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Combinatorics

630 missions · 352 completed

The mathematics of finite and discrete structures — counting the arrangements of a set, deciding when a configuration meeting prescribed constraints can exist, and characterizing the patterns such structures are forced to contain. It encompasses enumerative and extremal combinatorics, graph theory, design theory, and additive combinatorics, with deep ties to algebra, probability, and computer science.

Missions

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Graph Theory·Captain: marwahaha

A counterexample to Sidorenko's conjectureOpen Problem

Motivation

Graph homomorphism inequalities compare the frequency of a fixed pattern with what edge density predicts. The mission asks for one finite host graph violating the proposed bound for a specified bipartite pattern. The source manuscript presents the surrounding research claim.

Setting

The pattern H is the incidence graph between thirteen points and twenty-two explicitly listed triples, giving thirty-five vertices and sixty-six edges. Homomorphism density counts all edge-preserving maps, including noninjective maps, divided by the number of all vertex maps.

Formalization target

Construct a positive-size finite simple host G with at least one edge such that

t(H,G)<p(G)66,p(G)=2∣E(G)∣∣V(G)∣2.t(H,G)<p(G)^{66},\qquad p(G)=\frac{2|E(G)|}{|V(G)|^2}.t(H,G)<p(G)66,p(G)=∣V(G)∣22∣E(G)∣​.

The selected formal target is OAI.SidorenkoCounterexample.main.

Significance and status

The counterexample uses the exact supplied pattern rather than an unspecified bipartite graph. A finite host makes the density comparison an ordinary finite counting statement. The published target is currently Open; the manuscript's argument and a checked Lean proof are separate deliverables.

Difficulty

The required strict inequality concerns all homomorphisms, not only embeddings. The host must have an edge so the assertion cannot be replaced by a zero-density degeneracy.

Formalization scope

H is built from the published table of twenty-two triples. Hosts use Fin size, and both graph counts and real density normalizations are fixed. The manuscript’s forcing-conjecture consequence is not an attached formal target.

Selected references

  • OpenAI, A counterexample to Sidorenko's conjecture, preprint, 2026. Pinned manuscript.
  • OpenAI, accompanying formal statements, commit adc7f1241b42. Goal source.
5 thms2 active usersReviewed
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Analysis·Captain: marwahaha

The dyadic case of the Erdős similarity conjectureOpen Problem

Motivation

Finite patterns fit inside positive-measure sets after a sufficiently small affine change. The dyadic similarity problem asks whether one particular infinite pattern can be excluded even from compact sets of nearly full measure. The source manuscript presents the surrounding research claim.

Setting

The dyadic sequence is D={2⁻ⁿ:n≥1}. Its affine copies are x+sD with arbitrary x∈ℝ and nonzero signed scale s. The ambient measure is Lebesgue measure on the real line.

Formalization target

For every 0<η<1, construct a compact E⊆[0,1] with

∣E∣>1−η,∀x∈R  ∀s≠0  ∃n≥1,x+s2−n∉E.|E|>1-\eta,\qquad\forall x\in\mathbb R\;\forall s\ne0\;\exists n\ge1,\quad x+s2^{-n}\notin E.∣E∣>1−η,∀x∈R∀s=0∃n≥1,x+s2−n∈/E.

The same E must avoid every translation and both signs of dilation.

The selected formal target is OAI.Problem310.dyadic_affine_avoidance.

Significance and status

The result concerns the dyadic sequence specifically, with a stronger near-full-measure conclusion than merely finding one positive-measure avoiding set. The published target is currently Open; the manuscript's argument and a checked Lean proof are separate deliverables.

Difficulty

Excluding a countable collection of copies does not handle the continuum of scales and centers. Finite initial segments cannot replace the entire sequence.

Formalization scope

The definition dyadicPoint accepts n=0, but the theorem explicitly chooses n≥1. Measure is ENNReal-valued and compares with ENNReal.ofReal(1−η). Compactness and interval containment are required conclusions. General infinite sets are outside this selected target.

Selected references

  • OpenAI, The dyadic case of the Erdős similarity conjecture, preprint, 2026. Pinned manuscript.
  • OpenAI, accompanying formal statements, commit adc7f1241b42. Goal source.
48 thms2 active usersReviewed
🏆Completed
ProbabilityTheoretical Computer Science·Captain: wurtle

Variance of the Random k-SAT Hitting TimeResearch Paper

Motivation

Add random clauses one at a time to a Boolean formula on nnn variables until it first becomes unsatisfiable. The index HnH_nHn​ of that first failure is the satisfiability hitting time of random kkk-SAT. Its mean, divided by nnn, converges to the satisfiability threshold; its variance measures the width of the transition window. Friedgut's sharp-threshold theorem shows the window is o(n)o(n)o(n), but quantitative widths have remained far from the n\sqrt nn​ scale suggested by lower bounds. This mission asks for the order of the variance of HnH_nHn​ for every fixed k≥3k\ge3k≥3.

Timeline

  • 1981. Efron and Stein prove their variance inequality, the basic tool for fluctuation bounds of functions of independent inputs (doi:10.1214/aos/1176345462).
  • 1999. Friedgut, with an appendix by Bourgain, proves a sharp threshold sequence for each fixed kkk (doi:10.1090/S0894-0347-99-00305-7).
  • 2002. Wilson proves an Ωk(n)\Omega_k(\sqrt n)Ωk​(n​) separation of central quantiles for the proper-clause model (doi:10.1002/rsa.10050).
  • 2005. Boucheron, Bousquet, Lugosi and Massart give moment inequalities for functions of independent variables (doi:10.1214/009117904000000856).
  • 2022. Ding, Sly and Sun prove the satisfiability conjecture for large kkk (doi:10.4007/annals.2022.196.1.1).
  • 2026. Carenini proves an Ok,η(n/log⁡n)O_{k,\eta}(n/\log n)Ok,η​(n/logn) window (ECCC TR26-145, arXiv:2609.26222) and then a polynomial window Ok,η(n1/2+1/k)O_{k,\eta}(n^{1/2+1/k})Ok,η​(n1/2+1/k) with variance Ok(n1+2/k)O_k(n^{1+2/k})Ok​(n1+2/k), resolving the satisfiability conjecture for every fixed k≥3k\ge3k≥3 (ECCC TR26-229, made public October 5, 2026); priority for that resolution belongs to Carenini. A companion OpenAI preprint gives an alternative proof of the limiting threshold.

The source of this mission is an OpenAI preprint dated September 27, 2026.

Setting

Fix k≥3k\ge3k≥3 and n≥kn\ge kn≥k. A proper kkk-clause is an OR of literals on kkk distinct variables; let C1,C2,…C_1,C_2,\dotsC1​,C2​,… be independent uniform choices among the 2k(nk)2^k\binom nk2k(kn​) signed proper clauses (signs fair, whole clauses may repeat). Put

Fm=C1∧⋯∧Cm,F0=true,Hn=min⁡{m≥1: Fm unsatisfiable},F_m=C_1\wedge\dots\wedge C_m,\qquad F_0=\text{true},\qquad H_n=\min\{m\ge1:\ F_m\ \text{unsatisfiable}\},Fm​=C1​∧⋯∧Cm​,F0​=true,Hn​=min{m≥1: Fm​ unsatisfiable},

and, for fixed B>0B>0B>0, the capped hitting time Tn,B=min⁡{Hn,⌊Bn⌋}T_{n,B}=\min\{H_n,\lfloor Bn\rfloor\}Tn,B​=min{Hn​,⌊Bn⌋}. Since each assignment survives a clause with probability 1−2−k1-2^{-k}1−2−k, HnH_nHn​ is a.s. finite with all moments. Write

ℓk(n)={log⁡(en),k=3,1,k≥4,Uk=log⁡2−log⁡(1−2−k).\ell_k(n)=\begin{cases}\log(en),&k=3,\\1,&k\ge4,\end{cases}\qquad U_k=\frac{\log2}{-\log(1-2^{-k})}.ℓk​(n)={log(en),1,​k=3,k≥4,​Uk​=−log(1−2−k)log2​.

