establish the integral identities, measurable choice regions, piecewise demand formulas, and global optimality statements are within scope.

Selected references

  • C. Wu, C. Jin, and Y.-J. Chen, Managing Customer Search via Product Bundling, SSRN working paper 3692871, version of 17 January 2022, §§3–5, pp. 7–16. SSRN.
11 thms2 active usersReviewed
🏆Completed
EconomicsOperations Research·Captain: mikedeng1

Reference Pricing for Healthcare Services: Each Provider Prices Higher Under Variable Payment Than Under Reference Pricing if and only if the Patient Cost Share Is Below a ThresholdResearch Paper

Motivation

Health insurers pay providers in one of a few ways, and the choice shapes what providers charge. Under variable payment (co-insurance) the patient pays a fixed fraction of the provider's price. Under reference pricing the insurer announces a cap p∗p^*p∗ for a procedure: the patient pays a fixed co-payment at any provider charging at most p∗p^*p∗, and in addition the whole excess above p∗p^*p∗ at a provider charging more. The authors motivate their model with the California Public Employees' Retirement System's reference-pricing program for knee and hip replacement (Nassiri, Adida and Mamani, 2022).

S. Nassiri, E. Adida and H. Mamani (Reference pricing for healthcare services, M&SOM 24(2), 2022; author manuscript SSRN 3176280) model the two payment systems as price games between competing providers whose patients choose by a multinomial logit rule, and compare the resulting equilibria. Their first comparison, Proposition 5, is about provider prices. Variable payment leads to higher prices than reference pricing exactly when the patient cost share is below a provider-specific threshold. This mission formalizes that result and the equilibrium characterizations it rests on.

Setting

Two providers, j=1,2j = 1, 2j=1,2, offer a procedure to m>0m > 0m>0 patients. Provider jjj has a non-price attribute aja_jaj​, with a1≤a2a_1 \le a_2a1​≤a2​. Both providers have nonnegative treatment cost ccc, and every patient has price sensitivity γ>0\gamma > 0γ>0. The alternative to treatment has utility u0u_0u0​. If the patient's out-of-pocket cost at provider jjj is ojo_joj​, provider jjj's market share is

Sj(P)=eaj−γojeu0+∑k=12eak−γok,S_j(P) = \frac{e^{a_j - \gamma o_j}}{e^{u_0} + \sum_{k=1}^{2} e^{a_k - \gamma o_k}},Sj​(P)=eu0​+∑k=12​eak​−γok​eaj​−γoj​​,

where P=(p1,p2)P = (p_1, p_2)P=(p1​,p2​) is the price vector. Provider jjj's profit is Vj(P)=m(pj−c)Sj(P)V_j(P) = m(p_j - c)S_j(P)Vj​(P)=m(pj​−c)Sj​(P).

  • Variable payment (VP) with cost share λ∈(0,1]\lambda \in (0,1]λ∈(0,1]: oj=λpjo_j = \lambda p_joj​=λpj​.
  • Reference pricing (RP) with reference price p∗p^*p∗ and co-payment c~<c\tilde c < cc~<c: oj=c~+max⁡{0,pj−p∗}o_j = \tilde c + \max\{0, p_j - p^*\}oj​=c~+max{0,pj​−p∗}. Provider jjj is value-based if pj≤p∗p_j \le p^*pj​≤p∗.

Under each system the two providers choose prices simultaneously, and an equilibrium is a pure Nash equilibrium of that game: no provider can raise its own profit by changing only its own price. Each system also carries a standing assumption on best responses. Assumption 1 says that, as the rival's price tends to infinity, the limit SˉjVP\bar S^{VP}_jSˉjVP​ of provider jjj's share at its VP best response is at most 50%50\%50%. Assumption 2 is the same condition under RP.

Formalization targets

Goal: Proposition 5

Assume, in addition, that the co-payment is below the reference price, c~<p∗\tilde c < p^*c~<p∗. Let PRPP^{RP}PRP be an RP equilibrium. For each provider jjj there is λj∗∈(0,1]\lambda^*_j \in (0,1]λj∗​∈(0,1] such that, for every λ∈(0,1]\lambda \in (0,1]λ∈(0,1] and every VP equilibrium PVP(λ)P^{VP}(\lambda)PVP(λ),

pjVP(λ)>pjRP  ⟺  λ<λj∗.p^{VP}_j(\lambda) > p^{RP}_j \iff \lambda < \lambda^*_j .pjVP​(λ)>pjRP​⟺λ<λj∗​.

The threshold is only claimed to exist; it is not given by a formula, and the statement fixes no constant.

Milestones

  1. Theorem 1: the VP equilibrium is the unique solution of 1−γλ(pj−c)(1−SjVP(P))=01 - \gamma\lambda(p_j - c)(1 - S^{VP}_j(P)) = 01−γλ(pj​−c)(1−SjVP​(P))=0, j=1,2j = 1,2j=1,2.
  2. Lemma 2(a): VP equilibrium prices are strictly decreasing in λ\lambdaλ.
  3. As λ→0\lambda \to 0λ→0, VP equilibrium prices become arbitrarily large.
  4. Proposition 2: a value-based provider prices at p∗p^*p∗.
  5. Theorem 2: an RP equilibrium exists. Given its non-value-based set N\mathcal NN, it is the unique solution of 1−γ(pj−c)(1−SjRP(P))=01 - \gamma(p_j - c)(1 - S^{RP}_j(P)) = 01−γ(pj​−c)(1−SjRP​(P))=0 on N\mathcal NN with pi=p∗p_i = p^*pi​=p∗ off N\mathcal NN.
  6. Lemma 6: provider jjj is value-based iff 1−γ(p∗−c)(1−SjRP(pj=p∗,P−j))≤01 - \gamma(p^* - c)(1 - S^{RP}_j(p_j = p^*, P_{-j})) \le 01−γ(p∗−c)(1−SjRP​(pj​=p∗,P−j​))≤0.
  7. Proposition 3: if provider 1 is non-value-based, so is provider 2.
  8. Case 1 of the proof of Proposition 5: if both providers are value-based under RP, then p1VP≤p2VP<p∗p^{VP}_1 \le p^{VP}_2 < p^*p1VP​≤p2VP​<p∗ at λ=1\lambda = 1λ=1.
  9. Lemma 7 (final claim): for every p2>c+1/γp_2 > c + 1/\gammap2​>c+1/γ, provider 1's RP best response to p2p_2p2​ exceeds its VP best response at λ=1\lambda = 1λ=1.
  10. At λ=1\lambda = 1λ=1, every VP equilibrium price is strictly below its RP counterpart.

Significance

The result. Proposition 5 sorts the two payment systems by cost share. When patients bear a small share of the price, co-insurance leaves providers free to charge more than they would under a reference-price cap. Above the threshold, co-insurance disciplines prices more than the cap does. The paper's later comparisons build on this price comparison: patient out-of-pocket and utility (Proposition 6), provider profit (Proposition 7) and insurer cost (Proposition 8). The equilibrium characterizations, Theorems 1 and 2, are also what the paper's numerical study computes with. Proposition 2 is the formal statement of shadow pricing: value-based providers charge exactly the cap.

The formalization. The result has a published proof but no machine-checked one. The paper cites external equilibrium results, leaves several inequalities to "some algebra", and does not separately state continuity of the VP equilibrium price in λ\lambdaλ (Nassiri, Adida and Mamani, Appendix D). A formal development pins down which hypotheses each step uses; the co-payment condition c~<p∗\tilde c < p^*c~<p∗ is one that the theorem's sentence omits. It also yields reusable facts about two-firm logit price competition.

Difficulty

The central difficulty is the comparison of equilibrium prices across two different games. Under RP, a provider's out-of-pocket charge changes formula at p∗p^*p∗, and its equilibrium status depends on the rival's price. Both providers may be value-based, both may be non-value-based, or only provider 2 may be non-value-based. In the second case, each best-response price depends on the other provider's price, so separate comparisons of the two providers' first-order conditions are insufficient. The VP equilibrium price must also vary continuously with λ\lambdaλ for the strict inequality to define a threshold; strict monotonicity alone does not establish that.

Formalization scope

All quantities are real numbers. Providers are Fin 2, and index 0 is the paper's provider 1. Prices range over R\mathbb RR instead of the paper's pj>cp_j > cpj​>c. This does not change the equilibria: an equilibrium price earns positive profit, and any price at or below ccc earns non-positive profit. Equilibrium is the published generic pure-Nash relation CarbonDoubleCount.Planner.IsPureNash, with every price set equal to R\mathbb RR. "Value-based" is read as pj≤p∗p_j \le p^*pj​≤p∗, following Proposition 2. The standing assumptions are m>0m > 0m>0, γ>0\gamma > 0γ>0, and c≥0c \ge 0c≥0 (implicit in the paper), a1≤a2a_1 \le a_2a1​≤a2​ and c~<c\tilde c < cc~<c. The nonnegative cost bound is needed: negative treatment cost can make VP equilibrium prices rise with λ\lambdaλ, contradicting Lemma 2(a). Assumptions 1 and 2 are encoded as follows: best responses exist, and along every best-response selection the share converges, as the rival's price tends to infinity, to a limit of at most 1/21/21/2. The goal assumes Assumption 1 at every λ∈(0,1]\lambda \in (0,1]λ∈(0,1], and it adds c~<p∗\tilde c < p^*c~<p∗, which the proof uses and without which the statement fails numerically. "As λ\lambdaλ approaches 1" in the proof is read as the value at λ=1\lambda = 1λ=1.

The goal is stated about the Nash equilibria of both games and quantifies over every VP equilibrium at every λ\lambdaλ. A version about solutions of the first-order systems would bypass Theorems 1 and 2 and is not the target. Neither is "VP is higher for small λ\lambdaλ and lower at λ=1\lambda = 1λ=1", which is only milestones 3 and 10.

A complete development needs: derivative and quasi-concavity facts for logit shares in one's own price; existence of an equilibrium in a two-player game with continuous, quasi-concave payoffs on compact price intervals; uniqueness for the logit first-order system; implicit-function continuity of the equilibrium in λ\lambdaλ; and the RP case analysis. The logit and quasi-concavity lemmas are reusable for any logit price competition model. Proofs of individual milestones, and alternative arguments, are welcome.

Selected references

  • S. Nassiri, E. Adida, H. Mamani, Reference pricing for healthcare services, Manufacturing & Service Operations Management 24(2), 2022. Published article; author manuscript, SSRN 3176280.
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EconomicsOperations Research·Captain: mikedeng1

Designing Advance Market Commitments for New Vaccines: A Framework AMC with Temporary Subsidy Adds No Incentive for a Monopoly Firm to Invest in CapacityResearch Paper

Motivation

An advance market commitment (AMC) is a promise to pay for a product if it is developed and supplied. For vaccines intended for low-income countries, a donor may use an AMC to encourage a manufacturer to invest before demand is certain. The investment decision happens before the firm and donor negotiate actual purchases. This timing creates a hold-up problem: once capacity is sunk, the firm receives only its negotiated share of the benefit from using it. Kremer, Levin, and Snyder analyze which commitments change that incentive in Designing Advance Market Commitments for New Vaccines. This mission concerns their framework AMC, in which a donor puts money in an interest-bearing escrow fund that pays a subsidy per vaccine until exhausted.

The result is specific to a temporary subsidy and a monopoly firm. It explains why depositing money in an escrow can transfer value to the firm without raising its chosen capacity. The paper also studies perpetual subsidies, supply commitments, forcing contracts, competing firms, and products farther from development. Those are different designs or regimes; their results are outside this mission.

Setting

A country receives a flow health benefit B(q)B(q)B(q) when qqq citizens per period receive a vaccine. The benefit starts at B(0)=0B(0)=0B(0)=0, increases, and is strictly concave; its marginal benefit tends to zero as output grows. A donor values this benefit at fraction α∈(0,1)\alpha\in(0,1)α∈(0,1) and pays for the vaccine. Its inverse demand is P(q)=αB′(q)P(q)=\alpha B'(q)P(q)=αB′(q), with choke price pˉ=P(0)\bar p=P(0)pˉ​=P(0) and demand curve D(p)D(p)D(p) at positive price ppp. Production costs c>0c>0c>0 per vaccine per period. The firm pays KQKQKQ before trade to install capacity QQQ, and can produce at most QQQ in any period. Everyone discounts future flows at rate r>0r>0r>0; write κ=rK\kappa=rKκ=rK for the flow equivalent of unit capacity cost. The paper maintains c+κ<pˉc+\kappa<\bar pc+κ<pˉ​, so the integrated benchmark invests positive capacity. These assumptions and the interpretation of the donor and firm are from the BFI working-paper version, §§2–3.

After investment, the firm and donor bargain over vaccine purchases. Either can block trade, so both threat payoffs are zero. Efficient Nash bargaining chooses the output plan that maximizes their discounted joint surplus, and the firm receives fraction β∈(0,1)\beta\in(0,1)β∈(0,1) of that surplus. The firm anticipates this bargain when it chooses capacity. Without an AMC, denote its equilibrium capacity by QNAQ^{\mathrm{NA}}QNA; with integrated control, denote the optimum by QINQ^{\mathrm{IN}}QIN. The paper's first two propositions identify these benchmarks:

QIN=D(c+κ),QNA=D(c+κ/β)<QIN.Q^{\mathrm{IN}}=D(c+\kappa),\qquad Q^{\mathrm{NA}}=D(c+\kappa/\beta)<Q^{\mathrm{IN}}.QIN=D(c+κ),QNA=D(c+κ/β)<QIN.

Under the framework AMC, the donor fixes a subsidy s>0s>0s>0 and deposits F>0F>0F>0 in escrow before the firm chooses QQQ. The escrow earns interest at the same rate rrr as the participants' discounting. A subsidy sss is paid for each vaccine during the AMC period. If output is qAq^AqA and sqA>rFsq^A>rFsqA>rF, the fund is exhausted at a finite time TTT; afterwards there is no subsidy. The bargain chooses both AMC-period output qAq^AqA and tail output qTq^TqT, each bounded by capacity. If sqA≤rFsq^A\leq rFsqA≤rF, the subsidy is perpetual at that output and there is no tail period. This branch matters when evaluating capacities the firm could have chosen instead.

Formalization targets

The core comparison is the paper's Proposition 3. For any framework AMC whose equilibrium subsidy is temporary,

QTS=qA=qT=D(c+κ/β)=QNA=qNA.Q^{\mathrm{TS}}=q^A=q^T=D(c+\kappa/\beta)=Q^{\mathrm{NA}}=q^{\mathrm{NA}}.QTS=qA=qT=D(c+κ/β)=QNA=qNA.

The goal covers every qualifying equilibrium. It also asserts that the displayed candidate is an equilibrium whenever sD(c+κ/β)>rFsD(c+\kappa/\beta)>rFsD(c+κ/β)>rF, so the claim cannot hold merely because no temporary-subsidy equilibrium exists. It fixes the policy terms but does not assume the firm's capacity or bargained outputs in advance.

The milestones establish the inverse-demand property (Lemma 1), the integrated and no-AMC benchmarks (Propositions 1–2), the fund accounting identity (6), the discounted joint-surplus identity (7), full capacity utilization in the temporary regime, and the firm's ex ante profit identity (8). The last identity identifies the fund's contribution as βF\beta FβF on that regime. Their statements and numbering follow the December 2020 BFI working paper, with printed pages 6 and 10–13 and Appendix A, pages 37–38.

Significance

Proposition 2 measures the capacity lost to hold-up when a firm cannot keep all returns to investment. Proposition 3 then shows that this particular escrow design does not repair that loss when its subsidy is temporary: the fund changes the firm's payoff level while leaving the capacity choice at the no-AMC benchmark. That conclusion helps distinguish an AMC's payment amount from its effect on investment incentives. The paper's other contract designs address separate policy questions and should not be inferred from this result.

The formalization produces a reusable discounted-flow definition and a concrete capacity-and-bargaining game with an interest-bearing escrow. The source result has a paper proof; the Lean theorems here are proposed proof obligations, with no machine-checked proofs claimed. A complete development would verify the inverse-demand construction, existence and uniqueness of the relevant maxima, the escrow integral, and equilibrium optimality on both finite and perpetual subsidy branches.

Difficulty

The firm's value cannot be calculated by assigning full output at the outset. Bargaining chooses output after capacity is installed, and using fewer vaccines during the AMC period lengthens the subsidy period. Thus the escrow duration changes with the bargained output. The simple capacity comparison from the no-AMC benchmark only becomes applicable after the output and fund identities have been established. Moreover, the firm's alternative capacities can cross from a finite subsidy period to a perpetual one, so a statement proved only for the candidate equilibrium branch does not settle its investment choice.

Formalization scope

All amounts, times, and discounted values are real. Discounted flows are Lebesgue set integrals over positive time; an open interval (0,T)(0,T)(0,T) represents the AMC period, with endpoint choices irrelevant to its integral. Demand is the real infimum of nonnegative quantities at which P(q)≤pP(q)\leq pP(q)≤p. Its value at nonpositive prices is a Lean default and is never used in a result. The firm's value is β\betaβ times the real supremum of feasible joint-surplus values minus KQKQKQ; feasible output intervals are nonempty for admissible capacities, and the intended values are bounded and attained. Capacity is chosen over Q≥0Q\geq0Q≥0.

The Lean benefit function is twice continuously differentiable on all of R\mathbb RR, extending the paper's half-line convention so derivatives at zero are unambiguous; its sign assumptions are only for q≥0q\geq0q≥0. Output is constant within the AMC and tail periods, following the paper's equation (A8) reduction. “Temporary” means sqA>rFsq^A>rFsqA>rF at equilibrium. The model separately represents a perpetual subsidy for deviations. The framework profit is defined from bargained joint surplus and its discounted flows; equation (8) is a theorem target, and output is a bargain choice rather than a fixed capacity value. These choices keep the formal goal about the paper's investment game.

The development needs real derivatives, inverse functions, concavity, filters for the bargaining-weight limits, Lebesgue integrals of exponential flows, real suprema on compact feasible boxes, and optimization over nonnegative capacities. The discounted-flow and capacity-game infrastructure can be reused in other procurement models. Contributions that establish these interfaces or close any listed milestone support the goal.

Selected references

  • Michael Kremer, Jonathan Levin, and Christopher M. Snyder, Designing Advance Market Commitments for New Vaccines, Becker Friedman Institute Working Paper No. 2020-175, December 2020; published in Management Science 68(6), 2022. DOI: 10.1287/mnsc.2021.4163. The mission's theorem labels and page numbers refer to the working-paper PDF.
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EconomicsOperations ResearchStochastic Systems·Captain: mikedeng1

Privacy Management in Service Systems: Customer Control over Information Weakly Lowers Total Customer Surplus versus Full Disclosure under SPT Priority and Weakly Raises It under LPTResearch Paper

Motivation

Many service providers can infer how long a customer's request will take when the customer shares personal information. A customer who withholds that information may instead enter a queue as an unidentified request. Hu, Momot, and Wang study the resulting conflict between an individual's choice to disclose and the waiting times experienced by the whole customer population in a single-server system. Their comparison asks whether giving customers control over disclosure improves total customer surplus relative to a rule requiring full disclosure. The answer depends on which jobs the provider gives priority, even though the provider keeps the same priority order among identified and unidentified requests. Hu, Momot, and Wang, §3–4

The manuscript distinguishes shortest-processing-time priority (SPT), where the identified high-priority type has a shorter mean service time, from longest-processing-time priority (LPT), where it has a longer one. This distinction makes privacy control a queueing question as well as an information-choice question: withholding changes a request's priority class, so it changes waiting times for other customers. Theorem 1 gives the direction of the population-level comparison in both regimes. Hu, Momot, and Wang, Theorem 1, p. 15

Setting

Requests reach one server according to a Poisson process of rate λ\lambdaλ. A request has type HHH with probability α\alphaα and exponential mean service time 1/μ1/\mu1/μ, or type LLL with probability 1−α1-\alpha1−α and mean 1/(σμ)1/(\sigma\mu)1/(σμ). The rate parameter σ\sigmaσ is positive and differs from one. The average service rate of the combined population is μˉ=σμ/(1+α(σ−1))\bar\mu=\sigma\mu/(1+\alpha(\sigma-1))μˉ​=σμ/(1+α(σ−1)), and stability requires λ<μˉ\lambda<\bar\muλ<μˉ​. The manuscript also assumes a service reward RRR at least c/μˉc/\bar\muc/μˉ​, where ccc is the cost per unit of time spent in the system. These are the parameters of the two-type service model. Hu, Momot, and Wang, §3.2, p. 8

Each customer chooses whether to disclose before observing the request type. If the fraction that discloses is γ∈[0,1]\gamma\in[0,1]γ∈[0,1], disclosed type-HHH requests arrive at rate αγλ\alpha\gamma\lambdaαγλ, disclosed type-LLL requests at rate (1−α)γλ(1-\alpha)\gamma\lambda(1−α)γλ, and undisclosed requests at rate (1−γ)λ(1-\gamma)\lambda(1−γ)λ. The latter form a type-NNN class with a mixture of the two service-time distributions. The server uses preemptive priority in the fixed order H>N>LH>N>LH>N>L. For each class, WHW_HWH​, WNW_NWN​, and WLW_LWL​ denote its mean time in the system, including service. The values are determined by the three-class formulas in Online Appendix A.1. Hu, Momot, and Wang, §3.3–3.4 and Online Appendix A.1

An infinitesimal customer compares the utility of disclosure, Ud(γ,λ)=R−c(αWH+(1−α)WL)U_d(\gamma,\lambda)=R-c(\alpha W_H+(1-\alpha)W_L)Ud​(γ,λ)=R−c(αWH​+(1−α)WL​), with that of withholding, Uw(γ,λ)=R−cWNU_w(\gamma,\lambda)=R-cW_NUw​(γ,λ)=R−cWN​. The total customer surplus at population strategy γ\gammaγ is

CS(γ)=λ(γUd(γ,λ)+(1−γ)Uw(γ,λ)).CS(\gamma)=\lambda\bigl(\gamma U_d(\gamma,\lambda)+(1-\gamma)U_w(\gamma,\lambda)\bigr).CS(γ)=λ(γUd​(γ,λ)+(1−γ)Uw​(γ,λ)).

An equilibrium disclosure probability γ∗\gamma^*γ∗ is an endpoint supported by the appropriate strict utility comparison, or an interior point where the two utilities agree and their difference decreases nearby. The manuscript chooses the Pareto-dominant equilibrium when several exist. Hu, Momot, and Wang, Eq. (1), p. 10; equilibrium definition, p. 12; Eq. (9), Online Appendix p. 3

Formalization targets

Theorem 1: customer control versus full disclosure

Let CScontrol=CS(γ∗)CS_{\rm control}=CS(\gamma^*)CScontrol​=CS(γ∗) and CSdiscl=CS(1)=λUd(1,λ)CS_{\rm discl}=CS(1)=\lambda U_d(1,\lambda)CSdiscl​=CS(1)=λUd​(1,λ). The target is

σ<1⟹CScontrol≤CSdiscl,σ>1⟹CScontrol≥CSdiscl.\sigma<1\Longrightarrow CS_{\rm control}\le CS_{\rm discl},\qquad \sigma>1\Longrightarrow CS_{\rm control}\ge CS_{\rm discl}.σ<1⟹CScontrol​≤CSdiscl​,σ>1⟹CScontrol​≥CSdiscl​.

When γ∗<1\gamma^*<1γ∗<1 and α>0\alpha>0α>0, the corresponding inequality is strict. The first regime is SPT and the second is LPT: under the fixed ranking H>N>LH>N>LH>N>L, type HHH has the shorter mean service time exactly when σ<1\sigma<1σ<1. The comparison holds for any equilibrium satisfying the paper's equilibrium conditions, including its Pareto-dominant selection. Hu, Momot, and Wang, Theorem 1, p. 15

Supporting results

The mission includes Lemma 1's closed forms for UdU_dUd​ and UwU_wUw​, the closed form of CSCSCS and the auxiliary function Γ\GammaΓ in the proof of Lemma 4, its derivative and denominator-sign statements, and Lemma 4's monotonicity of CSCSCS on [0,1][0,1][0,1]. Those statements connect the queueing model to the social comparison without replacing the final claim by a special case. Hu, Momot, and Wang, Lemma 1, p. 12; Lemma 4, Online Appendix p. 3; proof of Lemma 4, Online Supplement p. 2

Significance

Theorem 1 identifies a precise direction for the welfare effect of control over request-type information in this model. Under SPT priority, giving customers control cannot raise total customer surplus above full disclosure; under LPT it cannot lower surplus below full disclosure. The result therefore ties the social effect of the same disclosure option to a service discipline and to the mix of request types. Its strict clauses identify when withholding produces a genuine difference rather than equality. Hu, Momot, and Wang, Theorem 1 and discussion, p. 15

The paper establishes the theorem and the supporting identities mathematically. Here the remaining task is to prove the Lean statements from the definitions of the queue's class parameters and mean times. The formal development can leave reusable algebraic interfaces for finite-class preemptive-priority queues and for checking stability and denominator conditions in rational queueing formulas. These definitions and statements currently compile as a local draft; they are not yet machine-checked proofs of the paper's results.

Difficulty

An individual disclosure choice moves a request between the middle priority class and one of the two extreme classes. The direct utility comparison does not by itself determine the direction of total surplus: each choice also changes the class workloads and the waiting times faced by other customers. Thus the endpoint comparison cannot be read off from the sign of Ud−UwU_d-U_wUd​−Uw​ at a single γ\gammaγ. The analysis must account for the full γ\gammaγ dependence of WHW_HWH​, WNW_NWN​, and WLW_LWL​, including the hyperexponential residual time of undisclosed requests. The algebra has several denominators whose sign matters, and a formula in the source proof has a boundary exception at γ=1\gamma=1γ=1. Hu, Momot, and Wang, Online Appendix A.1 and Online Supplement A.2

Formalization scope

Lean represents rates, costs, rewards, waits, disclosure probabilities, utilities, and surplus as real numbers. A generic three-class preemptive-priority interface stores mean service times, mean residual times, and workloads. The paper-specific model supplies the H, N, and L table from Online Appendix A.1, including the undisclosed class's hyperexponential residual time. It treats the resulting mean waiting times as formulas; it does not construct a stochastic queueing process. Lemma 1 then asserts genuine algebraic identities from those formulas, rather than following immediately from the definitions. Hu, Momot, and Wang, Online Appendix A.1

The standing assumptions retain σ>0\sigma>0σ>0, σ≠1\sigma\ne1σ=1, 0≤α≤10\le\alpha\le10≤α≤1, λ<μˉ\lambda<\bar\muλ<μˉ​, and R≥c/μˉR\ge c/\bar\muR≥c/μˉ​ from §3.2. They state μ>0\mu>0μ>0, λ>0\lambda>0λ>0, and c>0c>0c>0 explicitly because these are rates and a marginal cost, and because zero values would erase the strict comparisons. The theorem items restrict γ\gammaγ to [0,1][0,1][0,1] whenever using the waiting-time formulas. The auxiliary closed-form, derivative, and bracket items exclude α(1+σ)=1\alpha(1+\sigma)=1α(1+σ)=1, where the source's displayed second fraction is undefined as a real quotient. Lemma 4 and the goal include that parameter value. The derivative of Γ\GammaΓ is strictly negative on [0,1)[0,1)[0,1) and equals zero at 111; its strict decrease across the whole interval is stated separately. Hu, Momot, and Wang, §3.2 and Online Supplement A.2

Strict monotonicity of surplus requires 0<α<10<\alpha<10<α<1, since a population with only one service type has no type-mix effect. The goal's strict clause requires α>0\alpha>0α>0; at α=0\alpha=0α=0, a withholding equilibrium can have exactly the same surplus as full disclosure. The goal still quantifies over an equilibrium, rather than an arbitrary point of [0,1][0,1][0,1]. Contributions toward the queueing identities, rational-function sign conditions, monotonicity, and final comparison all serve this scope.

Selected references

  • Hu, M., Momot, R., and Wang, J., Privacy Management in Service Systems, submitted manuscript, draft of 12 February 2022; published in Manufacturing & Service Operations Management 24(5), 2022. SSRN 3628751.
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Operations ResearchOptimization·Captain: mikedeng1

The Effect of Multi-Channel and Omni-Channel Retailing on Physical Stores: A Higher Return Rate Calls for Fewer Physical Stores, a Broader Assortment, and Larger Stores When hr(1 − 2γ) > hoResearch Paper

Motivation

Retailers that sell through both a website and physical stores must choose how many stores to operate and which products to stock in them. Product returns change that decision: a customer who is uncertain about a product may inspect it in a store instead of purchasing it online and later returning it. Gao, Agrawal, and Cui study this tradeoff in a model where stores are uniformly spaced and every store carries the same assortment. Their Proposition 1 gives a counterintuitive comparison: when the product return rate rises, the optimal number of stores falls, while the range of products in each store grows. The present source is the authors' manuscript generated on 2020-12-25, with the relevant result on its p. 12 and proofs in its Online Appendix pp. 1–2; the journal pages are not used here.

Setting

Let III be a finite set of products. The retailer offers every product online and chooses a store count n≥0n\geq0n≥0 and a store assortment S⊆IS\subseteq IS⊆I. Stores are evenly located on a circle of circumference one, and each carries SSS. Product iii has a customer class of deterministic size Di>0D_i>0Di​>0. A fraction θ\thetaθ of this class is uninformed about its valuation. An uninformed customer dislikes the product with probability γ∈(0,1)\gamma\in(0,1)γ∈(0,1), the common return rate; a customer who dislikes an online purchase returns it. Informed customers know their valuations already.

The online hassle cost is ho≥0h_o\geq0ho​≥0, the return hassle cost is hr>0h_r>0hr​>0, and travel to a store costs t>0t>0t>0 per unit of distance. The retailer earns per-unit margin mim_imi​ and pays ki≥0k_i\geq0ki​≥0 for each return. Each carried product uses display area αi>0\alpha_i>0αi​>0 and inventory area proportional to store sales, with coefficient βi>0\beta_i>0βi​>0. A store also requires common area Ω0>0\Omega_0>0Ω0​>0; facility area costs ξ>0\xi>0ξ>0 per unit. These assumptions and the symmetric circular-city setting come from §§3.1–3.2 of the paper.

Let di,od_{i,o}di,o​ denote uninformed online demand. The paper's full-market-coverage assumption yields the four online and store demand functions in equations (5)–(6). One store has size Ω(γ,n,S)\Omega(\gamma,n,S)Ω(γ,n,S) from equation (8). The total expected profit is equation (9):

π(γ,n,S)=∑i∈I[mi((1−γ)θDi+(1−θ)Di)−kiγdi,o]−nξΩ(γ,n,S).\pi(\gamma,n,S)=\sum_{i\in I}\left[m_i\bigl((1-\gamma)\theta D_i+(1-\theta)D_i\bigr)-k_i\gamma d_{i,o}\right]-n\xi\Omega(\gamma,n,S).π(γ,n,S)=i∈I∑​[mi​((1−γ)θDi​+(1−θ)Di​)−ki​γdi,o​]−nξΩ(γ,n,S).

An optimal decision maximizes this profit over all n≥0n\geq0n≥0 and S⊆IS\subseteq IS⊆I. The paper relaxes the integrality of nnn on p. 11. The retailer prefers stores at rate γ\gammaγ if a decision with n>0n>0n>0 has strictly greater profit than the online-only decision. This reading distinguishes strict preference from a tie at the store-opening threshold.

Formalization targets

Main goal: Proposition 1

For 0<γ1<γ2<10<\gamma_1<\gamma_2<10<γ1​<γ2​<1, suppose stores are strictly preferred at both rates. For any optimal decisions (n1,S1)(n_1,S_1)(n1​,S1​) and (n2,S2)(n_2,S_2)(n2​,S2​), the goal is

n2<n1,S1⊆S2,∣S1∣≤∣S2∣,n_2<n_1,\qquad S_1\subseteq S_2,\qquad |S_1|\leq|S_2|,n2​<n1​,S1​⊆S2​,∣S1​∣≤∣S2​∣,

and, when hr(1−2γ2)>hoh_r(1-2\gamma_2)>h_ohr​(1−2γ2​)>ho​,

Ω(γ1,n1,S1)≤Ω(γ2,n2,S2).\Omega(\gamma_1,n_1,S_1)\leq\Omega(\gamma_2,n_2,S_2).Ω(γ1​,n1​,S1​)≤Ω(γ2​,n2​,S2​).

The goal includes the proposition's parenthetical equivalence hr(1−2γ)>ho  ⟺  γ<(hr−ho)/(2hr)h_r(1-2\gamma)>h_o\iff\gamma<(h_r-h_o)/(2h_r)hr​(1−2γ)>ho​⟺γ<(hr​−ho​)/(2hr​) and its necessary conditions γ<1/2\gamma<1/2γ<1/2 and ho<hrh_o<h_rho​<hr​. The size condition is evaluated at the larger rate, so it holds across the interval being compared.

Supporting targets: Lemma 1 and its proof

Lemma 1 identifies a threshold GGG for opening stores. Above it, the positive-store count is n∗(γ)=t/[2(γhr+ho)]n^*(\gamma)=t/[2(\gamma h_r+h_o)]n∗(γ)=t/[2(γhr​+ho​)], and the profitable assortment is specified by the inequality printed in the lemma. The milestones also record the authors' profit decrease beyond this count and the zero-or-turning-point bound. Further draft items state the incremental profit of each carried product, the increasing positive-store profit gap, the monotonicity of the closed forms, and the optimal-store-size expression in the Online Appendix. These are statements from the source rather than new targets selected by analogy.

Significance

The result links return behavior to two costly retail decisions at once. Stores can reduce online returns by letting uncertain customers inspect products, yet a higher return rate need not call for more locations. Within the model, fewer locations can be paired with a broader assortment, and the stores can become larger when the return and online hassle costs satisfy the stated condition. Without Proposition 1, the model's demand and profit equations alone do not establish the direction of these comparative statics. The paper also studies other hassle-cost changes and omni-channel services, but they use additional results and models.

The theorem is proved in the authors' manuscript. The remaining task here is a machine-checked development of its exact model, threshold, and comparative statics. The compiled mission items are statements with open proofs; a successful compile does not prove them. The demand and profit definitions, together with the lemmas about maximizing a piecewise expression over a continuous store count, can be reused when formalizing the paper's other sections.

Difficulty

The objective changes formula when all uninformed customers near a carried product switch to stores, and again when informed customers do. Therefore differentiating one expression for profit across all nnn does not justify a global optimum. At the store-opening threshold, the profit from stores can tie online-only profit; an interior count can then also be optimal. Product-selection ties can likewise produce more than one optimal assortment. A statement only about one selected closed form would not control every optimal decision and would miss the tie cases in Proposition 1.

Formalization scope

Products form a finite type, possibly empty, and assortments are finite subsets. The empty catalogue has no positive-store preference; a one-product parameter instance witnesses that strict store preference is possible. All monetary quantities and the relaxed store count are real numbers. The return rate is quantified separately in (0,1)(0,1)(0,1) so the same parameters can be compared at two rates. The bounds 0≤θ≤10\leq\theta\leq10≤θ≤1 and ki≥0k_i\geq0ki​≥0 spell out “fraction” and “handling cost” on pp. 6 and 9. No sign condition is imposed on the exogenous margins mim_imi​, which cancel from the decision comparison.

The source assumes sufficiently high customer valuations to guarantee full market coverage on p. 8. The Lean model begins with the resulting demand equations (5)–(6); it does not introduce valuations or prices from utility equations (1)–(4). The formulas retain 1/(2n)1/(2n)1/(2n) and the area expression divided by nnn; at n=0n=0n=0, Lean's zero-division convention gives zero store demand, while the total facility cost is multiplied by zero. The target always quantifies over actual profit maximizers. Proving only that t/[2(γhr+ho)]t/[2(\gamma h_r+h_o)]t/[2(γhr​+ho​)] decreases would leave the retailer's optimization claim untouched. Contributions to the source-backed milestones and the algebra connecting the two printed assortment criteria are in scope.

Selected references

  • Fei Gao, Vishal V. Agrawal, and Shiliang Cui, The Effect of Multi-Channel and Omni-Channel Retailing on Physical Stores, authors' manuscript (PDF of 2020-12-25), pp. 6–12 and Online Appendix pp. 1–2; published in Management Science, 2021. DOI: 10.1287/mnsc.2021.3968.
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Dynamic ProgrammingOperations ResearchProbability·Captain: mikedeng1

Profit or Growth? Dynamic Order Allocation in a Hybrid Workforce: The Variance of the Cross-Network Effect Decides Whether Market Thickness Benefits or Costs the SystemResearch Paper

Motivation

Many firms that run their own delivery or service workforce have started to operate a hybrid workforce: salaried employees serve part of the demand, while a crowd of independent freelancers on a platform owned by the same firm serves the rest. A firm in this position faces a recurring allocation question. Every order sent to the platform pays freelancers and so attracts more of them, which increases the platform's market thickness (the size of its freelancer pool) and with it the platform's own future demand. The same order, served in house, earns the firm's margin today. He and Goh study this trade-off between profit now and platform growth later, with data from the Vietnamese delivery company AhaMove (He & Goh, SSRN 3537700; published in Management Science, 2021, doi:10.1287/mnsc.2021.4177).

The question the mission formalizes is whether a thicker platform is worth having at all. The paper's answer, its Theorem 1, is that it depends on two numbers: the mean μ\muμ and, centrally, the variance σ2\sigma^2σ2 of the cross-network effect β\betaβ, the random number of platform orders generated per freelancer.