Formalization targets

Goal: Theorem 1.1

There are constants Ck,ck>0C_k,c_k>0Ck​,ck​>0 with

Var⁡(Hn)≤Ck n ℓk(n)(n≥k),Var⁡(Hn)≥ckn(n large),\operatorname{Var}(H_n)\le C_k\,n\,\ell_k(n)\quad(n\ge k),\qquad \operatorname{Var}(H_n)\ge c_kn\quad(n\ \text{large}),Var(Hn​)≤Ck​nℓk​(n)(n≥k),Var(Hn​)≥ck​n(n large),

and for every fixed B>0B>0B>0 a constant Ck,BC_{k,B}Ck,B​ with Var⁡(Tn,B)≤Ck,B n ℓk(n)\operatorname{Var}(T_{n,B})\le C_{k,B}\,n\,\ell_k(n)Var(Tn,B​)≤Ck,B​nℓk​(n); if B>UkB>U_kB>Uk​ then also Var⁡(Tn,B)≥ckn\operatorname{Var}(T_{n,B})\ge c_knVar(Tn,B​)≥ck​n for large nnn. Hence Var⁡(Hn)=Θk(n)\operatorname{Var}(H_n)=\Theta_k(n)Var(Hn​)=Θk​(n) for k≥4k\ge4k≥4. Lean: OAI.RandomKSAT.variance_main, open on the platform.

Milestone: Propositions A.1–A.2 (optimality of exponents)

The killing-probability exponent β=k/(k−1)\beta=k/(k-1)β=k/(k−1) in the lifetime bound τk(S)qd(S)β≤Ckdβ\tau_k(S)q_d(S)^\beta\le C_kd^\betaτk​(S)qd​(S)β≤Ck​dβ (Proposition 2.3) cannot be decreased, and the block-error term g−(k−1)g^{-(k-1)}g−(k−1) in the replacement lemma cannot be improved to o(g−(k−1))o(g^{-(k-1)})o(g−(k−1)) uniformly. Lean: OAI.RandomKSAT.sharpness.

Significance

For k≥4k\ge4k≥4 the theorem determines the variance of the hitting time up to constants, so the transition window has width Θk(n)\Theta_k(\sqrt n)Θk​(n​) in the variance sense, matching Wilson's lower bound and improving Carenini's Ok(n1+2/k)O_k(n^{1+2/k})Ok​(n1+2/k) variance bound. For k=3k=3k=3 it leaves only a logarithmic gap, closed in a companion OpenAI preprint. Chebyshev's inequality then gives concentration of HnH_nHn​ about EHn\mathbb EH_nEHn​ at scale nℓk(n)\sqrt{n\ell_k(n)}nℓk​(n)​.

The results are proved in an OpenAI preprint; they have not been peer reviewed, and no machine-checked proof exists.

Difficulty

The Efron–Stein inequality reduces the upper bound to the expected squared delay caused by deleting one clause, which counts pairs of prefixes at which that clause is pivotal. Controlling this occupation time requires a uniform estimate relating how quickly a set of assignments is killed by shorter (k−1)(k-1)(k−1)-clauses to its lifetime under kkk-clauses, valid for every assignment set with no lower cutoff. Earlier arguments truncate the number of clauses incident to the deleted clause's variables at a logarithmic level, which costs a logarithm; keeping that number as a random parameter without destroying independence is the main obstacle. Appendix A shows the relevant exponents are sharp.

Formalization scope

  • Clause n k is a dependent pair of a kkk-element Finset (Fin n) and a sign vector on it; clauseLaw is uniform; streamLaw is the infinite product (Measure.infinitePi).
  • firstFailure ω is the least mmm with an unsatisfiable prefix, valued in ℕ∞; H = (firstFailure ω).toNat; T B ω = (min (firstFailure ω) ⌊Bn⌋).toNat. The infinite case has probability zero.
  • variance is ProbabilityTheory.variance under streamLaw n k; ell, U are as displayed.
  • In the milestone, blockKill u s S g is the probability that ggg independent proper sss-clauses kill SSS, and lifetime u k S =∑mP(S survives m clauses)=\sum_m\mathbb P(S\text{ survives }m\text{ clauses})=∑m​P(S survives m clauses) is τk(S)\tau_k(S)τk​(S).

Infrastructure: product measures on clause streams, Efron–Stein, conditioning on incidence patterns. Formalizations of Proposition 2.3 (lifetime from shorter-clause killing), Proposition 4.3 (conditional squared delay), Corollary 5.2 and Proposition 6.2 (linear variance lower bound) are welcome.

Selected references

  • OpenAI, Variance of the Random k-SAT Hitting Time, preprint, September 27, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Variance-of-the-Random-k-SAT-Hitting-Time-September-27-2026/article.pdf
  • OpenAI, A Limiting Satisfiability Threshold for Every Fixed Clause Size, preprint, September 25, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/article.pdf
  • G. Carenini, A polynomial scaling window for random k-SAT and a proof of the satisfiability conjecture, ECCC TR26-229, 2026. https://eccc.weizmann.ac.il/report/2026/229/
  • G. Carenini, The scaling window of random k-SAT, ECCC TR26-145, 2026. https://arxiv.org/abs/2609.26222
  • E. Friedgut (appendix by J. Bourgain), Sharp thresholds of graph properties, and the k-SAT problem, J. Amer. Math. Soc., 1999. https://doi.org/10.1090/S0894-0347-99-00305-7
  • D. B. Wilson, On the critical exponents of random k-SAT, Random Structures Algorithms, 2002. https://doi.org/10.1002/rsa.10050
  • J. Ding, A. Sly, N. Sun, Proof of the satisfiability conjecture for large k, Ann. of Math., 2022. https://doi.org/10.4007/annals.2022.196.1.1
  • B. Efron, C. Stein, The jackknife estimate of variance, Ann. Statist., 1981. https://doi.org/10.1214/aos/1176345462
  • S. Boucheron, O. Bousquet, G. Lugosi, P. Massart, Moment inequalities for functions of independent random variables, Ann. Probab., 2005. https://doi.org/10.1214/009117904000000856
32 thms2 active usersReviewed
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ProbabilityTheoretical Computer Science·Captain: wurtle

A Limiting Satisfiability Threshold for Every Fixed Clause SizeResearch Paper

Motivation

A random kkk-SAT formula on nnn Boolean variables is a conjunction of mmm independent random clauses, each an OR of kkk literals on distinct variables. As the clause density m/nm/nm/n grows, the formula changes from almost surely satisfiable to almost surely unsatisfiable. Random kkk-SAT is a central model in probabilistic combinatorics, the theory of algorithms and statistical physics: its threshold is where hard instances are expected to concentrate, and it is a proving ground for methods from spin-glass theory. The satisfiability conjecture, formulated explicitly by Chvátal and Reed, asserts that for each fixed kkk the transition happens at a limiting density αk\alpha_kαk​ that does not drift with nnn.