Setting

Time runs over periods t=1,…,Tt = 1, \dots, Tt=1,…,T. At the start of a period the platform has M>0M > 0M>0 freelancers and the firm faces D≥0D \ge 0D≥0 orders. The firm chooses a transfer quantity yyy with 0≤y≤D0 \le y \le D0≤y≤D and sends those orders to the platform. Customers pay p>0p > 0p>0 per order; an order served in house earns the firm rrr, with 0≤r<p0 \le r < p0≤r<p. The platform also receives its own demand βM\beta MβM, where β≥0\beta \ge 0β≥0 is random with Eβ2<∞\mathbb E\beta^2 < \inftyEβ2<∞. To serve the total load y+βMy + \beta My+βM it pays freelancers the payout ratio α=R(y+βM)/M\alpha = R(y + \beta M)/Mα=R(y+βM)/M, where R≥1R \ge 1R≥1 measures the inefficiency of freelancers relative to employees. The period profit is r(D−y)+p(1−α)(y+βM)r(D - y) + p(1 - \alpha)(y + \beta M)r(D−y)+p(1−α)(y+βM).

The state then moves to

M′=(ρ+δRβ)M+δRy,D′=ηD+θM+ϵ,M' = (\rho + \delta R\beta)M + \delta R y, \qquad D' = \eta D + \theta M + \epsilon,M′=(ρ+δRβ)M+δRy,D′=ηD+θM+ϵ,

with parameters ρ,δ,η≥0\rho, \delta, \eta \ge 0ρ,δ,η≥0 and shocks θ,ϵ\theta, \epsilonθ,ϵ that are square integrable and independent, with μθ=Eθ≥0\mu_\theta = \mathbb E\theta \ge 0μθ​=Eθ≥0. Future profits are discounted by γ∈[0,1]\gamma \in [0, 1]γ∈[0,1]. The value functions are VT+1=0V_{T+1} = 0VT+1​=0 and

Vt(M,D)=max⁡0≤y≤D r(D−y)+E[p(y+βM)(1−R(y+βM)M)]+γ E[Vt+1(M′,D′)].V_t(M,D) = \max_{0 \le y \le D}\ r(D-y) + \mathbb E\Big[p(y+\beta M)\Big(1 - \frac{R(y+\beta M)}{M}\Big)\Big] + \gamma\, \mathbb E\big[V_{t+1}(M', D')\big].Vt​(M,D)=0≤y≤Dmax​ r(D−y)+E[p(y+βM)(1−MR(y+βM)​)]+γE[Vt+1​(M′,D′)].

Write μ=Eβ\mu = \mathbb E\betaμ=Eβ, σ2=Var⁡β\sigma^2 = \operatorname{Var}\betaσ2=Varβ, μ0=(p−r)/(2pR)\mu_0 = (p - r)/(2pR)μ0​=(p−r)/(2pR) and Δ=γrμθp∑j≥0γjηj\Delta = \frac{\gamma r \mu_\theta}{p}\sum_{j \ge 0}\gamma^j\eta^jΔ=pγrμθ​​∑j≥0​γjηj (which is +∞+\infty+∞ when γη≥1\gamma\eta \ge 1γη≥1). Inside {μ>0,σ2>0}\{\mu > 0, \sigma^2 > 0\}{μ>0,σ2>0} the paper defines three disjoint regions: R1\mathcal R_1R1​ (high variance), σ2>μ/R−μ2+(μ0−μ)+2+Δ/R\sigma^2 > \mu/R - \mu^2 + (\mu_0 - \mu)_+^2 + \Delta/Rσ2>μ/R−μ2+(μ0​−μ)+2​+Δ/R; R2\mathcal R_2R2​ (low variance), σ2<μ/R−μ2\sigma^2 < \mu/R - \mu^2σ2<μ/R−μ2; and R3\mathcal R_3R3​ (moderate variance), strictly between the two bounds. Market thickness benefits the system in period ttt if Vt(M,D)V_t(M, D)Vt​(M,D) is increasing in MMM for every fixed DDD, and is costly if it is decreasing; both in the weak sense.

Formalization targets

Goal: Theorem 1 (p. 15)

(μ,σ)∈R1  ⟹  thickness is costly in every period t∈{1,…,T},(μ,σ)∈R2  ⟹  thickness benefits the system in every period,(μ,σ)∈R3  ⟹  ∃ 1≤τ1≤τ2≤T: benefit for t<τ1, costly as M→∞ for t≥τ2,\begin{aligned} (\mu,\sigma)\in\mathcal R_1 &\implies \text{thickness is costly in every period } t\in\{1,\dots,T\},\\ (\mu,\sigma)\in\mathcal R_2 &\implies \text{thickness benefits the system in every period},\\ (\mu,\sigma)\in\mathcal R_3 &\implies \exists\, 1\le\tau_1\le\tau_2\le T:\ \text{benefit for } t<\tau_1,\ \text{costly as } M\to\infty \text{ for } t\ge\tau_2, \end{aligned}(μ,σ)∈R1​(μ,σ)∈R2​(μ,σ)∈R3​​⟹thickness is costly in every period t∈{1,…,T},⟹thickness benefits the system in every period,⟹∃1≤τ1​≤τ2​≤T: benefit for t<τ1​, costly as M→∞ for t≥τ2​,​

and τ1=τ2\tau_1 = \tau_2τ1​=τ2​ when μ>μ0\mu > \mu_0μ>μ0​. "Costly as M→∞M \to \inftyM→∞" means that for every D>0D > 0D>0, Vt(⋅,D)V_t(\cdot, D)Vt​(⋅,D) is decreasing on some tail [M0,∞)[M_0, \infty)[M0​,∞).

Milestones

The appendix proves the theorem through a structural result and three lemmas, which are the milestones, in attack order:

  • Proposition 1: VtV_tVt​ is jointly concave in (M,D)(M, D)(M,D).
  • Lemma 1(c): the optimal transfer is ytU∧Dy^U_t \wedge DytU​∧D for the threshold ytUy^U_tytU​ of (14).
  • Lemma 1(d): bounds on ∂1Vt+1\partial_1 V_{t+1}∂1​Vt+1​ give the linear bounds (15) on ytUy^U_tytU​.
  • Lemma 1(b): the right partial derivatives of VtV_tVt​ are uniformly bounded.
  • Lemma 1(a): the envelope formulas (13).
  • Lemma 2: the limits K(t)=lim⁡M→∞∂1VtK(t) = \lim_{M\to\infty}\partial_1V_tK(t)=limM→∞​∂1​Vt​ and L(t)=lim⁡M→0∂2VtL(t) = \lim_{M\to 0}\partial_2V_tL(t)=limM→0​∂2​Vt​, and the bounds ∂1Vt≥K(t)\partial_1V_t \ge K(t)∂1​Vt​≥K(t), ∂2Vt≥L(t)\partial_2V_t \ge L(t)∂2​Vt​≥L(t).
  • Lemma 3(a)–(b): the explicit lower bound K(t)≥G(t)K(t) \ge G(t)K(t)≥G(t) of (17), and the single-switch property of GGG.
  • Lemma 3(c), with the hypothesis μ0≤μ\mu_0 \le \muμ0​≤μ: once (μ0−μ)+γδ2pG(t+1)<0(\mu_0 - \mu) + \frac{\gamma\delta}{2p}G(t+1) < 0(μ0​−μ)+2pγδ​G(t+1)<0, the optimal transfer is 000 and ∂1Vs=G(s)\partial_1V_s = G(s)∂1​Vs​=G(s), ∂2Vs=L(s)\partial_2V_s = L(s)∂2​Vs​=L(s) from then on.

Significance

The theorem replaces the intuition that a larger freelancer pool is always an asset with a criterion that a firm can estimate. When β\betaβ is very volatile, matching supply to a random platform demand is expensive, because the wage bill is quadratic in the load, and a thicker market only amplifies that cost; when β\betaβ is stable, thickness pays in every period. In the moderate regime the value of thickness changes sign once over the horizon, which is what drives the paper's later results on the structure of the optimal transfer policy (Proposition 3) and on the gap between the dynamic and the myopic policy (Theorem 2).

The result is proved in the paper. It has no machine-checked proof. Formalizing it adds a checked model of a finite-horizon stochastic dynamic program with a continuous two-dimensional state, concavity of value functions under partial maximization, envelope formulas with right derivatives, and an explicit backward recursion for the bound GGG. The formalization also records two printed slips that it corrects (see Formalization scope).

Difficulty

The obvious argument is a backward induction on the sign of ∂1Vt\partial_1 V_t∂1​Vt​, read off the envelope formula (13). That step does not close by itself: the formula contains the optimal transfer yt∗y^*_tyt∗​, its multiplier and expectations of the next period's partial derivatives at random states, so the induction needs a priori bounds on the derivatives, monotone limits as M→∞M \to \inftyM→∞ and M→0M \to 0M→0, and exchanges of limits with expectations. The value functions are only concave, so all derivatives are one-sided, and the optimal decision can sit on the constraint y=Dy = Dy=D. Part (c) needs, in addition, an explicit lower bound GGG on the asymptotic slope and a proof that GGG switches sign at most once.

Formalization scope

All statements share one definition, HybridOrderAlloc.Thickness.Model. The data are a structure Sys Ω (a measure PPP on Ω\OmegaΩ, shocks β,θ,ϵ:Ω→R\beta, \theta, \epsilon : \Omega \to \mathbb Rβ,θ,ϵ:Ω→R, real parameters p,r,R,ρ,δ,η,γp, r, R, \rho, \delta, \eta, \gammap,r,R,ρ,δ,η,γ and T∈NT \in \mathbb NT∈N) and a predicate Sys.Standing with the page's assumptions. Conventions committed to:

  • One shock vector serves every period, since the shocks are i.i.d. across periods and (5) only uses their one-period law. The joint law of β\betaβ and (θ,ϵ)(\theta, \epsilon)(θ,ϵ) is left free, as on the page.
  • VtV_tVt​ is the recursion (5) itself, defined by the number of periods to go, with the page's maximum written as a supremum over [0,D][0, D][0,D]. It is defined for M>0M > 0M>0, D≥0D \ge 0D≥0; all conclusions are stated on M>0M > 0M>0, D>0D > 0D>0 as in the paper.
  • ∂1Vt\partial_1 V_t∂1​Vt​, ∂2Vt\partial_2 V_t∂2​Vt​ are right partial derivatives, as in the paper's Notation paragraph. Expectations are Bochner integrals and σ2\sigma^2σ2 is Mathlib's variance.
  • "Increasing" and "decreasing" are weak (MonotoneOn, AntitoneOn). GGG is indexed by integers.

Hypotheses added to the page, each disclosed in the statements: r≥0r \ge 0r≥0 (Theorem 1 is false for r<0r < 0r<0, because Δ<0\Delta < 0Δ<0 then puts points where thickness pays into R1\mathcal R_1R1​); ρ+δRβ>0\rho + \delta R\beta > 0ρ+δRβ>0, θ≥0\theta \ge 0θ≥0, ϵ≥0\epsilon \ge 0ϵ≥0 almost surely (so the next state stays in the domain of Vt+1V_{t+1}Vt+1​ for every feasible yyy, which the page takes for granted); T≥1T \ge 1T≥1; and μ0≤μ\mu_0 \le \muμ0​≤μ in Lemma 3(c) alone (the printed lemma fails for μ<μ0\mu < \mu_0μ<μ0​).

VtV_tVt​ is never a free parameter constrained by a Bellman hypothesis, and never a closed formula. Square integrability of β,θ,ϵ\beta, \theta, \epsilonβ,θ,ϵ is assumed, so no integral takes a junk value. The regions carry the guard γη<1\gamma\eta < 1γη<1 wherever Δ\DeltaΔ appears, so a divergent series cannot be read as 000.

A complete development needs: concavity of a partial maximum over a convex graph, one-sided envelope theorems, dominated convergence for the derivative limits, and finite geometric sums. The concavity and envelope steps are reusable for other dynamic programs with continuous states. Proofs of any milestone are welcome, as are sharper variants that remove the added well-posedness hypotheses.

Selected references

  • E. J. He and J. Goh, Profit or Growth? Dynamic Order Allocation in a Hybrid Workforce, Management Science, 2021; preprint SSRN 3537700 (2020). https://ssrn.com/abstract=3537700, https://doi.org/10.1287/mnsc.2021.4177
  • P. Milgrom and I. Segal, Envelope Theorems for Arbitrary Choice Sets, Econometrica 70(2), 583–601, 2002. https://doi.org/10.1111/1468-0262.00296
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Algorithmic Game TheoryOperations Research·Captain: mikedeng1

Implementing Environmental and Social Responsibility Programs in Supply Networks Through Multiunit Bilateral Negotiation: A Log-Cost Shortest Path Tree Maximizes the Retailer's GainResearch Paper

Motivation

Retailers sometimes ask every supplier in a production network to meet a common environmental or social responsibility standard. A program can fail to produce its expected value if even one firm declines to participate. The retailer therefore needs a way to pass commitments and payments through the network, including to suppliers with whom it has no direct purchase contract. Feng, Li, Lu, and Shanthikumar model that choice as a network of simultaneous bilateral negotiations and ask which negotiation links a retailer should use. Their examples distinguish direct engagement with distant suppliers from delegating those negotiations to intermediate firms. Feng et al., accepted manuscript, §§1, 3–4.2.

The paper's target is a structural decision. A retailer can arrange the same firms into different negotiation trees; those trees alter how much of a fixed total ESR surplus the retailer retains. The result formalized here identifies a preferred tree using path costs derived from bargaining power. The published article appeared in Management Science in 2021; this mission follows the authors' January 2021 accepted manuscript, whose theorem numbering and printed pages are the source for the statements below. Feng et al., accepted manuscript, pp. 9–21.

Setting

The firms are N={0,1,…,n}N=\{0,1,\ldots,n\}N={0,1,…,n}, with retailer 000. In the material network AAA, an arc (i,j)(i,j)(i,j) means downstream firm iii buys goods or services from upstream firm jjj. The ESR network AESRA^{\mathrm{ESR}}AESR also permits (i,j)(i,j)(i,j) when there is a directed material path from iii to jjj. Thus a retailer can negotiate directly with a distant upstream supplier even when an intermediate firm handles the material purchase. A feasible implementation structure TTT is a rooted tree of ESR arcs spanning all firms: every supplier has exactly one downstream parent, and every firm's parent chain reaches retailer 000. Feng et al., §3, pp. 9, 12–13, display (1).

Every firm must invest to create the program's revenue RRR. Firm iii incurs cost cic_ici​, and universal participation leaves positive total surplus Π=R−∑i∈Nci>0\Pi=R-\sum_{i\in N}c_i>0Π=R−∑i∈N​ci​>0. In a negotiation on (i,j)(i,j)(i,j), downstream firm iii has bargaining power θi,j\theta_{i,j}θi,j​ and upstream firm jjj has power 1−θi,j1-\theta_{i,j}1−θi,j​. Their relative bargaining power is ρi,j=(1−θi,j)/θi,j\rho_{i,j}=(1-\theta_{i,j})/\theta_{i,j}ρi,j​=(1−θi,j​)/θi,j​. The route from the retailer to firm vvv in TTT is Pv(T)P_v(T)Pv​(T). Feng et al., §3, pp. 10–12; §4.1, pp. 16–17.

A payment wi,jw_{i,j}wi,j​ goes from downstream iii to upstream jjj. A firm's gain is its receipts less its payments and investment cost, plus RRR if it is the retailer and all firms invest. A Nash–Nash equilibrium is a profile of arc payments in which each parent and child bargain over their own payment with the other payments fixed. They maximize their weighted Nash product subject to both gains being nonnegative; a negotiation breakdown generates zero disagreement gain. Feng et al., §4.1, pp. 15–17, displays (4)–(6).

Formalization targets

Equilibrium payments and gains

For a feasible TTT, Theorem 1 specifies the payment on each arc at universal participation. Corollary 1 then gives the retailer's gain and each supplier's gain in terms of products along root routes. In particular,

Γ(T)=∑v∈N∖{0}∏a∈Pv(T)ρa,π0(T,1)=Π1+Γ(T).\Gamma(T)=\sum_{v\in N\setminus\{0\}}\prod_{a\in P_v(T)}\rho_a, \qquad \pi_0(T,\mathbf 1)=\frac{\Pi}{1+\Gamma(T)}.Γ(T)=v∈N∖{0}∑​a∈Pv​(T)∏​ρa​,π0​(T,1)=1+Γ(T)Π​.

These are separate milestones because a formula for one payment does not by itself describe the network-wide gain distribution. Feng et al., p. 17, Theorem 1 and Corollary 1, displays (7)–(8).

Retailer preference and shortest path tree

The retailer maximizes its equilibrium gain by minimizing Γ(T)\Gamma(T)Γ(T) over feasible structures, as stated before and in display (9). Give each ESR arc the real cost di,j=log⁡ρi,jd_{i,j}=\log\rho_{i,j}di,j​=logρi,j​. A shortest path tree T∗T^*T∗ has a minimum-cost route from 000 to every supplier among simple directed ESR routes. Theorem 2 asserts

Γ(T∗)≤Γ(T)for every feasible T,π0(T,1)≤π0(T∗,1)at Nash–Nash equilibrium.\Gamma(T^*)\le\Gamma(T) \quad\text{for every feasible }T, \qquad \pi_0(T,\mathbf 1)\le\pi_0(T^*,\mathbf 1) \quad\text{at Nash–Nash equilibrium}.Γ(T∗)≤Γ(T)for every feasible T,π0​(T,1)≤π0​(T∗,1)at Nash–Nash equilibrium.

The first inequality is Theorem 2 as printed. The second records the retailer-gain interpretation immediately preceding display (9) and the paper's stated motivation for the structure result. Feng et al., §4.2, pp. 20–21, display (9), Theorem 2.

Significance

The theorem replaces a choice among potentially many feasible negotiation trees with a recognizable network object. It characterizes a retailer-preferred way to assign negotiations across tiers, while Corollary 1 also reports how each firm's share changes with the route linking it to the retailer. The paper uses the structure result to discuss delegation and engagement in supplier networks; its later extensions consider additional investment and negotiation settings. Feng et al., §§4.2–5.

The paper result is proved in its online appendix, which is not part of the held manuscript. The present mission supplies precise Lean statements for the network, bargaining equilibrium, gain allocation, and tree optimum. A local prior-art search found no published formalization of this particular network equilibrium or shortest-path-tree conclusion. Completing the mission would add machine-checked proofs of these statements and definitions that could be reused for other bargaining networks with a common surplus.

Difficulty

The arc costs are additive logarithms, but Γ(T)\Gamma(T)Γ(T) is a sum of multiplicative path weights. The paper explicitly warns that the total log cost of a shortest path tree is not the objective in display (9). A direct minimum-total-tree-cost argument therefore does not establish Theorem 2. At the bargaining layer, each payment affects the gains of two firms while the other negotiations remain in force; an independent two-person bargaining calculation does not yet establish a simultaneous network equilibrium. Feng et al., §4.1, pp. 16–17; §4.2, p. 20.

Formalization scope

Lean represents firms as Fin (n + 1), so retailer 000 exists even when n=0n=0n=0. Material arcs are a directed relation, and ESR arcs are its nonempty-path transitive closure. A parent map represents a feasible implementation tree; the retailer is pinned as its own parent, and that value never contributes a payment. Parent iteration must reach 000 from every firm. The tree's root route and subtree are derived from this map, rather than supplied as unrelated data. Payments are indexed by the supplier endpoint because every supplier has exactly one parent arc. Gains, powers, payments, and path costs are real-valued.

The manuscript permits θi,j∈[0,1]\theta_{i,j}\in[0,1]θi,j​∈[0,1], but the formal statements assume 0<θi,j<10<\theta_{i,j}<10<θi,j​<1 on ESR arcs. This disclosed restriction ensures the ratio and its logarithm retain their intended mathematical meaning; Lean assigns default values to division by zero and logarithms outside their positive domain. The manuscript's opposing-power identity θj,i=1−θi,j\theta_{j,i}=1-\theta_{i,j}θj,i​=1−θi,j​ is required on ESR arcs, including when material cycles permit both arc orientations. Investment costs are nonnegative, and Π>0\Pi>0Π>0. The formalization uses the manuscript's description of a rooted spanning tree; the in-degree condition printed in display (1) by itself also admits cycles disconnected from the retailer. Shortestness compares a tree route with every simple directed ESR route, so it does not define a shortest path tree by the desired Γ\GammaΓ inequality. The Nash comparison ranges only over payment deviations for which both firms' gains are nonnegative.

The definition layer needs finite directed paths, root-route products, contingent gains, and weighted Nash products. Reusable contributions include a rooted parent-map representation and a shortest-path-tree predicate for real arc costs. Solvers may contribute proofs and supporting lemmas for the three source milestones or the goal theorem; the additional delegation, Shapley, and extension results elsewhere in the paper are outside this mission.

Selected references

  • Q. Feng, C. Li, M. Lu, and J. G. Shanthikumar, Implementing Environmental and Social Responsibility Programs in Supply Networks Through Multiunit Bilateral Negotiation, accepted manuscript, January 2021; Management Science, 2021. SSRN 3309518; doi:10.1287/mnsc.2021.4034.
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Quantum Information·Captain: Goku

Singular value decomposition and matrix reorderings in quantum information theoryResearch Paper

Motivation

We review Schmidt and Kraus decompositions in the form of singular value decomposition using operations of reshaping, vectorization and reshuffling. We use the introduced notation to analyse the correspondence between quantum states and operations with the help of Jamiolkowski isomorphism. The presented matrix reorderings allow us to obtain simple formulae for the composition of quantum channels and partial operations used in quantum information theory. To provide examples of the discussed operations we utilize a package for the Mathematica computing system implementing basic functions used in the calculations related to quantum information theory.

This mission is the statement-level formalization of Singular value decomposition and matrix reorderings in quantum information theory (arXiv:1011.1585v2). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

12 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Schmidt decomposition of a bipartite pure state (Theorem 2, Eq.(19), PDF p. 4). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

2 results of the paper are not stated yet, because the library lacks an interface they need:

  • Example 4, Eqs.(54)–(56): A parameter-consistent singular system and canonical Kraus family for Example 4, Eqs.(54)–(56). (source-ambiguity)
  • Definition 9, Eq.(58): A trace-preserving Kraus criterion consistent with the action Psi(rho)=sum A_i rho A_i dagger. (source-ambiguity)

Selected references

  • Singular value decomposition and matrix reorderings in quantum information theory, arXiv:1011.1585v2, https://arxiv.org/abs/1011.1585v2
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Algorithmic Game TheoryGraph TheoryOperations Research·Captain: mikedeng1

The Buck-Passing Game: Every Deterministic Buck-Passing Game Has a Prior-Free Pure Nash EquilibriumResearch Paper

Why the game matters

In a buck-passing game, each participant chooses who will receive a task, burden, or token next. The eventual share of time spent holding it depends on every participant's choice. This makes a small network into a game: a local change of one outgoing edge can alter the long-run burden across an entire part of the network. Cominetti, Quattropani, and Scarsini study this setting in The Buck-Passing Game, including deterministic and stochastic versions. The deterministic result targeted here says that players can choose their outgoing edges without knowing where the buck will start and still reach a pure Nash equilibrium.

That independence from the starting distribution matters because an initial probability law can be unknown or disputed. A Nash equilibrium found for one chosen law may cease to be an equilibrium under another. The paper calls a profile that works for every law a prior-free Nash equilibrium. Its existence is the subject of Theorem 2 on p. 10 of arXiv:1808.03206v4.

The deterministic setting

Start with a finite directed graph G=(V,E)G=(V,E)G=(V,E) without loops. Each vertex iii is a player and has a nonempty set Ni+N_i^+Ni+​ of outgoing neighbors. Player iii chooses one neighbor si∈Ni+s_i\in N_i^+si​∈Ni+​; the collection s=(si)i∈Vs=(s_i)_{i\in V}s=(si​)i∈V​ is a strategy profile. Once these choices are fixed, the graph becomes a functional graph: from each vertex there is exactly one selected outgoing edge, and the buck moves according to the map fs(i)=sif_s(i)=s_ifs​(i)=si​.

At time zero, Nature places the buck at a vertex drawn from a probability distribution μ\muμ on VVV. At time t≥1t\geq1t≥1, the buck is at fst(j)f_s^t(j)fst​(j) if it started at jjj. The cost ci(s)c_i(s)ci​(s) of player iii is the expected limiting fraction of positive times for which iii holds it. Players minimize their own costs. The definition follows equation (3) on p. 6: for each possible start jjj, count visits at times 1,…,T1,\ldots,T1,…,T, divide by TTT, take the limit, and average the resulting value with weights μj\mu_jμj​.

Every orbit on a finite functional graph eventually enters a directed cycle. The vertices whose orbits enter the same cycle form its basin, called a unicycle in the paper. The cycles CsℓC_s^\ellCsℓ​ are pairwise disjoint, and their basins AsℓA_s^\ellAsℓ​ partition the vertices. Equation (6) on p. 7 says that a player outside a cycle has zero long-run cost, while a player on cycle CsℓC_s^\ellCsℓ​ has cost μ(Asℓ)/∣Csℓ∣\mu(A_s^\ell)/|C_s^\ell|μ(Asℓ​)/∣Csℓ​∣. A unilateral change is profitable when it strictly lowers the changing player's cost; a profile with no profitable change is a pure Nash equilibrium. Definitions 1–3 and equations (3)–(6) fix these terms.

Formalization targets

The main target is Theorem 2. The order of its quantifiers is essential: one profile must work for every initial probability distribution. Writing Δ(V)\Delta(V)Δ(V) for the probability distributions on VVV, the claim is

∃s∈∏i∈VNi+∀μ∈Δ(V)∀i∈V∀x∈Ni+,ci(s)≤ci(x,s−i).\exists s\in\prod_{i\in V}N_i^+\quad\forall\mu\in\Delta(V)\quad\forall i\in V\quad\forall x\in N_i^+,\qquad c_i(s)\leq c_i(x,s_{-i}).∃s∈i∈V∏​Ni+​∀μ∈Δ(V)∀i∈V∀x∈Ni+​,ci​(s)≤ci​(x,s−i​).

The proposed milestones match the claims leading up to this result in §3.1 of the paper. A component-wise minimizer of a generalized ordinal potential is a Nash equilibrium. Proposition 1 guarantees an equilibrium for a finite generalized ordinal potential game and also for the compact, lower semicontinuous case. Equation (6) identifies costs from the limiting visit frequencies. The p. 9 classification describes the two types of profitable deviation. Theorem 1 supplies a generalized ordinal potential that depends only on the selected cycles:

Ψ(s)=∑ℓ=1M(s)(∣V∣−∣Csℓ∣),ci(x,s−i)<ci(s)  ⟹  Ψ(x,s−i)<Ψ(s).\Psi(s)=\sum_{\ell=1}^{M(s)}\bigl(|V|-|C_s^\ell|\bigr),\qquad c_i(x,s_{-i})<c_i(s)\;\Longrightarrow\;\Psi(x,s_{-i})<\Psi(s).Ψ(s)=ℓ=1∑M(s)​(∣V∣−∣Csℓ​∣),ci​(x,s−i​)<ci​(s)⟹Ψ(x,s−i​)<Ψ(s).

The full-support assertion in the second sentence of Theorem 1 is outside this mission's milestone list. The existence target uses its first assertion. Theorem 3's bound on improvement-path length and the paper's stochastic, constrained, and buck-holding games are also outside this target.

What the result provides

Theorem 2 guarantees a pure strategy profile with stability across all starting distributions, including distributions concentrated at a single vertex. It strengthens the statement that each fixed distribution has some equilibrium, which could choose a different profile each time. In this deterministic model the same strategy choices serve all initial laws. The paper's proof ties that claim to a graph quantity, Ψ\PsiΨ, whose value has no μ\muμ parameter. Theorems 1–2, pp. 9–10 state the potential and equilibrium conclusions.

The research result is already proved in the paper. The work here is to give its definitions and statements precise Lean types and to establish machine-checked proofs of the limit identity, graph-change classification, potential property, and existence theorem. The drafted theorem files currently contain sorry, so their compilation checks statement well-formedness rather than proving the claims. The finite cost-game definitions and orbit-frequency statement can also support later formalizations of deterministic dynamics and potential games.

Where the proof is difficult

A finite orbit is eventually periodic, but the cost is defined using a limit of averages from time 111 through TTT. The formal development must establish that limit for every initial vertex before substituting the cycle-and-basin formula. It must then track what a one-player change does to the cycles of a functional graph. The changed edge can lengthen one cycle or remove it by sending its vertices toward a different cycle; costs also depend on how much initial mass reaches the affected basin. Merely knowing that a player's new out-neighbor is in the same basin does not show an improvement, because the new cycle may be shorter or unchanged. These are the concrete issues behind equation (6) and Theorem 1.

Formalization scope

Lean gives the general cost-game predicates their own definition module. The deterministic model represents VVV by a finite type, with the paper's loopless and nonempty out-neighborhood assumptions bundled into BPGraph. A strategy is an out-neighbor subtype, so every profile selects only legal edges. The distribution is a real vector with nonnegative coordinates summing to one. Costs and the potential are real-valued. The cost is built from the orbit's Cesàro limit in equation (3); equation (6) is a separate theorem asserting convergence and the resulting value. Cycles are finite sets of periodic points, deduplicated so that Ψ\PsiΨ has exactly one summand per cycle; basins contain the vertices whose orbits reach that cycle. Classical decidability constructs these finite sets.

The empty vertex type is permitted by the Lean representation; it has one empty strategy profile and no probability distribution. A one-vertex graph cannot satisfy both the loopless and nonempty out-neighborhood assumptions. The prior-free goal explicitly places the profile before the quantifier over distributions. Defining cost by the cycle formula, or choosing a separate equilibrium after seeing each distribution, would change the target. Proposition 1 makes nonempty strategy sets explicit, as an empty compact strategy set has no profile. The first profitable-deviation case requires that the changed edge lengthen the cycle; membership in the basin alone does not do so.

The development needs reusable results on finite function iteration, periodic points, Cesàro frequencies, finite products, and lower semicontinuous minimization. The goal and its milestones invite proofs of those statements under the recorded hypotheses. All mission items are drafted locally and remain unproved until solvers supply proofs.

Selected references

  • R. Cominetti, M. Quattropani, and M. Scarsini, The Buck-Passing Game, Mathematics of Operations Research, 2022. arXiv:1808.03206v4. The formalization cites the version 4 preprint's pages and numbering.
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Quantum Information·Captain: Goku

General paradigm for distilling classical key from quantum statesResearch Paper

Motivation

We develop a formalism for distilling a classical key from a quantum state in a systematic way, expanding on our previous work on secure key from bound entanglement [K. Horodecki et. al., Phys. Rev. Lett. 94 (2005)]. More detailed proofs, discussion and examples are provided of the main results. Namely, we demonstrate that all quantum cryptographic protocols can be recast in a way which looks like entanglement theory, with the only change being that instead of distilling EPR pairs, the parties distill private states. The form of these general private states are given, and we show that there are a number of useful ways of expressing them. Some of the private states can be approximated by certain states which are bound entangled. Thus distillable entanglement is not a requirement for a private key. We find that such bound entangled states are useful for a cryptographic primitive we call a controlled private quantum channel. We also find a general class of states which have negative partial transpose (are NPT), but which appear to be bound entangled. The relative entropy distance is shown to be an upper bound on the rate of key. This allows us to compute the exact value of distillable key for a certain class of private states.

This mission is the statement-level formalization of General paradigm for distilling classical key from quantum states (arXiv:quant-ph/0506189v2). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

26 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Theorem 1: twisting invariance (Theorem 1: twisting invariance, PDF p. 5). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

19 results of the paper are not stated yet, because the library lacks an interface they need:

  • Main paradigm: equality of LOCC and LOPC key rates: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Proposition 1: REE criterion for irreducibility: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Proposition 2: separable conditional shields: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Proposition 5: equality of exact key rates: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Theorem 5: two-way finite-error protocol conversion, corrected bound: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Theorem 6: recurrence approaches a private bit: Evaluated successful bilateral-CNOT recurrence instrument, with all successful records included and a proved LOCC realization (hard)
  • Lemma 6: sufficiently close approximate private bits have key: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Theorem 8: bound entangled states with positive key: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Corollary 2: distillable key differs from distillable entanglement: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Theorem 9: regularized REE bounds distillable key: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • Theorem 10: comparison of security criteria: Unambiguous source-supported full operational/security conclusion (source-ambiguity)
  • §IV-A: explicit distillable-entanglement/key gap: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • §IV-C: exact key of the two examples: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • §IV-C: key of maximally correlated states: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • §II-B: squeezing cannot increase measured key: Operational classical-key rate on tripartite ccq states, with enlargement of Eve by the discarded shield (hard)
  • §IX-A: coherent local dilation retaining shields and transcripts: Body-defined finite LOPC protocol evaluation and a constructive local dilation retaining shield environments and public transcripts (hard)
  • §X-B: recurrence output and its success probability: Evaluated successful bilateral-CNOT recurrence instrument, with all successful records included and a proved LOCC realization (hard)
  • §XI: key can be below entanglement cost: Operational private-key, classical-key, and (where used) entanglement rates over physically evaluated finite LOCC/LOPC protocols (hard)
  • §XIII: controlled private quantum channel claim: Unambiguous source-supported full operational/security conclusion (source-ambiguity)

Selected references

  • General paradigm for distilling classical key from quantum states, arXiv:quant-ph/0506189v2, https://arxiv.org/abs/quant-ph/0506189v2
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Quantum Information·Captain: Goku

Tight uniform continuity bounds for quantum entropies: conditional entropy, relative entropy distance and energy constraintsResearch Paper

Motivation

We present a bouquet of continuity bounds for quantum entropies, falling broadly into two classes: First, a tight analysis of the Alicki-Fannes continuity bounds for the conditional von Neumann entropy, reaching almost the best possible form that depends only on the system dimension and the trace distance of the states. Almost the same proof can be used to derive similar continuity bounds for the relative entropy distance from a convex set of states or positive operators. As applications we give new proofs, with tighter bounds, of the asymptotic continuity of the relative entropy of entanglement, ERE_RER​, and its regularization ER∞E_R^\inftyER∞​, as well as of the entanglement of formation, EFE_FEF​. Using a novel "quantum coupling" of density operators, which may be of independent interest, we extend the latter to an asymptotic continuity bound for the regularized entanglement of formation, aka entanglement cost, EC=EF∞E_C=E_F^\inftyEC​=EF∞​. Second, analogous continuity bounds for the von Neumann entropy and conditional entropy in infinite dimensional systems under an energy constraint, most importantly systems of multiple quantum harmonic oscillators. While without an energy bound the entropy is discontinuous, it is well-known to be continuous on states of bounded energy. However, a quantitative statement to that effect seems not to have been known. Here, under some regularity assumptions on the Hamiltonian, we find that, quite intuitively, the Gibbs entropy at the given energy roughly takes the role of the Hilbert space dimension in the finite-dimensional Fannes inequality.

This mission is the statement-level formalization of Tight uniform continuity bounds for quantum entropies: conditional entropy, relative entropy distance and energy constraints (arXiv:1507.07775v6). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

7 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Remark 3: explicit near-tightness example for Lemma 2 (Remark 3: explicit near-tightness example for Lemma 2, PDF p. 3). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

12 results of the paper are not stated yet, because the library lacks an interface they need:

  • Lemma 2: almost tight conditional entropy continuity (paper headline): Normalized trace-class bipartite states, partial traces, extended conditional entropy, common-basis qc/cq predicates (hard)
  • Corollary 4: continuity of entanglement of formation and entanglement cost: Countable exact pure-state ensembles, entanglement of formation, and its tensor-power regularization with an infinite factor (hard)
  • Remark 6: separable infinite-dimensional extension of Proposition 5: Trace-class tensor-square states, Hilbert-Schmidt vectorization, marginals, basis transpose and root fidelity (hard)
  • Corollary 8: continuity of relative entropy of entanglement and its regularization: Infinite-factor Umegaki relative entropy, closed separable-state set, E_R and E_R-infinity (hard)
  • Proposition 14: quantum coupling with large operator norm: Arbitrary separable trace-class couplings, tensor marginals and operator norm (hard)
  • Lemma 15: energy-constrained entropy continuity by coupling: Arbitrary finite-energy trace-class states, full spectral entropy, trace distance and quadratic-form energy (hard)
  • Meta-Lemma 16: adjustable-cutoff energy-constrained entropy continuity: Arbitrary finite-energy trace-class states and their spectral entropy and trace distance (hard)
  • Meta-Lemma 17: energy-constrained conditional entropy continuity: Infinite-dimensional bipartite trace-class states with finite-A-entropy conditional extension and A-only form energy (hard)
  • Eq. (19): oscillator Gibbs entropy bound and equal-allocation maximization: A correct optimizing equality for the unequal-frequency allocation simplex (source-ambiguity)
  • Lemma 18: explicit harmonic-oscillator entropy and conditional entropy bounds: Full Fock trace-class input states, oscillator quadratic-form energy, and arbitrary-ancilla conditional entropy (hard)
  • Remark 19: large-energy sharpness of oscillator leading coefficients: Actual mixed Fock witnesses, Gibbs purification, trace distance and conditional entropy, plus large-energy comparison (hard)
  • Unnumbered consequence: uniform continuity at each fixed energy: A trace-distance state domain of arbitrary bounded-energy densities and uniform-in-B conditional entropy (hard)

Selected references

  • Tight uniform continuity bounds for quantum entropies: conditional entropy, relative entropy distance and energy constraints, arXiv:1507.07775v6, https://arxiv.org/abs/1507.07775v6
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EconomicsOperations Research·Captain: mikedeng1

A Theory of ICOs: Diversification, Agency, and Information Asymmetry: Tokens Have a Signaling Advantage over Equity Exactly for Moderate Venture Heterogeneity and for Moderate Payoff VolatilityResearch Paper

Why financing can convey venture quality

An entrepreneur who knows more about a venture than its investors can convey information through the share of the venture that she keeps. A larger retained share exposes her to more of its uncertain payoff. The cost of this signal depends on what investors buy: an equity claim receives revenue after production costs, while a token claim receives a share of gross revenue. Chod and Lyandres examine how that difference affects the ability of high- and low-quality ventures to separate in an initial coin offering. Their analysis identifies a range of venture heterogeneity and payoff volatility in which tokens support separation and equity does not. The source for this mission is their SSRN working paper, version of December 14, 2019, §4 and Proposition 6.