Timeline

  • 1992. Chvátal and Reed settle k=2k=2k=2 and formulate the conjecture for every fixed clause size (doi:10.1109/SFCS.1992.267789); Goerdt gives an independent proof for k=2k=2k=2 (doi:10.1006/jcss.1996.0081).
  • 1999. Friedgut, with an appendix by Bourgain, proves a sharp transition around a sequence of densities, leaving open whether the sequence converges (doi:10.1090/S0894-0347-99-00305-7).
  • 2002, 2006. Mézard, Parisi and Zecchina, and Mertens, Mézard and Zecchina, predict threshold values via the cavity method (doi:10.1126/science.1073287, doi:10.1002/rsa.20090).
  • 2004. Achlioptas and Peres prove bounds 2klog⁡2−O(k)2^k\log2-O(k)2klog2−O(k) (doi:10.1090/S0894-0347-04-00464-3).
  • 2013, 2014. Bayati, Gamarnik and Tetali develop combinatorial interpolation for sparse random structures (doi:10.1214/12-AOP816); Abbe and Montanari study concentration of solution counts (doi:10.1002/rsa.20501).
  • 2016. Coja-Oghlan and Panagiotou locate the threshold sequence within ok(1)o_k(1)ok​(1) of 2klog⁡2−(1+log⁡2)/22^k\log2-(1+\log2)/22klog2−(1+log2)/2 (doi:10.1016/j.aim.2015.11.007).
  • 2022. Ding, Sly and Sun prove the conjecture for all sufficiently large kkk, with the 1RSB value (doi:10.4007/annals.2022.196.1.1).
  • 2026. Carenini proves a polynomial scaling window and resolves the conjecture for every fixed k≥3k\ge3k≥3 (ECCC TR26-229, made public October 5, 2026; https://eccc.weizmann.ac.il/report/2026/229/). Priority for the resolution belongs to Carenini.

The source of this mission is an OpenAI preprint dated September 25, 2026, which gives an alternative proof of the existence of the limiting threshold.

Setting

Fix k≥3k\ge3k≥3. For n≥kn\ge kn≥k, a proper kkk-clause chooses kkk distinct variables among x1,…,xnx_1,\dots,x_nx1​,…,xn​ uniformly and gives each an independent fair sign, so each of the 2k(nk)2^k\binom nk2k(kn​) clauses is equally likely. Let C1,C2,…C_1,C_2,\dotsC1​,C2​,… be independent such clauses (sampled with replacement: two positions may hold the same clause) and

Fn,m=⋀i=1mCi,Pn(m)=P(Fn,m is satisfiable),Pn(0)=1.F_{n,m}=\bigwedge_{i=1}^mC_i,\qquad P_n(m)=\mathbb P(F_{n,m}\ \text{is satisfiable}),\qquad P_n(0)=1 .Fn,m​=i=1⋀m​Ci​,Pn​(m)=P(Fn,m​ is satisfiable),Pn​(0)=1.

The ratio c=m/nc=m/nc=m/n is the clause density.

Formalization targets

Goal: Theorem 1.1

For every fixed integer k≥3k\ge3k≥3 there is αk∈(0,∞)\alpha_k\in(0,\infty)αk​∈(0,∞) such that

lim⁡n→∞Pn(⌊cn⌋)={1,0≤c<αk,0,c>αk.\lim_{n\to\infty}P_n(\lfloor cn\rfloor)=\begin{cases}1,&0\le c<\alpha_k,\\ 0,&c>\alpha_k.\end{cases}n→∞lim​Pn​(⌊cn⌋)={1,0,​0≤c<αk​,c>αk​.​

No assertion is made at c=αkc=\alpha_kc=αk​, and the value of αk\alpha_kαk​ is not identified. Lean: OAI.FixedClauseThreshold.main, open on the platform.

Significance

The theorem settles, for every fixed k≥3k\ge3k≥3, the existence half of the threshold question: Friedgut's sharp transition happens at a location that converges. Previously this was known only for large kkk (Ding–Sly–Sun) and for k=2k=2k=2. Existence is a prerequisite for questions about the value of αk\alpha_kαk​, its computability, and the fluctuations of the satisfiability hitting time, which companion OpenAI preprints address. The proof here proceeds through concentration of a capped last satisfiable index and a comparison between system sizes; it does not rely on Carenini's window.

The result is proved in an OpenAI preprint; it has not been peer reviewed, and no machine-checked proof exists.

Difficulty

A sharp-threshold theorem gives a narrow window at each nnn but no control of how the window's center moves with nnn. Convergence needs a comparison between different system sizes, and interpolation methods from spin-glass theory deliver free-energy bounds, not hard satisfiability statements, and often only for even arity. The center must also be shown to concentrate polynomially, which requires bounding how many variables are forced along the clause process.

Formalization scope

  • ProperClause n k is a function Fin n → Option Bool with exactly kkk defined entries; some b at iii is the literal satisfied when σi=b\sigma_i=bσi​=b.
  • Formula n k m := Fin m → ProperClause n k (ordered, with replacement); properSATProbability n k m is the exact ratio of satisfiable formulas to all formulas, which equals Pn(m)P_n(m)Pn​(m) under the uniform product law.
  • Degenerate sizes: m=0m=0m=0 gives probability 111; for n<kn<kn<k and m>0m>0m>0 the ensemble is empty and the ratio is 000 by convention, affecting only finitely many nnn.
  • HasLimitingThreshold k asserts ∃ α>0\exists\,\alpha>0∃α>0 with limits 111 for 0≤c<α0\le c<\alpha0≤c<α and 000 for c>αc>\alphac>α at m=⌊cn⌋m=\lfloor cn\rfloorm=⌊cn⌋.

Infrastructure: finite counting of formulas, Efron–Stein-type variance bounds, a deterministic concentration-to-convergence lemma (Theorem 5.1), and the Poisson/interpolation comparison with the transfer back to proper clauses. Formalizations of Proposition 2.2 (integrated forcing), Proposition 3.3 (polynomial concentration) and Theorem 5.1 are welcome.

Selected references

  • OpenAI, A Limiting Satisfiability Threshold for Every Fixed Clause Size, preprint, September 25, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/article.pdf
  • G. Carenini, A polynomial scaling window for random k-SAT and a proof of the satisfiability conjecture, ECCC TR26-229, 2026. https://eccc.weizmann.ac.il/report/2026/229/
  • V. Chvátal, B. Reed, Mick gets some (the odds are on his side), FOCS 1992. https://doi.org/10.1109/SFCS.1992.267789
  • E. Friedgut (appendix by J. Bourgain), Sharp thresholds of graph properties, and the k-SAT problem, J. Amer. Math. Soc., 1999. https://doi.org/10.1090/S0894-0347-99-00305-7
  • D. Achlioptas, Y. Peres, The threshold for random k-SAT is 2klog⁡2−O(k)2^k\log2-O(k)2klog2−O(k), J. Amer. Math. Soc., 2004. https://doi.org/10.1090/S0894-0347-04-00464-3
  • A. Coja-Oghlan, K. Panagiotou, The asymptotic k-SAT threshold, Adv. Math., 2016. https://doi.org/10.1016/j.aim.2015.11.007
  • J. Ding, A. Sly, N. Sun, Proof of the satisfiability conjecture for large k, Ann. of Math., 2022. https://doi.org/10.4007/annals.2022.196.1.1
  • M. Bayati, D. Gamarnik, P. Tetali, Combinatorial approach to the interpolation method and scaling limits in sparse random graphs, Ann. Probab., 2013. https://doi.org/10.1214/12-AOP816
  • E. Abbe, A. Montanari, On the concentration of the number of solutions of random satisfiability formulas, Random Structures Algorithms, 2014. https://doi.org/10.1002/rsa.20501
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Theoretical Computer Science·Captain: wurtle

Snaky in 21 Maker movesResearch Paper

Motivation

In a Maker–Breaker achievement game, two players alternately claim cells of a board; Maker wins by owning every cell of some copy of a fixed shape, and Breaker only tries to prevent this. Polyomino achievement games on the infinite square grid, introduced by Frank Harary, ask which small polyominoes are winners (Maker can force a copy) and which are losers (Breaker can prevent it forever). The six-cell shape Snaky is the long-standing hard case: Maker was known to win with a one-stone handicap or in higher dimensions, but the ordinary planar game without handicap remained undecided.