This result concerns a specific information problem. Investors cannot observe venture quality before buying; an entrepreneur knows her own type. If the same financing contract is used regardless of type, investors cannot identify quality from the offering. A separating outcome instead assigns different sale fractions to the two types and makes the resulting investor beliefs consistent with each type's incentives. The paper compares the feasibility of such outcomes for the two securities, under a model in which the agency effects studied in its earlier sections are set aside.

The two-type financing game

There are two venture types, high HHH and low LLL. The entrepreneur observes the type; investors observe the fraction α\alphaα offered for sale. Type iii has uncertain shock Xi=ξi2X_i=\xi_i^2Xi​=ξi2​ with a normal approximation of mean μi\mu_iμi​ and standard deviation σ\sigmaσ, where μH>μL\mu_H>\mu_LμH​>μL​. Revenue is Ri=Xi/4R_i=X_i/4Ri​=Xi​/4. The entrepreneur pays fixed production cost CCC and initial investment III. Her CARA utility at terminal wealth ω\omegaω is

uγ(ω)=γ−1−γ−1exp⁡(−γω),γ>0.u_\gamma(\omega)=\gamma^{-1}-\gamma^{-1}\exp(-\gamma\omega),\qquad\gamma>0.uγ​(ω)=γ−1−γ−1exp(−γω),γ>0.

Under a belief that the venture has type jjj, investors value the revenue using that type's distribution. An actual type iii who sells fraction α\alphaα therefore receives the cash value αEj[Rj]\alpha\mathbb E_j[R_j]αEj​[Rj​], retains fraction 1−α1-\alpha1−α of her own realized revenue, and has expected utility

Uij(α)=Ei[uγ ⁣(αEj[Rj]+(1−α)Ri−C−I)].U_{ij}(\alpha)=\mathbb E_i\left[u_\gamma\!\left(\alpha\mathbb E_j[R_j]+(1-\alpha)R_i-C-I\right)\right].Uij​(α)=Ei​[uγ​(αEj​[Rj​]+(1−α)Ri​−C−I)].

The financing method changes the smallest fraction she must sell. The equity financing threshold is αˉjE=I/(Ej[Rj]−C)\bar\alpha_j^E=I/(\mathbb E_j[R_j]-C)αˉjE​=I/(Ej​[Rj​]−C), and the token financing threshold is αˉjT=I/Ej[Rj]\bar\alpha_j^T=I/\mathbb E_j[R_j]αˉjT​=I/Ej​[Rj​]. The cost CCC appears in the equity denominator because equity buyers receive a claim after that cost. With a positive cost, the token threshold is strictly smaller.

Investors use a threshold belief: they infer HHH when α≤t\alpha\le tα≤t and LLL when α>t\alpha>tα>t. A separating equilibrium requires both types to prefer the side of the threshold assigned to them, subject to their financing constraints. The paper's conditions (23) and (24) compare the best feasible payoffs on the two sides. A least-cost separating equilibrium is a separating equilibrium that is not Pareto-dominated by another such equilibrium. The paper defines an interior share α∗\alpha^*α∗ in equation (25); Proposition 5 identifies its role as the least-cost threshold whenever separation is feasible.

Formalization targets

The central question is when tokens have a signaling advantage: a separating equilibrium exists with tokens, and none exists with equity. Proposition 6 gives two parameter windows. For fixed values of the other parameters, there are thresholds μl<μu\mu_l<\mu_uμl​<μu​ and σl<σu\sigma_l<\sigma_uσl​<σu​ such that

token signaling advantage⟺μl≤μL<μu,\text{token signaling advantage}\quad\Longleftrightarrow\quad\mu_l\le\mu_L<\mu_u,token signaling advantage⟺μl​≤μL​<μu​,

and, in a separate comparison,

token signaling advantage⟺σl≤σ<σu.\text{token signaling advantage}\quad\Longleftrightarrow\quad\sigma_l\le\sigma<\sigma_u.token signaling advantage⟺σl​≤σ<σu​.

The first window varies the low-type mean while keeping the high-type mean fixed. Increasing μL\mu_LμL​ reduces the difference between the types. The second varies payoff volatility. Both claims concern the game's equilibrium conditions, rather than only a numerical inequality between closed-form expressions.

The milestone sequence begins with the CARA-normal expected-utility formula (38) and the interior range of α∗\alpha^*α∗. It then records the low type's indifference at α∗\alpha^*α∗ and the threshold form of condition (24). Proposition 5 characterizes the equilibrium under each security. The remaining milestones compare the financing thresholds and record the monotonicity of α∗\alpha^*α∗ with respect to μL\mu_LμL​ and σ\sigmaσ. These are the paper's stated results and intermediate claims in §4 and its appendix.

What the result establishes

The theorem isolates a case in which the form of the security changes what investors can infer. A token offering can permit the high type to sell enough to finance the investment while retaining a stake that the low type does not want to imitate. Equity may require a larger sale fraction, closing that opportunity. The window statement also says the advantage is limited: when types are too different or too similar, or when volatility is outside the relevant range, tokens do not uniquely enable separation under this model.

A machine-checked development would connect an explicit probabilistic payoff model, incentive comparisons over feasible actions, the equilibrium characterization, and comparative statics in one chain. The cited paper proves these results informally; the theorem files here are open proof targets. The CARA-normal calculation and the representation of threshold equilibria are reusable in other signaling models with normally distributed payoffs.

Where the mathematical work lies

The direct comparison of financing thresholds is insufficient for the goal. Separation also depends on whether a low-quality entrepreneur would imitate a high-quality one, and whether a high-quality entrepreneur prefers to reveal her type. These conditions optimize utility over different feasible sale fractions, including a strict boundary on the low-belief side of the threshold. The paper's closed form for α∗\alpha^*α∗ expresses the point at which the low type becomes indifferent, but the full result must also establish the high type's incentive and the uniqueness of the refined equilibrium.

The comparative statics require control of two moving parts: the threshold α∗\alpha^*α∗ changes with the low-type mean and volatility, while the high-type financing thresholds remain fixed in those comparisons. The interval endpoints in Proposition 6 are existential, so their placement must reflect the feasible parameter domain and the strict or weak inequalities at each boundary.

Formalization scope

Lean represents the normal approximation for Xi=ξi2X_i=\xi_i^2Xi​=ξi2​ directly with gaussianReal of mean μi\mu_iμi​ and variance σ2\sigma^2σ2. This follows the paper's approximation even though a literal square is nonnegative and a nondegenerate normal variable is not. Revenue is Xi/4X_i/4Xi​/4. Expected utility remains a Gaussian integral; equation (38) is a theorem target, not a definition of that utility. All payoffs and thresholds are real numbers.

The parameter domain has γ>0\gamma>0γ>0, σ>0\sigma>0σ>0, μL<μH\mu_L<\mu_HμL​<μH​, C>0C>0C>0, I>0I>0I>0, and I≤μL/4−CI\le\mu_L/4-CI≤μL​/4−C. The last two substantive additions to the page's stated model are C>0C>0C>0, needed for the strict token-equity threshold comparison, and the low-type financing condition, needed for the paper's action αL=1\alpha_L=1αL​=1 to be feasible. An equilibrium threshold satisfies αˉHi≤t<1\bar\alpha_H^i\le t<1αˉHi​≤t<1. The least-cost refinement is represented by the paper's operational exclusion of Pareto-dominated separating equilibria, without claiming a general formalization of the Cho–Kreps intuitive criterion.

The high and low incentive conditions quantify only over feasible fractions. Equilibrium payoffs use real suprema on the corresponding action sets; within an equilibrium these sets are nonempty and the utility is bounded above. The goal defines signaling advantage through existence and nonexistence of separating equilibria, so it cannot be discharged by redefining the advantage as the closed-form inequality. Useful contributions include Gaussian expected-utility lemmas, optimization over the feasible intervals, equilibrium existence and uniqueness, and the real-analysis results needed for the parameter windows.

Selected references

  • Jacob Chod and Evgeny Lyandres, A Theory of ICOs: Diversification, Agency, and Information Asymmetry, SSRN working paper 3159528, version of December 14, 2019, §4 and Appendix; published in Management Science. Working paper. Published article DOI.
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Quantum Information·Captain: Goku

Bounds on entanglement distillation and secret key agreement for quantum broadcast channelsResearch Paper

Motivation

The squashed entanglement of a quantum channel is an additive function of quantum channels, which finds application as an upper bound on the rate at which secret key and entanglement can be generated when using a quantum channel a large number of times in addition to unlimited classical communication. This quantity has led to an upper bound of log⁡((1+η)/(1−η))\log((1+\eta)/(1-\eta))log((1+η)/(1−η)) on the capacity of a pure-loss bosonic channel for such a task, where η\etaη is the average fraction of photons that make it from the input to the output of the channel. The purpose of the present paper is to extend these results beyond the single-sender single-receiver setting to the more general case of a single sender and multiple receivers (a quantum broadcast channel). We employ multipartite generalizations of the squashed entanglement to constrain the rates at which secret key and entanglement can be generated between any subset of the users of such a channel, along the way developing several new properties of these measures. We apply our results to the case of a pure-loss broadcast channel with one sender and two receivers.

This mission is the statement-level formalization of Bounds on entanglement distillation and secret key agreement for quantum broadcast channels (arXiv:1503.08139v2). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

1 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Thermal-entropy difference: monotonicity and finite or infinite limit (§7, paragraph containing (7.18), PDF p. 28). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

11 results of the paper are not stated yet, because the library lacks an interface they need:

  • Abstract seed pinned to Theorem 12, §5: simultaneous eight-rate outer bound: Operational eight-rate broadcast achievability and computed channel-output squashed measures (hard)
  • Lemma 3: characterization by squashing a fixed purification: Unrestricted-extension and fixed-purification squashing definitions (hard)
  • Lemma 6 (Subadditivity): Both computed squashed measures on three marginals/groupings of one pure state (hard)
  • Lemma 7: monotonicity under grouping: Same-state tensor regrouping and both computed squashed measures (hard)
  • Lemma 8: reduction for a product party: Tensor-product density states and computed unrestricted-extension measures (hard)
  • Unnumbered §3.4: four cut bounds for the eight-factor ideal target, (3.62)–(3.71): Independent eight-factor GHZ/private target and its grouped measures (hard)
  • Lemma 11: resource lower bound across every nontrivial partition: Subset-indexed independent quantum-resource target and computed grouped measures (hard)
  • Theorem 13, §6: all-partition m-receiver outer bound: Subset-rate broadcast protocols and one pure witness for every partition (hard)
  • Unnumbered §7: both output-entropy bounds and finite-energy bounds, (7.11),(7.17),(7.23),(7.28): Fock broadcast dilation, environmental beamsplitter and actual conditional output entropies (hard)
  • Proposition 14: optimized photon-number independent broadcast squashed-entanglement bound: Computed Fock-channel squashed-measure suprema and boundary-aware optimization (hard)
  • Theorem 15: four explicit two-receiver bosonic rate bounds: Operational bosonic eight-rate protocols and corrected vacuum passive splitter (hard)

Selected references

  • Bounds on entanglement distillation and secret key agreement for quantum broadcast channels, arXiv:1503.08139v2, https://arxiv.org/abs/1503.08139v2
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Quantum Information·Captain: Goku

Theoretical framework for quantum networksResearch Paper

Motivation

We present a framework to treat quantum networks and all possible transformations thereof, including as special cases all possible manipulations of quantum states, measurements, and channels, such as, e.g., cloning, discrimination, estimation, and tomography. Our framework is based on the concepts of quantum comb-which describes all transformations achievable by a given quantum network-and link product-the operation of connecting two quantum networks. Quantum networks are treated both from a constructive point of view-based on connections of elementary circuits-and from an axiomatic one-based on a hierarchy of admissible quantum maps. In the axiomatic context a fundamental property is shown, which we call universality of quantum memory channels: any admissible transformation of quantum networks can be realized by a suitable sequence of memory channels. The open problem whether this property fails for some nonquantum theory, e.g., for no-signaling boxes, is posed.

This mission is the statement-level formalization of Theoretical framework for quantum networks (arXiv:0904.4483v2). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

30 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Lemma 1: trace preservation (Lemma 1: trace preservation, PDF p. 2). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

15 results of the paper are not stated yet, because the library lacks an interface they need:

  • Theorem 8 (Universality of quantum memory channels); seed paper result: Causally prescribed higher-order admissible maps and their physical interconnection semantics (hard)
  • §III C.3: memory and coherent-control upper bounds: Resource costs and rank-bounded implementations for all prefixes (hard)
  • §III C.4: probabilistic network normalization: Branchwise composition of elementary instruments along a memory network (hard)
  • Corollary 2: connection of networks: Lawful labelled partial network interconnection and merged signature (hard)
  • Theorem 6 (Realization of admissible N-maps): Uniform physical interleaving of two memory realizations (hard)
  • §IV B: order-preserving tensor products of combs: Order-preserving tooth merges with disjoint adjacent identifications (hard)
  • Lemma 7: currying an (N,M)-map: Typed currying equivalence for arbitrary (N,M)-maps without a total product order (hard)
  • Theorem 7: admissible (N,M)-maps are combs: Remote-compatible admissibility under a selected merged causal prescription (hard)
  • §IV C remark: independent teeth exceed the comb hierarchy: Independent-teeth domains and quantification over all causal slot schedules (hard)
  • Theorem 10 (Realization of N-instruments): Physical action of measured memory-network realizations on an arbitrary inner comb (hard)
  • Lemma 8: testers as instruments: Canonical endpoint-padding transport between tester and instrument signatures (hard)
  • Theorem 11 (Realization of testers): Tester endpoint padding with a k-dimensional final readout wire (hard)
  • Theorem 12 (Realization scheme for testers): Sequential coherent implementation of the square-root tester map (hard)
  • §V B: claimed formula for the span of deterministic combs: False printed nonrecursive characterization of the deterministic-comb span (source-ambiguity)
  • §VI Eq.(95): displayed two-time Pauli measurement: Nonpositive P0 in the literal displayed Eq.(95) (source-ambiguity)

Selected references

  • Theoretical framework for quantum networks, arXiv:0904.4483v2, https://arxiv.org/abs/0904.4483v2
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EconomicsOperations ResearchOptimization·Captain: mikedeng1

Labor Welfare in On-Demand Service Platforms: With Delay-Sensitive Customers, Average Labor Welfare First Increases and Then Decreases in the Labor Pool SizeResearch Paper

Motivation

On-demand service platforms (ride-hailing, delivery, home services) do not employ their workers. They set a price for customers and a wage per unit of work, and independent agents decide how much time to make themselves available. A recurring policy question, raised by regulators and labor advocates alike, is whether platforms should be allowed to recruit labor pools of unlimited size: a larger pool is often argued to depress what each worker earns. Benjaafar, Ding, Kong and Taylor (SSRN 3103447; published in Manufacturing & Service Operations Management, doi:10.1287/msom.2020.0964) study this question in a model where customers care about delay. Their central result, Theorem 2, is that the answer depends on delay sensitivity: in a standard market a larger pool lowers average labor welfare, but when customers are delay-sensitive, average labor welfare first rises and then falls in the pool size.

Setting

The model has two populations, both treated as continua.

Agents. A labor pool of mass N>0N>0N>0. An agent with opportunity-cost parameter aaa who is available for time xxx incurs cost ax2a x^2ax2; aaa has distribution FFF on [a‾,aˉ][\underline a,\bar a][a​,aˉ] with 0<a‾0<\underline a0<a​. Given the wage www, demand DDD and labor supply SSS, work is shared in proportion to availability, so the agent's effective wage is we=wD/Sw_e=wD/Swe​=wD/S and his best response is x∗(a)=wD/(2aS)x^*(a)=wD/(2aS)x∗(a)=wD/(2aS). Aggregation gives the labor supply equation

S=wDN E[1/a]/2.S=\sqrt{wDN\,E[1/a]/2}.S=wDNE[1/a]/2​.

Customers. Needs arise at rate Λ\LambdaΛ (the market size); a customer with valuation v∼Unif[0,vˉ]v\sim\mathrm{Unif}[0,\bar v]v∼Unif[0,vˉ] seeks service if v−p−hW≥0v-p-hW\ge 0v−p−hW≥0, where h≥0h\ge0h≥0 is the delay sensitivity and

W=(D/S)βS−D,β≥1,W=\frac{(D/S)^\beta}{S-D},\qquad \beta\ge1,W=S−D(D/S)β​,β≥1,

is the delay. Demand is D=Λ[1−G(p+hW)]D=\Lambda[1-G(p+hW)]D=Λ[1−G(p+hW)] with GGG the uniform cdf, and an equilibrium requires D<SD<SD<S. In the benchmark h=0h=0h=0 demand is Λ[1−G(p)]\Lambda[1-G(p)]Λ[1−G(p)] and the capacity constraint is D≤SD\le SD≤S.

Platform. The platform chooses p≥0p\ge0p≥0, w≥0w\ge0w≥0 to maximize (p−w)D(p-w)D(p−w)D subject to these equilibrium conditions; the optimum is (p∗,w∗,D∗,S∗)(p^*,w^*,D^*,S^*)(p∗,w∗,D∗,S∗). The agent utilization is ρ∗=D∗/S∗\rho^*=D^*/S^*ρ∗=D∗/S∗, and average labor welfare is

LW‾=∫[w∗D∗S∗x∗(a)−a x∗(a)2]dF(a).\overline{LW}=\int\Big[\frac{w^*D^*}{S^*}x^*(a)-a\,x^*(a)^2\Big]dF(a).LW=∫[S∗w∗D∗​x∗(a)−ax∗(a)2]dF(a).

The pool sizes for which a positive optimum exists are N>N‾N>\underline NN>N​, with N‾=0\underline N=0N​=0 for β>1\beta>1β>1 and N‾=8h/(vˉ2E[1/a])\underline N=8h/(\bar v^2E[1/a])N​=8h/(vˉ2E[1/a]) for β=1\beta=1β=1.