Timeline

  • 2004. Sieben shows that Snaky is a winner in 41 dimensions and records earlier handicap-two strategies of Harary, Harborth and Seemann, as well as the non-existence of a pairing strategy for Breaker (Integers 4, 2004).
  • 2007. Halupczok and Schlage-Puchta prove that Snaky wins in three dimensions, loses on an 8×88\times88×8 board, and has planar handicap number at most one (Integers 7, 2007). Ito and Miyagawa give another handicap-one construction.
  • 2008. Sieben develops proof trees for weak achievement games and gives a finite proof sequence for the handicap-one win, describing the ordinary planar problem as undecided (Integers 8, 2008).
  • 2011. Csernenszky, Martin and Pluhár give a computer-free proof that Breaker has no pairing defense for Snaky (Integers 11, 2011).
  • 2023, 2025. Shaik, Mayer-Eichberger, van de Pol and Saffidine study QBF encodings of finite Maker–Breaker games, including Snaky on a 5×55\times55×5 board (arXiv:2301.07345); Boucher and Villemaire treat strong achievement games (doi:10.21428/594757db.6ae0c84a).

The source of this mission, an OpenAI preprint dated September 25, 2026, settles the ordinary planar game: Snaky is a winner, within 21 Maker moves.

Setting

The board is Z2\mathbb Z^2Z2, initially empty. Snaky is

S={(0,0),(1,0),(2,0),(3,0),(3,1),(4,1)}.S=\{(0,0),(1,0),(2,0),(3,0),(3,1),(4,1)\}.S={(0,0),(1,0),(2,0),(3,0),(3,1),(4,1)}.

An allowed copy is t+R(S)t+R(S)t+R(S) with t∈Z2t\in\mathbb Z^2t∈Z2 and RRR one of the eight 2×22\times22×2 signed permutation matrices (rotations by quarter turns and reflections; no scaling). Maker moves first; then Breaker and Maker alternate, each claiming one previously unclaimed cell. Maker wins when it owns all cells of an allowed copy.

A Maker policy is a rule that, given the current position, returns an unclaimed cell. In the fixed-endpoint formulation, the policy keeps claiming fresh cells even after a win, and one asks that after Maker's NNN-th claim its set of cells contain an allowed copy whenever Breaker's first N−1N-1N−1 replies were legal.

Formalization targets

Milestone: Proposition 10 (finite identities of the 35-move certificate)

A pure computation on a printed certificate of 616 cards: card counts, 1,837 placement terms, required-set/envelope/height data of four interface cards, and uniform bounds for all cards.

Milestone: Theorem 11

∃ Maker policy σ: every legal play⇒an allowed copy of S within 35 Maker claims.\exists\ \text{Maker policy}\ \sigma:\ \text{every legal play} \Rightarrow \text{an allowed copy of } S \text{ within } 35 \text{ Maker claims}.∃ Maker policy σ: every legal play⇒an allowed copy of S within 35 Maker claims.

Goal: Theorem 1

∃ Maker policy σ: every legal play⇒an allowed copy of S within 21 Maker claims.\exists\ \text{Maker policy}\ \sigma:\ \text{every legal play} \Rightarrow \text{an allowed copy of } S \text{ within } 21 \text{ Maker claims}.∃ Maker policy σ: every legal play⇒an allowed copy of S within 21 Maker claims.

The Lean statement OAI.SnakyPrototype.snaky_winning_strategy_21_with_legal_states is open on the platform.

Significance

Theorem 1 decides the ordinary planar Snaky game, recorded as undecided by Sieben (2008), and gives an explicit bound of 21 Maker moves (a win by the 41st individual turn). It also gives a win on the finite 17×1717\times1717×17 board (Corollary 6), and removes the handicap from the earlier handicap-one strategies. The paper does not claim the bound 21 is optimal or address the strong game in which both players seek a copy.

The result is proved in an OpenAI preprint that has not been peer reviewed. Its correctness rests on a soundness lemma for a composition rule together with large finite certificates checked by standalone programs. A machine-checked proof would replace this combination of informal soundness argument and external computation by a single certified statement.

Difficulty

The board is infinite and Breaker may play anywhere, so no finite game-tree search applies directly: a proof must cover all Breaker replies, including those far from the action. Pairing strategies, the usual tool for proving shapes are losers, are known to fail for Snaky, but that does not give Maker a strategy. The certificate approach needs a composition rule whose soundness accounts for arbitrary previous ownership on both sides; the move count must be the number of actual Maker claims, including any replacement moves.

Formalization scope

  • Cells are ℤ × ℤ; snaky is the six-cell set above and HasSnaky M asks for r : Fin 8, t : Cell with snaky.image (placement r t) ⊆ M, where orient lists all eight signed permutations.
  • A Policy is a function of a move counter, the Maker set and the Breaker set; it must never return an owned cell. playState σ N β ∅ ∅ k is the position after kkk Maker claims and kkk Breaker replies.
  • LegalRepliesBeforeFinal σ N β ∅ ∅ constrains only the first N−1N-1N−1 Breaker replies; the theorems conclude a copy of SSS, exactly NNN Maker cells, and disjointness of the two players' sets throughout.
  • The certificate milestone stores the cards as an Array Entry and computes rowAt i (required set, envelope, height) by the composition recursion; it is a decidable statement about explicit finite data.

A trivializing reading is ruled out: the policy is required to be legal on all inputs, and Breaker's replies are arbitrary legal cells of the infinite board. A complete development needs a soundness proof for the composition rule (Lemma 3) and verified evaluation of the certificates; the policy, game and certificate infrastructure is shared between the 21- and 35-move statements. Contributions formalizing Lemma 3, Proposition 5 (the 21-move certificate identities) and Corollary 6 are welcome.

Selected references

  • OpenAI, Snaky in 21 Maker moves, preprint, September 25, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Snaky-in-21-Maker-moves-September-25-2026/article.pdf
  • N. Sieben, Snaky is a 41-dimensional winner, Integers 4, 2004. https://math.colgate.edu/~integers/eg5/eg5.pdf
  • I. Halupczok, J.-C. Schlage-Puchta, Achieving Snaky, Integers 7, 2007. https://math.colgate.edu/~integers/hg2/hg2.pdf
  • N. Sieben, Proof trees for weak achievement games, Integers 8, 2008. https://math.colgate.edu/~integers/ig7/ig7.pdf
  • H. Ito, H. Miyagawa, Snaky is a winner with one handicap, 8th Hellenic European Conference on Computer Mathematics and its Applications, 2007.
  • A. Csernenszky, R. R. Martin, A. Pluhár, On the complexity of Chooser–Picker positional games, Integers 11, 2011. https://math.colgate.edu/~integers/lg2/lg2.pdf
  • I. Shaik, V. Mayer-Eichberger, J. van de Pol, A. Saffidine, Implicit state and goals in QBF encodings for positional games, preprint, 2023. https://arxiv.org/abs/2301.07345
  • S. Boucher, R. Villemaire, The QBF Cover encoding for Harary's Tic-Tac-Toe, Canadian Conference on AI, 2025. https://doi.org/10.21428/594757db.6ae0c84a
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Graph TheoryProbability·Captain: wurtle

The second Kahn–Kalai conjectureResearch Paper

Motivation

When does the Erdős–Rényi random graph G(n,p)G(n,p)G(n,p) contain a copy of a prescribed graph HHH? A necessary condition is visible from first moments: if some subgraph F⊆HF\subseteq HF⊆H has expected copy count below a constant, then HHH is unlikely to appear. Kahn and Kalai conjectured in 2007 that this elementary obstruction determines the containment threshold up to a logarithmic factor, uniformly over all target graphs, including spanning ones such as perfect matchings, Hamilton cycles or cubes (CPC 2007). Their abstract conjecture for general increasing families (the "first" conjecture) was proved by Park and Pham; the graph-specific "second" conjecture compares the threshold with the smaller, purely subgraph-count-based graph expectation threshold, and is not implied by the abstract theorem.

This mission asks for a formal proof of the second Kahn–Kalai conjecture with explicit constants, as stated in an OpenAI preprint dated September 24, 2026 (source). The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 1960–1981 — Erdős and Rényi's evolution of random graphs (1960) and perfect matchings (1966); Bollobás determines thresholds for fixed subgraphs (Math. Proc. Camb. Phil. Soc. 1981).
  • 2007 — Kahn and Kalai state both conjectures (CPC 2007).
  • 2010 — Talagrand introduces fractional expectation thresholds (STOC 2010).
  • 2021 — Frankston, Kahn, Narayanan and Park prove pc=O(qflog⁡ℓ)p_c=O(q_f\log\ell)pc​=O(qf​logℓ) (Annals 2021), building on the sunflower methods of Alweiss–Lovett–Wu–Zhang (Annals 2021).
  • 2022–2025 — Mossel, Niles-Weed, Sun and Zadik obtain a single-log bound for a modified graph threshold (arXiv:2209.03326) and a Bayesian proof of the spread lemma (RSA 2025).
  • 2024 — Park and Pham prove the abstract Kahn–Kalai conjecture (JAMS 2024).
  • 2025 — Dubroff, Kahn and Park prove pc=O(pElog⁡3n)p_c=O(p_E\log^3n)pc​=O(pE​log3n) and special cases (arXiv:2508.14269, arXiv:2510.02005).
  • 2026 — Tran reduces the loss to O(log⁡2(2e(H)))O(\log^2(2e(H)))O(log2(2e(H))) and proves the conjecture for trees and other classes (arXiv:2609.20546); the OpenAI preprint claims the general case (Theorem 1.1, p. 1).

Setting

For finite simple graphs G,FG,FG,F let N(G,F)N(G,F)N(G,F) be the number of subgraphs of GGG isomorphic to FFF (ordinary, non-induced copies). G(n,p)G(n,p)G(n,p) is the random graph on [n][n][n] with each of the (n2)\binom n2(2n​) edges present independently with probability ppp. For a graph HHH with at least one edge and at most nnn vertices,

pc(n,H)=inf⁡{p∈[0,1]: Pr⁡[N(G(n,p),H)>0]≥12},p_c(n,H)=\inf\{p\in[0,1]:\ \Pr[N(G(n,p),H)>0]\ge\tfrac12\},pc​(n,H)=inf{p∈[0,1]: Pr[N(G(n,p),H)>0]≥21​}, pE(n,H)=inf⁡{p∈[0,1]: E N(G(n,p),F)≥12 for every subgraph F⊆H}.p_E(n,H)=\inf\{p\in[0,1]:\ \mathbb E\,N(G(n,p),F)\ge\tfrac12\ \text{for every subgraph }F\subseteq H\}.pE​(n,H)=inf{p∈[0,1]: EN(G(n,p),F)≥21​ for every subgraph F⊆H}.

The first is the containment threshold, the second the graph expectation threshold; always pE≤pcp_E\le p_cpE​≤pc​. Write h=e(H)h=e(H)h=e(H) for the number of edges.

Formalization targets

Goal: Theorem 1.1 (p. 1)

For every n≥2n\ge2n≥2 and every finite simple graph HHH with h≥1h\ge1h≥1 edges and at most nnn vertices,

pc(n,H) ≤ min⁡{1, 2048 e50 pE(n,H) (1+log⁡2h)},pc(n,H) ≤ 6144 e50 pE(n,H)log⁡2n.p_c(n,H)\ \le\ \min\bigl\{1,\ 2048\,e^{50}\,p_E(n,H)\,(1+\log_2 h)\bigr\},\qquad p_c(n,H)\ \le\ 6144\,e^{50}\,p_E(n,H)\log_2 n .pc​(n,H) ≤ min{1, 2048e50pE​(n,H)(1+log2​h)},pc​(n,H) ≤ 6144e50pE​(n,H)log2​n.

The constants are explicit and universal; HHH may vary with nnn.

Significance

The result itself. The bound says that, up to a universal constant times log⁡h\log hlogh, the only obstruction to containing HHH is a subgraph with too few expected copies. The logarithm cannot be removed: for a perfect matching pE=Θ(1/n)p_E=\Theta(1/n)pE​=Θ(1/n) while pc=Θ(log⁡n/n)p_c=\Theta(\log n/n)pc​=Θ(logn/n), because isolated vertices must disappear. This settles the problem left by the abstract Park–Pham theorem, whose bound is in terms of the possibly larger integral expectation threshold of the family of graphs containing HHH.

Formalizing it. Both thresholds are finite, explicit optimization problems over Bernoulli product measures on the edges of KnK_nKn​, so the statement is fully elementary. Mathlib has SimpleGraph.copyCount but no random-graph or threshold theory; the spread-family resampling lemma and the tree covering theorem would be reusable for other threshold results (Park–Pham, Frankston–Kahn–Narayanan–Park). No machine-checked proof of any Kahn–Kalai-type theorem is known.

Difficulty

The abstract theorem compares pcp_cpc​ with the integral expectation threshold of the family FH\mathcal F_HFH​ of edge sets containing a copy of HHH, and covers of FH\mathcal F_HFH​ may be much cheaper than the copies of a single subgraph, so it does not give a bound in terms of pEp_EpE​. Previous graph-specific approaches lost extra logarithms because each conditional extension step paid the sampling cost again. The preprint (Section 1.2, pp. 3) builds a tree of nested subgraph extensions with geometrically growing, pairwise disjoint labels along each path, and must reuse one random set at every level of the tree while keeping the spread property under conditioning (Theorem 3.1, p. 6).

Formalization scope

  • G(n,p)G(n,p)G(n,p) is encoded as a Bernoulli product weight on Finset (Edge n), where Edge n is the type of non-diagonal Sym2 (Fin n); expectations and probabilities are finite sums, defined for every real ppp but used only on [0,1][0,1][0,1].
  • expectedCopies and containmentProbability use Mathlib's copyCount of the graph built from the edge set; both are ordinary (non-induced) copies.
  • criticalThreshold and expectationThreshold are sInf over p∈[0,1]p\in[0,1]p∈[0,1]; the sets are nonempty (they contain p=1p=1p=1 when HHH has at most nnn vertices), so the infima are the true thresholds. The expectation constraint ranges over all H.Subgraphs, including subgraphs with isolated vertices, whose constraints are automatically satisfied.
  • HHH is a SimpleGraph on an arbitrary finite type V with Fintype.card V ≤ n, 2 ≤ n and at least one edge; logTwo is log⁡x/log⁡2\log x/\log 2logx/log2.
  • The constants 2048e502048e^{50}2048e50 and 6144e506144e^{50}6144e50 are hard-coded, as in the source.