Formalization targets

Goal: Theorem 2 (p. 11)

  1. If h=0h=0h=0: w∗w^*w∗, we∗w^*_ewe∗​ and LW‾\overline{LW}LW are strictly decreasing in NNN.
  2. If h>0h>0h>0: w∗w^*w∗ is strictly decreasing in NNN on (N‾,∞)(\underline N,\infty)(N​,∞), and for each Q∈{D∗/S∗, we∗, LW‾}Q\in\{D^*/S^*,\ w^*_e,\ \overline{LW}\}Q∈{D∗/S∗, we∗​, LW} there is N0>max⁡(0,N‾)N_0>\max(0,\underline N)N0​>max(0,N​) with
Q strictly increasing on (N‾,N0),Q strictly decreasing on (N0,∞).Q\ \text{strictly increasing on}\ (\underline N,N_0),\qquad Q\ \text{strictly decreasing on}\ (N_0,\infty).Q strictly increasing on (N​,N0​),Q strictly decreasing on (N0​,∞).

The thresholds are not given in closed form; the goal asserts only their existence.

Milestones (in attack order)

  • Lemma 11 (p. OA1): unique positive market equilibrium for each admissible (p,w)(p,w)(p,w).
  • (8)–(9) (p. OA1): price, wage and profit as functions of (D,S)(D,S)(D,S); (10): LW‾=E[1/a] we2/4\overline{LW}=E[1/a]\,w_e^2/4LW=E[1/a]we2​/4.
  • Lemma 12 (p. OA2): the revenue-maximizing demand D~(S)\tilde D(S)D~(S) increases in SSS and Π(D~(S),S)\Pi(\tilde D(S),S)Π(D~(S),S) is single-peaked at S∗S^*S∗.
  • Lemma 1 (pp. 9–10): a unique optimum exists iff β>1\beta>1β>1 or β=1\beta=1β=1 and N>8h/(vˉ2E[1/a])N>8h/(\bar v^2E[1/a])N>8h/(vˉ2E[1/a]).
  • (17)–(18) (p. OA7): first-order conditions at the optimum.
  • Lemma 13 (p. OA4): S∗S^*S∗, D∗D^*D∗ increase in NNN; S∗→∞S^*\to\inftyS∗→∞, D∗→Λ/2D^*\to\Lambda/2D∗→Λ/2; S∗,D∗,ρ∗→0S^*,D^*,\rho^*\to0S∗,D∗,ρ∗→0 as N↓N‾N\downarrow\underline NN↓N​.
  • Case h=0h=0h=0 of the proof (pp. OA4–OA5): D∗=S∗=vˉ/(2(vˉ/Λ+2/(NE[1/a])))D^*=S^*=\bar v/(2(\bar v/\Lambda+2/(NE[1/a])))D∗=S∗=vˉ/(2(vˉ/Λ+2/(NE[1/a]))), w∗=vˉΛ/(vˉNE[1/a]+2Λ)w^*=\bar v\Lambda/(\bar vNE[1/a]+2\Lambda)w∗=vˉΛ/(vˉNE[1/a]+2Λ).
  • Parts (i)–(iv) of the proof (pp. OA5–OA7): the threshold statements for we∗w^*_ewe∗​, ρ∗\rho^*ρ∗ and LW‾\overline{LW}LW, the identity w∗=12vˉ−vˉD∗/Λw^*=\tfrac12\bar v-\bar vD^*/\Lambdaw∗=21​vˉ−vˉD∗/Λ, and the monotonicity of w∗w^*w∗.

Significance

The result. Theorem 2 separates two regimes. In a congestion regime (small pools, large delay cost hW∗hW^*hW∗) extra agents reduce delay, stimulate demand faster than supply grows, and raise utilization, the effective wage and average labor welfare: agents exert a positive externality on one another. In a cost regime (large pools) the demand effect is exhausted and extra agents only dilute work. The paper uses this to argue against blunt caps on platform labor pools and as the baseline for its analysis of nominal and effective wage floors (§5). Without delay sensitivity the classical conclusion, that a larger pool lowers welfare, is recovered exactly.

Formalizing it. The theorem is proved in the paper, with an online appendix of implicit-function and envelope arguments. None of it is formalized. This mission produces a machine-checked model of a platform with endogenous supply and congestion-dependent demand, the reduced (D,S)(D,S)(D,S) problem, and the comparative statics in NNN. The paper's Lemma 11 needs a correction at β=1\beta=1β=1 (see below), which is the kind of gap a formal development exposes.

Difficulty

The optimum is defined implicitly by two nonlinear first-order conditions, and there is no closed form for h>0h>0h>0. The obvious route, differentiating we∗=2S∗/(NE[1/a])w^*_e=2S^*/(NE[1/a])we∗​=2S∗/(NE[1/a]) in NNN, gives a quantity whose sign is the competition between the growth of S∗S^*S∗ and the factor 1/N1/N1/N, and that sign changes with NNN. Monotonicity arguments of the usual kind (supermodularity in (S,N)(S,N)(S,N), which does give that S∗S^*S∗ increases) say nothing about such ratios. The obstacle is single crossing of a quantity defined only implicitly through the optimum, not differentiability. The boundary behaviour at N↓N‾N\downarrow\underline NN↓N​ and N→∞N\to\inftyN→∞ (Lemma 13) is also needed and is itself nontrivial at β=1\beta=1β=1, where N‾>0\underline N>0N​>0.

Formalization scope

Everything lives in the namespace LaborWelfare.PoolSize, with one definitions file Setting.

  • Parameters. vˉ>0\bar v>0vˉ>0 (vbar), Λ>0\Lambda>0Λ>0 (Lam), h≥0h\ge0h≥0, real β≥1\beta\ge1β≥1 (beta), and FFF a probability measure on R\mathbb RR carried by [a‾,aˉ][\underline a,\bar a][a​,aˉ] with 0<a‾≤aˉ0<\underline a\le\bar a0<a​≤aˉ. The density of FFF is not required: only E[1/a]=∫a−1dFE[1/a]=\int a^{-1}dFE[1/a]=∫a−1dF enters any result. (D/S)β(D/S)^\beta(D/S)β is a real power.
  • NNN is a real number; all results are about functions of NNN on (N‾,∞)(\underline N,\infty)(N​,∞) (on (0,∞)(0,\infty)(0,∞) for h=0h=0h=0, where N‾=0\underline N=0N​=0).
  • Equilibrium. D>0D>0D>0, S>0S>0S>0, (2), (3)–(4), and D<SD<SD<S for h>0h>0h>0, D≤SD\le SD≤S for h=0h=0h=0; the uniform cdf is clamped to [0,1][0,1][0,1].
  • The optimum is an outcome maximizing (p−w)D(p-w)D(p−w)D over every price p≥0p\ge0p≥0 and wage w≥0w\ge0w≥0 subject to the market equilibrium. Statements quantify over a selection N↦N\mapstoN↦ optimal outcome, which Lemma 1 (and the h=0h=0h=0 milestone) show exists and is unique on the regime, so the monotonicity claims concern the platform's actual optimum and cannot be met by a degenerate outcome or a vacuous hypothesis.
  • Labor welfare is the integral of the page, not its closed form; the closed form is milestone (10).
  • Strictness. "Increasing" and "decreasing" are strict (StrictMonoOn, StrictAntiOn), as the paper fixes on p. 11; the thresholds are three separate numbers.
  • Correction. For w>0w>0w>0 and p<vˉp<\bar vp<vˉ, Lemma 11's positive equilibrium exists exactly when β>1\beta>1β>1 or p+2h/(wNE[1/a])<vˉp+2h/(wNE[1/a])<\bar vp+2h/(wNE[1/a])<vˉ. At β=1\beta=1β=1, the delay stays bounded away from zero as utilization vanishes; the paper omits that condition.

A complete development needs real analysis on implicitly defined functions (implicit-function theorem in one variable, envelope arguments, monotone limits) and an argmax framework for the two-variable profit; these are reusable for other platform-pricing papers. Proofs of any milestone are welcome, as are alternative routes to the threshold statements.

Selected references

  • S. Benjaafar, J.-Y. Ding, G. Kong, T. Taylor, Labor Welfare in On-Demand Service Platforms, Manufacturing & Service Operations Management, 2022 (online 2021). SSRN manuscript with online appendix: https://ssrn.com/abstract=3103447; https://doi.org/10.1287/msom.2020.0964
  • J. Bai, K. C. So, C. S. Tang, X. Chen, H. Wang, Coordinating supply and demand on an on-demand service platform with impatient customers, Manufacturing & Service Operations Management 21(3), 2019. https://doi.org/10.1287/msom.2018.0707
  • T. A. Taylor, On-demand service platforms, Manufacturing & Service Operations Management 20(4), 2018. https://doi.org/10.1287/msom.2017.0678
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Linear algebraOperations Research·Captain: mikedeng1

Controlling Epidemic Spread: Reducing Economic Losses with Targeted Closures: The Effective Reproduction Rate Is Below One if and only if a Linear Matrix Inequality in the Activity Levels HoldsResearch Paper

Why targeted closures matter

A city can reduce contacts by limiting activity in selected neighborhoods. Such a policy affects more than the residents of the closed neighborhood: people travel across neighborhood boundaries, meet there, and carry infection back to their home neighborhoods. A citywide closure ignores these differences in movement and economic cost. Birge, Candogan, and Feng model these links and ask how to curb infection while preserving activity where it is most valuable. Their 2020 working paper gives separate optimization formulations for a large infection regime and a small infection regime; this mission concerns the latter. The paper later uses movement and economic data for New York City, while the theorem here is independent of those data. Birge, Candogan, and Feng, BFI Working Paper 2020-57.

The spatial epidemic model

There are nnn neighborhoods. Neighborhood iii has population Ni>0N_i>0Ni​>0, and its residents spend a fraction τij≥0\tau_{ij}\geq0τij​≥0 of their time in neighborhood jjj. The row sum ∑jτij\sum_j\tau_{ij}∑j​τij​ is at most one; remaining time is spent in isolation. An activity level xj∈[0,1]x_j\in[0,1]xj​∈[0,1] controls contact at destination jjj. This makes the number of infectious contacts depend on where residents of every neighborhood meet, not only where they live.

Each neighborhood has susceptible, exposed, clinically infected, subclinically infected, and recovered populations. The effective contact rate is β\betaβ, the progression rate from exposed to infected is κ\kappaκ, the clinical fraction is ρ\rhoρ, the relative infectiousness of subclinical cases is α\alphaα, the removal rate is γ\gammaγ, and the natural birth and death rate is μ\muμ. The model uses β,κ,γ,μ>0\beta,\kappa,\gamma,\mu>0β,κ,γ,μ>0 and 0≤ρ,α≤10\leq\rho,\alpha\leq10≤ρ,α≤1. At the disease-free equilibrium, the exposed and infected populations vanish and the susceptible population in neighborhood iii equals NiN_iNi​.

The paper separates the infected-coordinate dynamics into a vector F\mathcal FF of new infections and a vector V\mathcal VV of other transfers. In the coordinate order exposed, clinical, subclinical, their Jacobians at the disease-free equilibrium are F(x)F(x)F(x) and VVV, each a 3n×3n3n\times3n3n×3n real matrix. Define λ1(A)\lambda_1(A)λ1​(A) as the greatest modulus of a complex eigenvalue of AAA. The effective reproduction rate in condition (6) is Re=λ1(F(x)V−1)\mathcal R_e=\lambda_1(F(x)V^{-1})Re​=λ1​(F(x)V−1). This is a property of the full infected-coordinate system. Model and condition (6), pp. 7–13.

Formalization targets

The intermediate targets identify the displayed inverse of VVV, the smaller matrix sharing the nonzero eigenvalues of F(x)V−1F(x)V^{-1}F(x)V−1, and its diagonal similarity to a symmetric matrix. They connect condition (6) with a bound on the spectral radius of the reduced matrix. Each target is taken from the proof of Lemma 2.1 in the working paper.

The goal is the paper's Lemma 2.1. Let T=(τij)T=(\tau_{ij})T=(τij​), X=diag⁡(xi)X=\operatorname{diag}(x_i)X=diag(xi​), N^=diag⁡(Ni)\widehat N=\operatorname{diag}(N_i)N=diag(Ni​), and Λ=diag⁡((∑lNlτlk)−1)\Lambda=\operatorname{diag}((\sum_l N_l\tau_{lk})^{-1})Λ=diag((∑l​Nl​τlk​)−1). With A≺BA\prec BA≺B meaning that B−AB-AB−A is positive definite, the target is

Re<1⟺TXΛTT≺N^−1(μ+κ)(μ+γ)(ρ+α(1−ρ))βκ.\mathcal R_e<1\quad\Longleftrightarrow\quad TX\Lambda T^{\mathsf T}\prec \widehat N^{-1}\frac{(\mu+\kappa)(\mu+\gamma)}{(\rho+\alpha(1-\rho))\beta\kappa}.Re​<1⟺TXΛTT≺N−1(ρ+α(1−ρ))βκ(μ+κ)(μ+γ)​.

The strict inequality is the stability condition stated in the paper. The semidefinite program labelled (P2) uses a non-strict inequality to close its feasible region; that optimization problem is outside this mission. Lemma 2.1 and (P2), pp. 13–14.

What the result provides

The left side of Lemma 2.1 is a spectral test on a 3n×3n3n\times3n3n×3n next generation matrix. The right side is a linear matrix inequality in the activity variables because XXX is diagonal and depends linearly on xxx. It therefore supplies the mathematical constraint used by the paper's small infection optimization problem. The theorem states equivalence for the paper's spatial epidemic model; it does not assert that the optimization problem has a solution or that a chosen activity vector minimizes economic loss. Birge, Candogan, and Feng, pp. 13–14.

The working paper proves the lemma in ordinary mathematics. The formalization task is to give its matrices and hypotheses precise Lean definitions, then prove the spectral and positive definiteness statements. The definition of the reproduction rate and the intermediate matrix identities can also support later formal statements about related compartmental models. No machine-checked proof of these draft items is claimed here.

Where the difficulty lies

The matrix F(x)V−1F(x)V^{-1}F(x)V−1 is generally nonsymmetric and has three blocks of infected coordinates. A direct comparison between its entries and a symmetric positive definite matrix does not express the theorem. The paper first relates its nonzero eigenvalues to those of an n×nn\times nn×n matrix, then uses a diagonal similarity to obtain a symmetric matrix. The final equivalence relies on the activity and mobility bounds that make this symmetric matrix positive semidefinite. A matrix statement that starts directly from the reduced symmetric form would omit the spectral reduction at the heart of the lemma.

Formalization scope

Lean uses Fin n for neighborhoods and Fin 3 × Fin n for infected coordinates, in exposed, clinical, subclinical order. All model matrices are real; λ1\lambda_1λ1​ takes the spectral radius after mapping a matrix to complex entries, so complex eigenvalues are included. The inverse in Re\mathcal R_eRe​ is Mathlib's matrix inverse, and A≺BA\prec BA≺B is represented by positive definiteness of B−AB-AB−A. The only numerical instance in the sanity file has one neighborhood, but the theorem quantifies over arbitrary finite nnn.

The standing assumptions include positive populations and rates, nonnegative travel fractions with row sums at most one, clinical and subclinical fractions in [0,1][0,1][0,1], and activity levels in [0,1][0,1][0,1]. The formalization also requires ρ+α(1−ρ)>0\rho+\alpha(1-\rho)>0ρ+α(1−ρ)>0: the paper divides by this quantity without stating the exclusion of ρ=α=0\rho=\alpha=0ρ=α=0. If no one visits destination kkk, its mixing denominator is zero. Under the standing assumptions that entire column of TTT vanishes, so Lean's value 1/0=01/0=01/0=0 has no effect on the theorem. These conventions are part of the model, not optional proof shortcuts.

The proposal includes the full F(x)F(x)F(x) and VVV, their displayed inverse, the paper's reduced matrix, the diagonal similarity, and the Loewner form. Contributions may develop spectral identities for block matrices, diagonal similarity, and positive definite matrix bounds. The large infection linear program, the stability theorem cited from earlier epidemic literature, and the New York City numerical application are beyond this target.

Selected references

  • John R. Birge, Ozan Candogan, and Yiding Feng, Controlling Epidemic Spread: Reducing Economic Losses with Targeted Closures, Becker Friedman Institute Working Paper No. 2020-57, May 18, 2020 (preliminary), especially §2.1, §2.3, and Lemma 2.1. Working paper PDF.
  • John R. Birge, Ozan Candogan, and Yiding Feng, Controlling Epidemic Spread: Reducing Economic Losses with Targeted Closures, Management Science 68(5), 2022, pp. 3175–3195. DOI. This mission's statements and page numbers follow the 2020 working paper.
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Algorithmic Game TheoryEconomicsOperations Research·Captain: mikedeng1

Revenue-Sharing Allocation Strategies for Two-Sided Media Platforms: Pro-Rata vs. User-Centric: The Ratios π2j/π1j for Which Each Rule Sustains All Artists Form Two Explicit IntervalsResearch Paper

Motivation

Music and podcast streaming services such as Spotify, Apple Music and Deezer charge every subscriber the same monthly fee and pass a share of the collected revenue to the artists. How that share is split is contested. The industry default, pro-rata, pools all fees and pays each artist her share of total streams. The alternative, user-centric, splits each subscriber's fee according to that subscriber's own listening. The two rules pay identical amounts when all users stream the same volume, and differ whenever heavy users and light users listen to different artists; which artists gain and which lose under each rule is the subject of an active industry debate.

Alaei, Makhdoumi, Malekian and Pekeč (SSRN 3645521; published in Management Science 68(12), 2022, doi:10.1287/mnsc.2022.4307) model the question as a two-sided market in which every artist has an outside option: she can leave the platform and sell her content directly. A rule is only viable if it pays each artist at least what she would earn alone. The paper's first main result, Theorem 1, says exactly when each rule can keep every artist on the platform. This mission formalizes that theorem and the chain of results its proof rests on, citing the authors' submitted manuscript (SSRN 3645521) for all page and result numbers.

Setting

There is a finite set M\mathcal MM of artists and two user types i∈{1,2}i\in\{1,2\}i∈{1,2}. Type iii users consume content at usage rate λi\lambda_iλi​ and form a population of mass qiq_iqi​; a type iii user wants artist jjj with probability πij\pi_{ij}πij​ per use. Throughout,

λ2>λ1>0,q1,q2∈(0,1), q1+q2=1,πij≥0, ∑jπij=1.\lambda_2>\lambda_1>0,\qquad q_1,q_2\in(0,1),\ q_1+q_2=1,\qquad \pi_{ij}\ge0,\ \sum_{j}\pi_{ij}=1 .λ2​>λ1​>0,q1​,q2​∈(0,1), q1​+q2​=1,πij​≥0, j∑​πij​=1.

Type 2 users are the heavy users.

Going solo. If artist jjj sells directly at price rrr, a type iii user buys when her value λiπij\lambda_i\pi_{ij}λi​πij​ is at least rrr, so the demand d(j,r)d(j,r)d(j,r) is 000, q1q_1q1​, q2q_2q2​ or 111 according to which of λ1π1j≥r\lambda_1\pi_{1j}\ge rλ1​π1j​≥r and λ2π2j≥r\lambda_2\pi_{2j}\ge rλ2​π2j​≥r hold. The solo revenue is

Rj=max⁡rr d(j,r).R_j=\max_{r} r\,d(j,r).Rj​=rmax​rd(j,r).

The platform. With all artists on the platform and both types subscribing, the fee is Fee=min⁡iλi∑jπij\mathrm{Fee}=\min_i\lambda_i\sum_j\pi_{ij}Fee=mini​λi​∑j​πij​ and the revenue is Rev=Fee (q1+q2)\mathrm{Rev}=\mathrm{Fee}\,(q_1+q_2)Rev=Fee(q1​+q2​). A payout rate β∈[0,1]\beta\in[0,1]β∈[0,1] is the fraction of revenue paid to artists. The pro-rata payment (Definition 1) and the user-centric payment (Definition 2) to artist jjj are

pjpr(β)=β Rev ∑iqiλiπij∑iqiλi∑kπik,pjuc(β)=β∑iqi Fee λiπij∑kλiπik.p^{\mathrm{pr}}_j(\beta)=\beta\,\mathrm{Rev}\,\frac{\sum_i q_i\lambda_i\pi_{ij}}{\sum_i q_i\lambda_i\sum_k\pi_{ik}},\qquad p^{\mathrm{uc}}_j(\beta)=\beta\sum_i q_i\,\mathrm{Fee}\,\frac{\lambda_i\pi_{ij}}{\sum_k\lambda_i\pi_{ik}} .pjpr​(β)=βRev∑i​qi​λi​∑k​πik​∑i​qi​λi​πij​​,pjuc​(β)=βi∑​qi​Fee∑k​λi​πik​λi​πij​​.

The platform is sustainable with a rule if some β∈[0,1]\beta\in[0,1]β∈[0,1] makes every artist's payment at least RjR_jRj​.

Assumption 1 is λ1≥λ2q2\lambda_1\ge\lambda_2q_2λ1​≥λ2​q2​: it rules out the case where the platform would rather serve heavy users alone, in which the two rules coincide. Artists are sorted by the ratio π2j/π1j\pi_{2j}/\pi_{1j}π2j​/π1j​ into four regions

W=[0,q1λ1λ2),Z=[q1λ1λ2,λ1λ2),Y=[λ1λ2,λ1λ2q2),X=[λ1λ2q2,∞).W=[0,\tfrac{q_1\lambda_1}{\lambda_2}),\quad Z=[\tfrac{q_1\lambda_1}{\lambda_2},\tfrac{\lambda_1}{\lambda_2}),\quad Y=[\tfrac{\lambda_1}{\lambda_2},\tfrac{\lambda_1}{\lambda_2q_2}),\quad X=[\tfrac{\lambda_1}{\lambda_2q_2},\infty).W=[0,λ2​q1​λ1​​),Z=[λ2​q1​λ1​​,λ2​λ1​​),Y=[λ2​λ1​​,λ2​q2​λ1​​),X=[λ2​q2​λ1​​,∞).

Formalization targets

Goal: Theorem 1 (p. 17)

Under Assumption 1 (and π1j>0\pi_{1j}>0π1j​>0 for all jjj), the platform is sustainable with pro-rata if and only if, for all jjj,

π2jπ1j∈[q1(λ2−λ1)λ2,q1λ12λ22q2+λ1λ2(q1−q2)]∪[1,q1λ12λ2q22(λ2−λ1)],\frac{\pi_{2j}}{\pi_{1j}}\in\Bigl[\tfrac{q_1(\lambda_2-\lambda_1)}{\lambda_2},\tfrac{q_1\lambda_1^2}{\lambda_2^2q_2+\lambda_1\lambda_2(q_1-q_2)}\Bigr]\cup\Bigl[1,\tfrac{q_1\lambda_1^2}{\lambda_2q_2^2(\lambda_2-\lambda_1)}\Bigr],π1j​π2j​​∈[λ2​q1​(λ2​−λ1​)​,λ22​q2​+λ1​λ2​(q1​−q2​)q1​λ12​​]∪[1,λ2​q22​(λ2​−λ1​)q1​λ12​​],

and sustainable with user-centric if and only if, for all jjj,

π2jπ1j∈[0,q1λ1λ2−q2λ1]∪[1,q1λ1q2(λ2−λ1)].\frac{\pi_{2j}}{\pi_{1j}}\in\Bigl[0,\tfrac{q_1\lambda_1}{\lambda_2-q_2\lambda_1}\Bigr]\cup\Bigl[1,\tfrac{q_1\lambda_1}{q_2(\lambda_2-\lambda_1)}\Bigr].π1j​π2j​​∈[0,λ2​−q2​λ1​q1​λ1​​]∪[1,q2​(λ2​−λ1​)q1​λ1​​].

Milestones

  1. Lemma 1 (p. 14): RjR_jRj​ equals q1λ1π1jq_1\lambda_1\pi_{1j}q1​λ1​π1j​, λ2π2j\lambda_2\pi_{2j}λ2​π2j​, λ1π1j\lambda_1\pi_{1j}λ1​π1j​, q2λ2π2jq_2\lambda_2\pi_{2j}q2​λ2​π2j​ on W,Z,Y,XW,Z,Y,XW,Z,Y,X, attained at the stated fee with the stated subscribers.
  2. Eq. (10) (p. 16): every artist is paid at least RjR_jRj​ under pro-rata with payout β\betaβ iff β≥βpr=q1λ1+q2λ2λ1max⁡jRjq1λ1π1j+q2λ2π2j\beta\ge\beta^{\mathrm{pr}}=\frac{q_1\lambda_1+q_2\lambda_2}{\lambda_1}\max_j\frac{R_j}{q_1\lambda_1\pi_{1j}+q_2\lambda_2\pi_{2j}}β≥βpr=λ1​q1​λ1​+q2​λ2​​maxj​q1​λ1​π1j​+q2​λ2​π2j​Rj​​.
  3. Lemma 6 (p. 45): pro-rata sustainability is equivalent to four region-wise bounds on π2j/π1j\pi_{2j}/\pi_{1j}π2j​/π1j​.
  4. Eq. (11) (p. 16): the same for user-centric with βuc=1λ1max⁡jRjq1π1j+q2π2j\beta^{\mathrm{uc}}=\frac1{\lambda_1}\max_j\frac{R_j}{q_1\pi_{1j}+q_2\pi_{2j}}βuc=λ1​1​maxj​q1​π1j​+q2​π2j​Rj​​.
  5. Lemma 7 (p. 45): user-centric sustainability is equivalent to three region-wise bounds.

Significance

Theorem 1 separates the two rules by the kind of artist they can retain. Both rules lose artists whose audience is concentrated among heavy users, since such an artist captures those users' full fee by going solo; pro-rata tolerates a larger ratio π2j/π1j\pi_{2j}/\pi_{1j}π2j​/π1j​ before losing her. User-centric, in turn, can retain artists listened to mainly by light users, which pro-rata pays too little. The later results of the paper (which rule artists and the platform prefer, Propositions 2–3, and the optimal artist sets of §3.4) all start from this characterization.

The result is proved in the paper. No part of it, nor the underlying model of subscription fees, outside options and payout rates, has a machine-checked proof. The platform already has an axiomatic treatment of pro-rata and user-centric indices on stream-count tables; this mission adds the economic model with prices, outside options and payout rates, and its sustainability theorem. A complete development gives a checked version of the paper's case analysis, including its boundary cases.

Difficulty

Each step is elementary, and the difficulty lies in the bookkeeping. The solo revenue is a supremum of a step function times the price, and identifying its value requires comparing three candidates on four regions with half-open boundaries. The payments must be simplified from their general form (with sums and a minimum fee) to the closed forms of (10)–(11), which uses the standing assumptions and Assumption 1. Finally, combining four region-wise conditions into two intervals does not go region by region: when λ2>2λ1\lambda_2>2\lambda_1λ2​>2λ1​ the first pro-rata interval is empty and no artist in WWW or ZZZ can be sustained, and the upper intervals agree with the region boundary λ1/(λ2q2)\lambda_1/(\lambda_2q_2)λ1​/(λ2​q2​) only because of Assumption 1. A transcription that treats the printed intervals as non-empty, or drops Assumption 1, gives a false statement.

Formalization scope

Everything sits in the namespace ProRataUC.Sustain, in one definitions file and six theorem files. The setting is a structure Setting M over a type M of artists with [Fintype M], with real fields lam1 lam2 q1 q2 and listening probabilities pi1 pi2 : M → ℝ; the standing assumptions are one predicate Setting.Standing, and Assumption 1 is a separate predicate. Conventions:

  • The solo revenue is the real supremum of r d(j,r)r\,d(j,r)rd(j,r) over all real rrr, with ddd the printed four-case demand; the family is bounded above, so the supremum is genuine.
  • The fee and revenue are those with all artists on the platform and both types subscribing, with the sums ∑jπij\sum_j\pi_{ij}∑j​πij​ as printed, not hard-coded to λ1\lambda_1λ1​.
  • Sustainability is the existence of a payout rate β∈[0,1]\beta\in[0,1]β∈[0,1] under which every artist's payment is at least RjR_jRj​, not the inequality βpr≤1\beta^{\mathrm{pr}}\le1βpr≤1 and not the interval condition; equations (10)–(11) are the bridge.
  • βpr\beta^{\mathrm{pr}}βpr and βuc\beta^{\mathrm{uc}}βuc use a maximum over a nonempty finite set, so (10)–(11) assume at least one artist.
  • The intervals are closed in Theorem 1 and half-open in Lemma 1 and the regions, as printed.

Added hypotheses, each disclosed in the statement: π1j>0\pi_{1j}>0π1j​>0 (the paper's ratio presupposes it; Lean's division by zero would put an artist heard only by heavy users in the region [0,⋅)[0,\cdot)[0,⋅) and make part (b) false); Assumption 1 in equations (10)–(11) and Lemmas 6–7, whose proofs use it although the lemmas say "for a given λ\lambdaλ and qqq".

Formalizations that would trivialize the goal are ruled out: sustainability is not defined as the printed intervals or as βpr≤1\beta^{\mathrm{pr}}\le1βpr≤1, RjR_jRj​ is not defined by Lemma 1's case formula, π1j>0\pi_{1j}>0π1j​>0 is explicit, and Assumption 1 is kept.

Contributions welcome: proofs of the milestones in order, reusable lemmas on suprema of step functions times price (the two-type monopoly pricing problem) and on Finset.sup' of ratios, and the interval bookkeeping of Theorem 1.

Selected references

  • S. Alaei, A. Makhdoumi, A. Malekian, S. Pekeč, Revenue-sharing allocation strategies for two-sided media platforms: Pro-rata vs. user-centric, submitted manuscript, SSRN 3645521 (2020); published in Management Science 68(12):8699–8721, 2022. https://ssrn.com/abstract=3645521 , https://doi.org/10.1287/mnsc.2022.4307
  • G. Bergantiños, J. D. Moreno-Ternero, Revenue sharing at music streaming platforms, Management Science, 2025 (axiomatic comparison of pro-rata and user-centric); arXiv:2310.11861. https://arxiv.org/abs/2310.11861
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Quantum Information·Captain: Goku

Energy-constrained private and quantum capacities of quantum channelsResearch Paper

Motivation

This paper establishes a general theory of energy-constrained quantum and private capacities of quantum channels. We begin by defining various energy-constrained communication tasks, including quantum communication with a uniform energy constraint, entanglement transmission with an average energy constraint, private communication with a uniform energy constraint, and secret key transmission with an average energy constraint. We develop several code conversions, which allow us to conclude non-trivial relations between the capacities corresponding to the above tasks. We then show how the regularized, energy-constrained coherent information is equal to the capacity for the first two tasks and is an achievable rate for the latter two tasks, whenever the energy observable satisfies the Gibbs condition of having a well defined thermal state for all temperatures and the channel satisfies a finite output-entropy condition. For degradable channels satisfying these conditions, we find that the single-letter energy-constrained coherent information is equal to all of the capacities. We finally apply our results to degradable quantum Gaussian channels and recover several results already established in the literature (in some cases, we prove new results in this domain). Contrary to what may appear from some statements made in the literature recently, proofs of these results do not require the solution of any kind of minimum output entropy conjecture or entropy photon-number inequality.

This mission is the statement-level formalization of Energy-constrained private and quantum capacities of quantum channels (arXiv:1609.01997v2). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

3 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is High-energy limit of the pure-loss expression (Unnumbered Eq.332: high-energy limit for degradable pure loss, PDF p. 24). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

22 results of the paper are not stated yet, because the library lacks an interface they need:

  • Theorem 5 (Eq.257): regularized energy-constrained quantum capacity; seed headline: Four operational capacities and regularized energy-constrained coherent information. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Proposition 1: concavity of coherent information of a degradable channel: Mixtures, extended entropy and coherent information for degradable separable-space channels. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Proposition 2: average entanglement code to uniform quantum code: Average entanglement and uniform quantum codes on general separable channel systems. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Proposition 3: uniform quantum code to uniform private code: Uniform quantum and private codes on separable channel systems. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Proposition 4: average secret-key code to uniform private code: Average secret-key and uniform private codes on separable channel systems. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Theorem 1 (Eq.145): relations between all four operational capacities: All four operational energy-constrained capacities. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Lemma 1 (Eq.158): finite complementary-output entropy: Gibbs input entropy and uniform complementary-output entropy bound. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Theorem 2: achievable regularized coherent information: Operational entanglement capacity and regularized coherent information. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Theorem 3 (Eq.204): single-letter capacities of degradable channels: Four operational capacities and degradable single-letter energy-constrained coherent information. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Theorem 4 (Eq.251): private-capacity regularized converse: Generalized Borel ensembles, their barycenters, and regularized private information together with operational private/key capacities. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Theorem 6 (Eq.292): thermal optimizer at fixed energy: Common spectral Gibbs observable on identified spaces and a thermal coherent-information optimizer. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Remark 2: output thermal energy dominates environment thermal energy: Theorem 6 common-G thermal hypotheses and output energy values. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Theorem 7 (Eq.324): capacities of qualifying degradable Gaussian channels: Operational capacities of genuine phase-insensitive Gaussian CPTP channels and their actual vacuum-dilation complements. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Unnumbered main result (Eq.3, with Eq.331): private capacity of pure loss: Single-mode pure-loss CPTP channel and operational private capacity under photon-number energy. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Unnumbered Eq.331: all four capacities in the degradable pure-loss regime: All four photon-constrained pure-loss capacities. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Unnumbered Eq.333: all four quantum-limited amplifier capacities: Quantum-limited amplifier dilation and four photon-constrained operational capacities. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Unnumbered Eqs.335–336: claimed common-temperature multimode pure-loss formula: A consistent energy constraint and a justified common-temperature maximizing allocation at arbitrary positive mode frequencies. (source-ambiguity)
  • Unnumbered Eq.337: claimed common-temperature multimode amplifier formula: A consistent energy constraint and a justified common-temperature maximizing allocation at arbitrary positive mode frequencies. (source-ambiguity)
  • Unnumbered Eqs.338–339: parallel loss/amplifier channels with fixed mode allocation: Parallel mixed Gaussian CPTP channel and operational capacity with a fixed vector of mode budgets. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Unnumbered Eqs.340–341: optimize the total-energy allocation: Operational total-energy capacity of a heterogeneous parallel loss/amplifier channel, optimized over attained allocations. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Unnumbered §XI main bounds: pure loss with squared photon-number constraint: Pure-loss operational quantum/private capacities under squared photon number. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)
  • Unnumbered §XI main bounds: amplifier with squared photon-number constraint: Amplifier operational quantum/private capacities under squared photon number. Paper-local trace-class states and CPTP maps on arbitrary complex separable Hilbert spaces, completed tensor products, partial traces, and fixed-dilation complementary channels. (hard)

Selected references

  • Energy-constrained private and quantum capacities of quantum channels, arXiv:1609.01997v2, https://arxiv.org/abs/1609.01997v2
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Quantum Information·Captain: marwahaha

OpenAI Ten Proofs 06: Quantum parallel repetitionResearch Paper

Quantum parallel repetition, from the OpenAI Ten Proofs formalization. The source already contains machine-checked proofs; this mission organizes its headline result and additional Comparator targets for reuse.

There exists a real constant c>0c>0c>0, independent of all sets and game data, with the following property. A game GGG on finite question sets X,YX,YX,Y and finite answer sets A,BA,BA,B consists of weights μ(x,y)≥0\mu(x,y)\ge 0μ(x,y)≥0 summing to 111 and a Boolean acceptance predicate V(x,y,a,b)V(x,y,a,b)V(x,y,a,b). Write ω∗(G)\omega^*(G)ω∗(G) for the supremum of ∑x,y,a,bμ(x,y)1V(x,y,a,b)=trueRe⁡tr⁡(ρ(Max⊗Nby))\sum_{x,y,a,b}\mu(x,y)\mathbf{1}_{V(x,y,a,b)=\mathrm{true}}\operatorname{Re}\operatorname{tr}(\rho(M_a^x\otimes N_b^y))∑x,y,a,b​μ(x,y)1V(x,y,a,b)=true​Retr(ρ(Max​⊗Nby​)) over all finite-dimensional bipartite complex matrix systems, positive semidefinite states ρ\rhoρ of trace 111, and positive semidefinite local measurement effects satisfying ∑aMax=I\sum_a M_a^x=I∑a​Max​=I and ∑bNby=I\sum_b N_b^y=I∑b​Nby​=I for each question. For n∈Nn\in\mathbb Nn∈N, G⊗nG^{\otimes n}G⊗n has question and answer tuples of length nnn, question weight ∏i<nμ(xi,yi)\prod_{i<n}\mu(x_i,y_i)∏i<n​μ(xi​,yi​), and accepts exactly when every coordinate accepts; ω∗(G⊗n)\omega^*(G^{\otimes n})ω∗(G⊗n) takes a fresh supremum over arbitrary strategies for this tuple game. For every such GGG with AAA and BBB nonempty and δ=1−ω∗(G)>0\delta=1-\omega^*(G)>0δ=1−ω∗(G)>0, and every natural number n>0n>0n>0, ω∗(G⊗n)≤exp⁡ ⁣(−c δ13δ+log⁡(∣A∣∣B∣) n)\omega^*(G^{\otimes n})\le \exp\!\left(-c\,\frac{\delta^{13}}{\delta+\log(|A||B|)}\,n\right)ω∗(G⊗n)≤exp(−cδ+log(∣A∣∣B∣)δ13​n). The weights may be any joint distribution, including distributions with zero weights; their normalization excludes empty question sets. The answer nonemptiness and positive gap make the displayed denominator positive. This bound does not assert an inequality at n=0n=0n=0.

Additional targets:

  • Game-dependent exponential decay below value one.

The formalization uses Lean 4.33.1 with Mathlib revision 0df444a360eaa60ab8c11dca51a86af692955474. Its goal and milestone statements retain the validated source statements and their conventions.

Sources: Lean formalization, G_QuantumParallelRepetition.json.