Selected references

  • OpenAI, The second Kahn–Kalai conjecture, OpenAI Math Release preprint, September 24, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/The-second-Kahn-Kalai-conjecture-September-24-2026/paper.pdf
  • J. Kahn, G. Kalai, Thresholds and expectation thresholds, Combin. Probab. Comput. 16 (2007), 495–502. https://doi.org/10.1017/S0963548307008474
  • J. Park, H. T. Pham, A proof of the Kahn–Kalai conjecture, J. Amer. Math. Soc. 37 (2024), 235–243. https://doi.org/10.1090/jams/1028
  • K. Frankston, J. Kahn, B. Narayanan, J. Park, Thresholds versus fractional expectation-thresholds, Ann. of Math. 194 (2021), 475–495. https://doi.org/10.4007/annals.2021.194.2.2
  • R. Alweiss, S. Lovett, K. Wu, J. Zhang, Improved bounds for the sunflower lemma, Ann. of Math. 194 (2021), 795–815. https://doi.org/10.4007/annals.2021.194.3.5
  • M. Talagrand, Are many small sets explicitly small?, STOC 2010. https://doi.org/10.1145/1806689.1806693
  • E. Mossel, J. Niles-Weed, N. Sun, I. Zadik, On the second Kahn–Kalai conjecture, arXiv:2209.03326 (2022). https://arxiv.org/abs/2209.03326v1
  • E. Mossel, J. Niles-Weed, N. Sun, I. Zadik, A Bayesian proof of the spread lemma, Random Structures Algorithms 66 (2025), e70008. https://doi.org/10.1002/rsa.70008
  • Q. Dubroff, J. Kahn, J. Park, On the "second" Kahn–Kalai conjecture, arXiv:2508.14269 (2025). https://arxiv.org/abs/2508.14269v1
  • T. Tran, Fractional expectation thresholds and the "second" Kahn–Kalai conjecture, arXiv:2609.20546 (2026). https://arxiv.org/abs/2609.20546v2
  • B. Bollobás, Threshold functions for small subgraphs, Math. Proc. Cambridge Philos. Soc. 90 (1981), 197–206. https://doi.org/10.1017/S0305004100058655
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Discrete GeometryGraph Theory·Captain: wurtle

The Euclidean plane is not five-colorableResearch Paper

Motivation

The Hadwiger–Nelson problem asks for the chromatic number of the plane χ(R2)\chi(\mathbb R^2)χ(R2): the least number of colours needed to colour every point of the Euclidean plane so that any two points at distance exactly 111 receive different colours. Equivalently, it is the chromatic number of the infinite graph whose vertices are the points of the plane and whose edges are the unit-distance pairs. Since 1950 the answer has been known to lie between 444 and 777, and it is one of the best known open problems in combinatorial geometry. Its difficulty is that the colour classes may be arbitrary sets: no measurability or regularity is assumed, so analytic tools that work for measurable colourings do not apply directly.

This mission asks for a formal proof that five colours do not suffice, as claimed in an OpenAI preprint dated September 23, 2026 (source), so that 6≤χ(R2)≤76\le\chi(\mathbb R^2)\le76≤χ(R2)≤7. The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 1950 — Nelson poses the problem and observes χ≥4\chi\ge4χ≥4; Isbell finds a hexagonal 777-colouring (recounted by Soifer, Mathematics Competitions 2003).
  • 1951 — de Bruijn and Erdős: an infinite graph is kkk-colourable iff every finite subgraph is (Indag. Math. 1951).
  • 1961 — Hadwiger publishes the problem with bounds 444 and 777 (Elem. Math. 1961); the Moser spindle gives a 7-vertex obstruction to three colours (Canad. Math. Bull. 1961).
  • 1973–2005 — Woodall studies region colourings (JCTA 1973); Townsend proves map-type colourings need six colours (JCTA 1981; Geombinatorics 2005).
  • 1981 — Falconer proves that measurable colourings need at least five colours (JCTA 1981).
  • 2018–2020 — de Grey constructs a finite unit-distance graph that is not 444-colourable, so χ≥5\chi\ge5χ≥5 (arXiv:1804.02385); Heule and Parts shrink it (arXiv:1805.12181, arXiv:2010.12665); Exoo–Ismailescu give another proof (DCG 2020).
  • 2025 — Sokolov and Voronov prove seven colours are needed for polygonal map-type colourings (arXiv:2502.01958).
  • September 2026 — The OpenAI preprint claims χ(R2)≥6\chi(\mathbb R^2)\ge6χ(R2)≥6 for arbitrary colourings (Theorem 1.1, p. 2).

Setting

A proper kkk-colouring of the plane is any function c:R2→{1,…,k}c:\mathbb R^2\to\{1,\dots,k\}c:R2→{1,…,k} such that c(x)≠c(y)c(x)\ne c(y)c(x)=c(y) whenever ∥x−y∥=1\|x-y\|=1∥x−y∥=1, with ∥⋅∥\|\cdot\|∥⋅∥ the Euclidean norm. No measurability, continuity or regularity of the colour classes c−1(i)c^{-1}(i)c−1(i) is assumed. χ(R2)\chi(\mathbb R^2)χ(R2) is the least kkk admitting a proper kkk-colouring.

Formalization targets

Milestone: the upper bound χ(R2)≤7\chi(\mathbb R^2)\le7χ(R2)≤7 (Theorem 1.1, p. 2)

There is a proper 777-colouring of the plane: colour the Voronoi hexagons of a triangular lattice (circumradius r=2/5r=2/5r=2/5) by the seven cosets of an index-seven similar sublattice, assigning boundary points to any incident hexagon. This classical construction is reproved in the deduction of Theorem 1.1 (pp. 2–3), including all boundary points.

Goal: no proper five-colouring (Theorem 1.1, p. 2)

There is no function c:R2→{1,…,5}c:\mathbb R^2\to\{1,\dots,5\}c:R2→{1,…,5} with c(x)≠c(y)c(x)\ne c(y)c(x)=c(y) whenever ∥x−y∥=1\|x-y\|=1∥x−y∥=1. Together with the milestone this gives 6≤χ(R2)≤76\le\chi(\mathbb R^2)\le76≤χ(R2)≤7.

Significance

The result itself. It raises the lower bound for the chromatic number of the plane from five (de Grey, 2018) to six, leaving only 666 and 777. Unlike de Grey's bound it is not witnessed by a finite graph; the proof transfers the problem to measurable colourings for every number of colours (Theorem 1.3, p. 2) and then excludes weak measurable five-colourings (Theorem 1.4, p. 2). The transfer theorem is of independent interest: in ZFC, a proper kkk-colouring exists iff a weak measurable kkk-colouring does. The preprint also derives a positive lower bound on the invariant-mean frequency of monochromatic unit pairs for every five-colouring (Corollary 1.5, p. 5).

Formalizing it. The statements are elementary, but the proof uses ergodic theory (a Furstenberg–Zimmer compact-extension tower and rigidity of invariant measures on a character group, Theorem 2.3, p. 6), spectral theory, density points, Fourier decay of circle measure, and planar topology. A formal proof would remove any doubt about a long and varied argument. The finite-graph bound χ≥5\chi\ge5χ≥5 has been checked by SAT solvers, but no formal proof of a bound that is not witnessed by a finite graph is known.

Difficulty

By de Bruijn–Erdős, χ≥6\chi\ge6χ≥6 is equivalent to the existence of a finite unit-distance graph that is not 555-colourable, but no such graph is known, and SAT-based searches have not produced one. Measurable methods (Falconer's density-point argument) cannot be applied to arbitrary colour classes, and a measurable colouring can have boundaries far too irregular for map-type interface arguments such as Townsend's or Sokolov–Voronov's. The preprint must therefore (i) produce measurable data from an arbitrary colouring without losing the unit-distance exclusions, via invariant averaging over algebraic rotations and translations and the rigidity Theorem 2.3, and (ii) construct the connected interfaces needed for a geometric contradiction from measure estimates alone (Sections 5–7), before excluding label cycles of length 333, 444 and 555 (Section 8).

Formalization scope

  • The goal works in ℂ with ‖p - q‖ = 1; a colouring is any function ℂ → Fin 5. ProperColoring 5 c requires distinct colours at every unit-distance pair. No measurability is assumed, so the statement is about arbitrary colourings, as in the source.
  • The milestone works in EuclideanSpace ℝ (Fin 2) with dist x y = 1 and asks for some c : Plane → Fin 7; the two planes are isometric.
  • Both statements are in ZFC-style classical Lean; no choice-free reading is intended. Neither is vacuous.

Welcome contributions: the de Bruijn–Erdős compactness theorem, the Moser spindle, Lebesgue density points in R2\mathbb R^2R2, and the measurable/unrestricted transfer of Theorem 1.3.

Selected references

  • OpenAI, The Euclidean plane is not five-colorable, OpenAI Math Release preprint, September 23, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/The-Euclidean-plane-is-not-five-colorable-September-23-2026/paper.pdf
  • H. Hadwiger, Ungelöste Probleme Nr. 40, Elem. Math. (1961).
  • L. Moser, W. Moser, Solution to Problem 10, Canad. Math. Bull. (1961). https://doi.org/10.1017/S0008439500025765
  • N. G. de Bruijn, P. Erdős, A colour problem for infinite graphs and a problem in the theory of relations, Indag. Math. (1951). https://users.renyi.hu/~p_erdos/1951-01.pdf
  • K. J. Falconer, The realization of distances in measurable subsets covering Rn\mathbb R^nRn, J. Combin. Theory Ser. A (1981). https://doi.org/10.1016/0097-3165(81)90014-5
  • D. R. Woodall, Distances realized by sets covering the plane, J. Combin. Theory Ser. A (1973). https://doi.org/10.1016/0097-3165(73)90020-4
  • S. P. Townsend, Every 5-coloured map in the plane contains a monochrome unit, J. Combin. Theory Ser. A (1981). https://doi.org/10.1016/0097-3165(81)90046-7
  • A. D. N. J. de Grey, The chromatic number of the plane is at least 5, Geombinatorics (2018). https://arxiv.org/abs/1804.02385v3
  • M. J. H. Heule, Computing small unit-distance graphs with chromatic number 5, Geombinatorics (2018). https://arxiv.org/abs/1805.12181
  • G. Exoo, D. Ismailescu, The chromatic number of the plane is at least 5: a new proof, Discrete Comput. Geom. (2020). https://doi.org/10.1007/s00454-019-00058-1
  • G. Sokolov, V. Voronov, On the chromatic number of the plane for map-type colorings, arXiv:2502.01958 (2025). https://arxiv.org/abs/2502.01958v1
  • A. Soifer, The 50th anniversary of one problem: the chromatic number of the plane & its relatives, Mathematics Competitions (2003). https://www.wfnmc.org/Journal%202003%201.pdf
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Complexity Theory·Captain: wurtle

A superquadratic separation between sensitivity and block sensitivityResearch Paper

Motivation

Sensitivity and block sensitivity are two of the basic complexity measures of a Boolean function f:{0,1}n→{0,1}f:\{0,1\}^n\to\{0,1\}f:{0,1}n→{0,1}. Sensitivity counts how many single-bit flips change the value; block sensitivity allows disjoint groups of bits to be flipped together. Block sensitivity is polynomially related to decision-tree complexity, certificate complexity, degree and quantum query complexity, so the question of how it compares with sensitivity (the Sensitivity Conjecture, from Nisan's 1989 work on CREW PRAMs) decides whether sensitivity belongs to that same family. Huang's 2019 theorem settled the polynomial question: bs(f)≤s(f)4\mathrm{bs}(f)\le s(f)^4bs(f)≤s(f)4. Nisan and Szegedy had suggested the stronger bound bs(f)≤s(f)2\mathrm{bs}(f)\le s(f)^2bs(f)≤s(f)2, and the best known separations were quadratic.

This mission asks for a formal proof that no quadratic bound holds, as claimed in an OpenAI preprint dated September 25, 2026 (source). The preprint has not been peer reviewed and its claims have not been independently verified; on the platform the Lean goal is open.

Background

  • 1989 — Nisan introduces block sensitivity and records Rubinstein's quadratic separation (STOC 1989).
  • 1994 — Nisan and Szegedy suggest bs(f)≤s(f)2\mathrm{bs}(f)\le s(f)^2bs(f)≤s(f)2 (Comput. Complexity 1994).
  • 1995 — Rubinstein's function: bs(f)=12s(f)2\mathrm{bs}(f)=\tfrac12 s(f)^2bs(f)=21​s(f)2 (Combinatorica 1995).
  • 2011 — Virza improves to 12s2+12s\tfrac12s^2+\tfrac12s21​s2+21​s (IPL 2011); Ambainis and Sun reach 23s2−13s\tfrac23s^2-\tfrac13s32​s2−31​s (arXiv:1108.3494).
  • 2013–2014 — Tal studies composition as an amplification tool (ITCS 2013); Ambainis and Prūsis note that a seed with bs>s2\mathrm{bs}>s^2bs>s2 would give a superquadratic power separation by iteration (ECCC TR14-027).
  • 2019 — Huang proves bs(f)≤s(f)4\mathrm{bs}(f)\le s(f)^4bs(f)≤s(f)4 (Annals 2019); Wellens later sharpens the constant (Discrete Analysis 2022).
  • 2026 — Meiburg shows block sensitivity can exceed spectral sensitivity squared (arXiv:2608.00851).
  • September 2026 — The OpenAI preprint claims bs(f)/s(f)2\mathrm{bs}(f)/s(f)^2bs(f)/s(f)2 is unbounded, and bs≥sα\mathrm{bs}\ge s^\alphabs≥sα for a fixed α>2\alpha>2α>2.

Setting

For x∈{0,1}nx\in\{0,1\}^nx∈{0,1}n and B⊆[n]B\subseteq[n]B⊆[n], let xBx^BxB be xxx with the coordinates in BBB flipped. For a total Boolean function fff,

s(f,x)=#{a∈[n]:f(x{a})≠f(x)},s(f)=max⁡xs(f,x),s(f,x)=\#\{a\in[n]: f(x^{\{a\}})\ne f(x)\},\qquad s(f)=\max_x s(f,x),s(f,x)=#{a∈[n]:f(x{a})=f(x)},s(f)=xmax​s(f,x),

and bs(f,x)\mathrm{bs}(f,x)bs(f,x) is the largest number of pairwise disjoint nonempty sets B1,…,BmB_1,\dots,B_mB1​,…,Bm​ with f(xBj)≠f(x)f(x^{B_j})\ne f(x)f(xBj​)=f(x) for every jjj; bs(f)=max⁡xbs(f,x)\mathrm{bs}(f)=\max_x\mathrm{bs}(f,x)bs(f)=maxx​bs(f,x). Always s(f)≤bs(f)s(f)\le\mathrm{bs}(f)s(f)≤bs(f), and a nonconstant fff has s(f)≥1s(f)\ge1s(f)≥1.

Formalization targets

Goal: the quantitative form of Theorem 1.1 (p. 2)

For every integer d≥1d\ge1d≥1 there are n≥1n\ge1n≥1 and a nonconstant f:{0,1}n→{0,1}f:\{0,1\}^n\to\{0,1\}f:{0,1}n→{0,1} with f(0,…,0)=0f(0,\dots,0)=0f(0,…,0)=0 and

bs(f)s(f)2 ≥ 2d4(d+2)2.\frac{\mathrm{bs}(f)}{s(f)^2}\ \ge\ \frac{2^d}{4(d+2)^2}.s(f)2bs(f)​ ≥ 4(d+2)22d​.