Planned collection: OAI Ten Proofs (oai-ten-proofs).

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Quantum Information·Captain: Goku

The Geometry of Dissipative Complexity: A Levi-Type Decomposition Theorem for Markovian Quantum Dynamics via Lie Wedges and Invariant ConesResearch Paper

Motivation

Lie algebras describe how control Hamiltonians combine in closed quantum systems. In open Markovian systems, however, dissipation introduces irreversible directions that the Lie algebra alone does not retain. A dynamical Lie wedge preserves this information as a convex cone of locally admissible generators. The classical Levi decomposition separates a finite-dimensional Lie algebra into semisimple and solvable parts. In this work, we prove a corresponding decomposition and reconstruction theorem for dynamical Lie wedges. The theorem decomposes the wedge into semisimple and solvable data, records how these components are coupled, and provides a converse reconstruction of the wedge. The framework yields four structural types of the generated algebra. We further prove that the total dissipation strength of every admissible generator depends only on its coordinate in the solvable radical. In particular, if the generated Lie algebra is semisimple, every admissible generator is Hamiltonian. Together, these results extend Lie-algebraic structural methods to irreversible Markovian control and clarify how dissipation is encoded in the generator geometry.

This mission is the statement-level formalization of The Geometry of Dissipative Complexity: A Levi-Type Decomposition Theorem for Markovian Quantum Dynamics via Lie Wedges and Invariant Cones (arXiv:2608.27330v1). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

36 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Theorem 4.9: Levi-Type Decomposition Theorem (seed abstract result) (Theorem 4.9: Levi-Type Decomposition Theorem (seed abstract result), PDF p. 26). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

12 results of the paper are not stated yet, because the library lacks an interface they need:

  • Theorem 2.1: Lie’s theorem: Complete standalone background interface: Theorem 2.1: Lie’s theorem (hard)
  • Theorem 2.2: Levi decomposition and Malcev conjugacy: Complete standalone background interface: Theorem 2.2: Levi decomposition and Malcev conjugacy (hard)
  • Theorem 2.5: affine isomorphism of the LK algebra: Complete standalone background interface: Theorem 2.5: affine isomorphism of the LK algebra (hard)
  • Proposition 2.10: subtangency characterization: Complete standalone background interface: Proposition 2.10: subtangency characterization (hard)
  • Theorem 2.11: GKLS generator characterization: Complete standalone background interface: Theorem 2.11: GKLS generator characterization (hard)
  • Theorem 2.12: restricted Lie-semialgebra claim: Complete standalone background interface: Theorem 2.12: restricted Lie-semialgebra claim (source-ambiguity)
  • Lemma 2.13: Hamiltonian edge of the GKLS cone: Complete standalone background interface: Lemma 2.13: Hamiltonian edge of the GKLS cone (hard)
  • Theorem 2.14: GKLS cone is a Lie wedge: Complete standalone background interface: Theorem 2.14: GKLS cone is a Lie wedge (hard)
  • Example A.1: Euclidean algebra structure: Complete standalone background interface: Example A.1: Euclidean algebra structure (hard)
  • Example A.2: Poincaré semidirect structure: Complete standalone background interface: Example A.2: Poincaré semidirect structure (hard)
  • Example B.1: oscillator convex type and hyperbolic subalgebra: Complete standalone background interface: Example B.1: oscillator convex type and hyperbolic subalgebra (hard)
  • Theorem B.2: Neeb classification summary: Complete standalone background interface: Theorem B.2: Neeb classification summary (source-ambiguity)

Selected references

  • The Geometry of Dissipative Complexity: A Levi-Type Decomposition Theorem for Markovian Quantum Dynamics via Lie Wedges and Invariant Cones, arXiv:2608.27330v1, https://arxiv.org/abs/2608.27330v1
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Quantum Information·Captain: Goku

Computation-aided classical-quantum multiple access to boost network communication speedsResearch Paper

Motivation

A multiple access channel (MAC) consists of multiple senders simultaneously transmitting their messages to a single receiver. For the classical-quantum case (cq-MAC), achievable rates are known assuming that all the messages are decoded, a common assumption in quantum network design. However, such a conventional design approach ignores the global network structure, i.e., the network topology. When a cq-MAC is given as a part of quantum network communication, this work shows that computation properties can be used to boost communication speeds with code design dependently on the network topology. We quantify achievable quantum communication rates of codes with computation property for a two-sender cq-MAC. When the two-sender cq-MAC is a boson coherent channel with binary discrete modulation, we show that it achieves the maximum possible communication rate (the single-user capacity), which cannot be achieved with conventional design. Further, such a rate can be achieved by different detection methods: quantum (with and without quantum memory), on-off photon counting and homodyne (each at different photon power). Finally, we describe two practical applications, one of which cryptographic.

This mission is the statement-level formalization of Computation-aided classical-quantum multiple access to boost network communication speeds (arXiv:2105.14505v1). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

4 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Compute-and-forward message exchange (§II.C.1, PDF p. 5). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

12 results of the paper are not stated yet, because the library lacks an interface they need:

  • Theorem 1: operational computation-capacity lower and upper bounds: Operational computation capacity and infinite-dimensional Holevo information (hard)
  • Single-use measured rate and commuting equality criterion: Infinite-register measurable-outcome POVMs and accessible information (hard)
  • Two-server SPIR at the computation rate: Full-view cq SPIR protocol and operational computation-code interface (hard)
  • Analytical BPSK computation bounds (7)–(8), (19): Normalized coherent lp states and genuine three-dimensional signal-support entropy interface (hard)
  • Normalized orthogonal cat vectors and coherent signal spans (10)–(15): Explicit coherent, even, odd and vacuum-removed even lp vectors and finite-span equivalences (hard)
  • Conditional and joint BPSK information (12)–(18), (23)–(24): Physical BPSK finite-span identification, conditional/joint Holevo functionals and symmetric SD optimization (hard)
  • On/off detection achieves the explicit computation rate: Physical vacuum/nonvacuum measurement on normalized coherent lp states (hard)
  • High-power computation versus simultaneous-decoding rate limits: Operational BPSK COMP/SD functions and their physical finite-span rate interfaces (hard)
  • Rounded photon thresholds and near-saturation observations: Certified meaning of approximate photon thresholds and finite-power saturation (source-ambiguity)
  • Printed integral evaluation (26)–(27): Log-base-consistent constant in printed (26)–(27) (source-ambiguity)
  • Theorem 2: single-sender affine-code capacity: Operational affine cq-code capacity on unrestricted output registers (hard)
  • Lemma 1: random affine-code average error exponent: Random injective affine-code ensemble and infinite-register threshold square-root decoder (hard)

Selected references

  • Computation-aided classical-quantum multiple access to boost network communication speeds, arXiv:2105.14505v1, https://arxiv.org/abs/2105.14505v1
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Quantum Information·Captain: Goku

Repeatable quantum memory channelsResearch Paper

Motivation

Within the framework of quantum memory channels we introduce the notion of repeatability of quantum channels. In particular, a quantum channel is called repeatable if there exist a memory device implementing the same channel on each individual input. We show that random unitary channels can be implemented in a repeatable fashion, whereas the nonunital channels cannot.

This mission is the statement-level formalization of Repeatable quantum memory channels (arXiv:0808.3851v1). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

11 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Random-unitary channels have finite repeatable implementations (Theorem 1, PDF p. 3). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Selected references

  • Repeatable quantum memory channels, arXiv:0808.3851v1, https://arxiv.org/abs/0808.3851v1
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Quantum Information·Captain: Goku

Parallel quantum channel discrimination and numerical ranges in tensor product subspacesResearch Paper

Motivation

Quantum channel discrimination plays a crucial role in quantum information theory. Of particular interest is the case in which the channels can be discriminated perfectly. In this work, we focus on the perfect quantum channel discrimination task in a parallel scheme. We develop an SDP formulation combined with a bisection procedure to compute a quantum state for perfect discrimination in time linear in the number of copies. In addition, we obtain the minimal number of copies of quantum channels to achieve perfect discrimination. Thanks to that, we settle in the affirmative Conjecture 1 of Duan, Guo, Li and Li [arXiv:1605.02294, IEEE ISIT 2016], which characterizes the number of parallel uses needed to discriminate perfectly a distinguished family of operator subspaces. All our results are obtained using the notion and basic properties of the numerical range. In particular, the key fact that we prove and use is that the minimal angle of the numerical range of a tensor product of matrix subspaces equals the sum of the minimal angles of the numerical ranges of the individual subspaces. △ Less

This mission is the statement-level formalization of Parallel quantum channel discrimination and numerical ranges in tensor product subspaces (arXiv:2609.20781v1). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

16 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Perfect parallel discrimination and the minimum number of copies (Theorem 7, PDF p. 5). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

1 results of the paper are not stated yet, because the library lacks an interface they need:

  • Abstract: time linear in the number of copies: A computation model and compact state-output representation, including input-size, precision and exact-zero-testing costs, for the claimed O(N) runtime. (source-ambiguity)

Selected references

  • Parallel quantum channel discrimination and numerical ranges in tensor product subspaces, arXiv:2609.20781v1, https://arxiv.org/abs/2609.20781v1
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Quantum Information·Captain: Goku

Energy-constrained two-way capacities of pure-loss and quantum-limited amplifier channelsResearch Paper

Motivation

We determine the two-way quantum, entanglement-distribution, private, and secret-key capacities of the pure-loss bosonic channel under an unconditional mean transmitted-photon-number constraint. For transmissivity ηηη and mean photon number NNN, all four capacities coincide and are given by g(N)−g((1−η)N)g(N)-g((1-η)N)g(N)−g((1−η)N), where ggg is the entropy of a thermal mode. This resolves the longstanding energy-constrained capacity problem by establishing the optimality of the reverse-coherent-information rate introduced in 2009. Our central tool is sector teleportation simulation, which we develop specifically to transfer the input-energy constraint to the shared entanglement resource, thereby preserving the constraint throughout converse arguments for general adaptive protocols. For every N>0N>0N>0, we further show that the corresponding strong-converse thresholds coincide with the unconstrained value −log⁡2(1−η)-\log_2(1-η)−log2​(1−η). For parallel protocols with a hard total-photon-number cutoff, the same energy-constrained capacity formula instead satisfies an exponential strong converse. As an extension, we determine the energy-constrained two-way capacities of the quantum-limited amplifier, showing that classical assistance does not improve its unassisted quantum and private rates. Together, these results establish a unified finite-energy framework for adaptive bosonic communication and reveal how energy constraints fundamentally reshape both attainable rates and converse bounds. △ Less

This mission is the statement-level formalization of Energy-constrained two-way capacities of pure-loss and quantum-limited amplifier channels (arXiv:2610.06832v1). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

5 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Lemma 1 (Scalar entropy estimates) (Lemma 1 (Scalar entropy estimates), PDF p. 9). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

21 results of the paper are not stated yet, because the library lacks an interface they need:

  • Theorem 1 (Finite-energy capacities); original paper seed: Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Theorem 2 (Mean-energy strong-converse thresholds): Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Theorem 3 (Parallel photon-cutoff strong converse): Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Corollary 4 (Regularized entanglement of a finite-energy output): Trace-class bosonic loss output and extended REE on arbitrary separable bipartite Hilbert spaces (hard)
  • Unnumbered operational task equivalences, Eq.(3): Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Unnumbered stronger per-use unconditional mean constraint: Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Lemma 3 (Sector telesimulation): Exact sector simulator as a finite-outcome LOCC map on arbitrary separable reference/memory spaces (hard)
  • Lemma 6 (Block entanglement gain): Trace-class bosonic loss output and extended REE on arbitrary separable bipartite Hilbert spaces (hard)
  • Unnumbered consequence: regularized one-use gain, Eq.(B53): Trace-class bosonic loss output and extended REE on arbitrary separable bipartite Hilbert spaces (hard)
  • Lemma 7 (Finite-replica adaptive bound): Actual retained output and unconditional optical marginals of a fixed adaptive bosonic protocol (hard)
  • Unnumbered adaptive regularized REE bound, Eqs.(9),(B58)–(B59): Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Lemma 9 (Quantum finite-error bound): Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Lemma 10 (Sector hashing achieves the capacity rate): Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Lemma 11 (Privacy-test bound for regularized REE): Density operators, twisting unitaries and privacy tests on arbitrary separable infinite-dimensional shield spaces (hard)
  • Lemma 12 (Energy-preserving key-to-private-state reduction): Countable normal-instrument local dilation retaining shields and public transcript (hard)
  • Lemma 13 (Private-state and operational-key bounds): Operational finite-round countable-outcome bosonic LOCC protocols with explicit Eve/transcript and physical transmitted marginals (hard)
  • Lemma 14 (Vacuum dilution of an entire protocol): Public-flag mixture of entire physical protocols, including Eve and all optical slots (hard)
  • Unnumbered operational nonzero-success sequences, Eq.(E3): Physical fixed-length protocol sequences obtained by vacuum dilution (hard)
  • Lemma 15 (Fixed-sector test bound): Parallel fixed-sector protocol and privacy-test acceptance on arbitrary memories (hard)
  • Unnumbered finite-error parallel photon-cutoff bound, Eqs.(F1)–(F4): Joint hard-cutoff input projector and operational privacy/error tests for parallel bosonic protocols (hard)
  • Unnumbered vanishing-tail extension, Eq.(F6) and Appendix F3: Joint total-number tail probability and parallel protocol sequence semantics (hard)

Selected references

  • Energy-constrained two-way capacities of pure-loss and quantum-limited amplifier channels, arXiv:2610.06832v1, https://arxiv.org/abs/2610.06832v1
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Quantum Information·Captain: Goku

A Spectrum-Based Converse for Quantum State Discrimination and Its Applications to Classical-Quantum Channel CodingResearch Paper

Motivation

We investigate converse bounds on the average decoding error probability in finite-blocklength classical-quantum channel coding. We first present a lower bound for multiple quantum hypothesis testing in terms of pairwise trace distances and derive a corresponding fidelity bound. We then obtain a spectrum-based converse that depends only on the a priori probabilities and spectra of the states. We show that the converse bound remains tight for the quantum depolarizing channel under suitable conditions. For codes with product-state outputs, this converse takes an explicit form involving products of output-state eigenvalues. We apply it to binary codes over the quantum amplitude damping channel using the input states ∣+⟩\vert+\rangle∣+⟩ and ∣−⟩\vert-\rangle∣−⟩. For this setting, we also discuss a normal approximation to the spectrum-based converse in the large blocklength regime. In all numerical examples considered, the spectrum-based converse is tighter than the other converse bounds at low noise levels. △ Less

This mission is the statement-level formalization of A Spectrum-Based Converse for Quantum State Discrimination and Its Applications to Classical-Quantum Channel Coding (arXiv:2610.06840v1). Every numbered result of the paper was scanned. The results stated here are open sorry goals, ready for solvers to prove.

What is formalized

16 statements of the paper are in Lean 4 (Mathlib 0df444a). The goal theorem is Theorem 4 (Spectral converse); seed paper result (Theorem 4 (Spectral converse); seed paper result, PDF p. 4). The milestones are the other numbered results, in the paper's order, each quoting the paper.

The paper's own objects are the definition item of this mission. Objects shared across papers come from the prove2quantum library and from earlier papers' missions, listed as references.

Provenance: prove2quantum's pipeline drafted each statement (gpt-6.1-sol on Stanford's Sherlock cluster). A blind read-back, written without seeing the paper, is attached to every item. An independent moderator compared each statement against the paper and passed the whole paper without edits.

Deferred results

6 results of the paper are not stated yet, because the library lacks an interface they need:

  • Corollary-4: A corrected depolarizing-channel statement specifying when an original top-N selection of the weighted eigenvalues p_i a_(i,j) remains top-N after a_(i,j) becomes (1-eta) a_(i,j)+eta/N, and when its sum still equals optimal success. The printed assertion supplies no prior or ordering condition that guarantees this. For orthogonal binary pure states with p=(3/4,1/4), N=M=2, the original selected sum and optimum are 1; at eta=1 the old selected sum is 1/2 while the optimum and new top-two weighted sum are 3/4. Thus an additional Lean definition cannot unblock the printed theorem: a reviewed source correction must change the scope or conclusion and address nonunique tie selections. (source-ambiguity)
  • Table-I-general-complexities: An explicit eigensolver/fidelity numerical primitive with input representation, accuracy and arithmetic-cost specification, and actual bound-evaluation algorithms whose operation counts imply uniform O(M^2 N^3) and O(M N^3) bounds. The source does not specify the accuracy or exact-spectral primitive. (source-ambiguity)
  • Table-II-symmetric-complexities: A correct top-product-spectrum enumerator for arbitrary q, with zero-eigenvalue behavior and multiplicities, plus a numerical primitive and parameter regime accounting for q^3/q^5 precomputation. Appendix C-B greedy one-way occupation chain omits valid larger products for q>2. (source-ambiguity)
  • Corollary-5: A corrected finite-blocklength binomial-shell formula specifying channel OUTPUT eigenvalues, their ordering, and the terminal shell. With the printed descending input spectra (a_0,a_1)=(1,0), gamma=0, n=2, M=2 and code {00,11}, L_0=1 <= 2^n/M=2 < L_1=3 gives ell=0. Its displayed sum and partial-shell term are both zero, whereas the two quantum outputs are orthogonal and optimal success is 1. The source must reconcile a_0^i a_1^(n-i) with descending-order top-product selection and supply the M=1 case, where no strict terminal-shell inequality exists. Swapping eigenvalue indices or substituting output spectra is a source correction requiring independent review, not a missing library lemma. (source-ambiguity)
  • Theorem-5: A corrected normal-approximation theorem identifying its approximated quantity and quantifiers: the auxiliary spectral converse B_n versus actual optimal quantum success P_c for a specified class of binary codes; a fixed or varying gamma and above-capacity rate r=log_2(M)/n; and constants K,n_0 placed before the code family and any other parameters over which the error is uniform, with |B_n-Phi((C-r-log_2(n)/(2n))/V_n)| <= K exp(-n/2)/n if that is the intended claim. Here delta=(1-sqrt(1-gamma(1-gamma)))/2, C=1-H_b(delta), and V_n=sqrt(delta(1-delta)/n) log_2((1-delta)/delta). A classical bound approximation alone gives no equality for every code's actual quantum success. The printed theorem does not specify the needed regime, constants or a valid transfer to actual success. For genuine binary codes M<=2^n, r>C excludes delta=0 endpoints; singular endpoints are therefore not an independent feasible counterexample. (source-ambiguity)
  • numerical-low-noise-comparison: Certified numerical values or tolerances and an explicit low-noise interval for the six plotted binary codes and competing bounds. Without those data, the empirical comparison cannot be promoted to a universally quantified analytic inequality. (source-ambiguity)

Selected references

  • A Spectrum-Based Converse for Quantum State Discrimination and Its Applications to Classical-Quantum Channel Coding, arXiv:2610.06840v1, https://arxiv.org/abs/2610.06840v1
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