Since the right side tends to infinity, for every C>0C>0C>0 some nonconstant fff has bs(f)>C s(f)2\mathrm{bs}(f)>C\,s(f)^2bs(f)>Cs(f)2, which is the first sentence of Theorem 1.1. The goal does not include the fixed-exponent statement of Corollary 4.3 (p. 10).

Significance

The result itself. It refutes the quadratic strengthening of the Sensitivity Conjecture suggested by Nisan and Szegedy and leaves the true exponent between 222 and 444: Huang's theorem gives bs≤s4\mathrm{bs}\le s^4bs≤s4, while Corollary 4.3 of the preprint gives functions with bs(f,0)≥s(f)α\mathrm{bs}(f,0)\ge s(f)^\alphabs(f,0)≥s(f)α for some α>2\alpha>2α>2 and unbounded block sensitivity. Because spectral sensitivity is at most sensitivity, the separation also strengthens Meiburg's spectral result.

Formalizing it. The objects are finite and elementary, so a formal proof is a complete certificate of an explicit combinatorial construction. Huang's theorem has been formalized in Lean; a formal proof here would place the lower side of the gap on the same footing.

Difficulty

Known separations compose small gadgets, and composition multiplies both measures in a way that keeps the exponent at 222. To break it, a recursion must grow the number of disjoint sensitive blocks by a factor ≈2M2\approx 2M^2≈2M2 per level while ordinary sensitivity grows by only ≈M\approx M≈M. The preprint's nested predicates on a labelled tournament (Section 2) achieve this, but a single bit flip can repair a failed gate condition only by changing two child predicates at once. Controlling sensitivity therefore requires tracking these joint sensitivities alongside ordinary ones at every input, not only at the input where the blocks are found (Proposition 3.1, p. 5), and the random edge labelling must exclude dense local configurations (Lemma 2.1, p. 3).

Formalization scope

  • Inputs are Fin n → Bool; flip x B flips the coordinates in a Finset. sensitivity and blockSensitivity are Finset.sup over all inputs of the local counts; block families are finsets of pairwise disjoint nonempty finsets, each of which changes the value.
  • The ratio is computed in ℝ. Nonconstancy (∃ x y, f x ≠ f y) forces s(f)≥1s(f)\ge1s(f)≥1, so the division is genuine.
  • The extra clause f(0)=0f(0)=0f(0)=0 is not in the printed Theorem 1.1, but the constructed function satisfies it (the predicates vanish at zero, Lemma 2.3, p. 5, and the proof of Corollary 4.3 uses f(0)=0f(0)=0f(0)=0), so it is a faithful strengthening rather than an added assumption.
  • Nothing is vacuous: d≥1d\ge1d≥1 is satisfiable and the conclusion asks for an explicit function.

Welcome contributions: a reusable library of Boolean-function complexity measures (sensitivity, block sensitivity, certificate complexity) and composition lemmas such as Lemma 4.2 (p. 9).

Selected references

  • OpenAI, A superquadratic separation between sensitivity and block sensitivity, OpenAI Math Release preprint, September 25, 2026. https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-superquadratic-separation-between-sensitivity-and-block-sensitivity-September-25-2026/paper.pdf
  • N. Nisan, CREW PRAMs and decision trees, STOC 1989. https://doi.org/10.1145/73007.73038
  • N. Nisan, M. Szegedy, On the degree of Boolean functions as real polynomials, Comput. Complexity (1994). https://doi.org/10.1007/BF01263419
  • D. Rubinstein, Sensitivity vs. block sensitivity of Boolean functions, Combinatorica (1995). https://doi.org/10.1007/BF01200762
  • M. Virza, Sensitivity versus block sensitivity of Boolean functions, Inform. Process. Lett. (2011). https://doi.org/10.1016/j.ipl.2011.02.001
  • A. Ambainis, X. Sun, New separation between s(f) and bs(f), arXiv:1108.3494 (2011). https://arxiv.org/abs/1108.3494v1
  • A. Tal, Properties and applications of Boolean function composition, ITCS 2013. https://doi.org/10.1145/2422436.2422485
  • A. Ambainis, K. Prūsis, A tight lower bound on certificate complexity in terms of block sensitivity and sensitivity, ECCC TR14-027 (2014). https://eccc.weizmann.ac.il/report/2014/027/revision/1/download
  • H. Huang, Induced subgraphs of hypercubes and a proof of the Sensitivity Conjecture, Ann. of Math. 190 (2019). https://doi.org/10.4007/annals.2019.190.3.6
  • J. Wellens, Relationships between the number of inputs and other complexity measures of Boolean functions, Discrete Analysis (2022). https://doi.org/10.19086/da.57741
  • S. Aaronson, S. Ben-David, R. Kothari, et al., Degree vs. approximate degree and quantum implications of Huang's sensitivity theorem, STOC 2021. https://doi.org/10.1145/3406325.3451047
  • A. Meiburg, Block sensitivity can exceed spectral sensitivity squared, arXiv:2608.00851 (2026). https://arxiv.org/html/2608.00851v1
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Number Theory·Captain: wurtle

Short Egyptian fractionsResearch Paper

Motivation: how short can an Egyptian fraction be?

An Egyptian-fraction expansion writes a positive rational number as a sum of distinct unit fractions 1/n1/n1/n. Every fraction a/ba/ba/b with 1≤a<b1\le a<b1≤a<b has one, by the greedy algorithm, but greedy expansions can be long. The basic quantitative question is how many terms are needed in the worst case for a fixed denominator bbb. Let N(a,b)N(a,b)N(a,b) be the least length of an expansion of a/ba/ba/b with denominators ≥2\ge2≥2, and N(b)=max⁡1≤a<bN(a,b)N(b)=\max_{1\le a<b}N(a,b)N(b)=max1≤a<b​N(a,b). Erdős proved in 1950 that N(b)≪log⁡b/log⁡log⁡bN(b)\ll\log b/\log\log bN(b)≪logb/loglogb, showed that N(b)≫log⁡log⁡bN(b)\gg\log\log bN(b)≫loglogb (already for a=b−1a=b-1a=b−1), and conjectured that the double-logarithmic order is correct. The question appears in Erdős–Graham's 1980 problem book and as Erdős Problem 304. The same circle of questions asks how many expansions of 111 with exactly kkk terms exist, and which integers can appear as denominators in them (Erdős Problem 293).

Timeline

  • 1940 — Nakayama studies N(a,b)N(a,b)N(a,b) through arithmetic criteria for expansions with few terms (Tohoku Math. J. 46).
  • 1950 — Erdős reports de Bruijn's bound N(b)≪log⁡b/log⁡log⁡log⁡bN(b)\ll\log b/\log\log\log bN(b)≪logb/logloglogb, improves it to N(b)≪log⁡b/log⁡log⁡bN(b)\ll\log b/\log\log bN(b)≪logb/loglogb, proves the lower bound N(b)≫log⁡log⁡bN(b)\gg\log\log bN(b)≫loglogb, and conjectures the matching upper bound (Mat. Lapok 1950).
  • 1980 — Erdős and Graham restate the problem and ask for estimates of the number of kkk-term expansions of 111 and for the least missing denominator (Old and New Problems…).
  • 1985 — Vose proves N(b)≪log⁡bN(b)\ll\sqrt{\log b}N(b)≪logb​ (Bull. LMS 17).
  • 1990 — Tenenbaum and Yokota give length (1+ε)log⁡b/log⁡log⁡b(1+\varepsilon)\log b/\log\log b(1+ε)logb/loglogb with denominators O(b(log⁡b)2log⁡log⁡b)O(b(\log b)^2\log\log b)O(b(logb)2loglogb) (J. Number Theory).
  • 2014–2021 — Konyagin proves a lower bound for the number F(k)F(k)F(k) of kkk-term expansions of 111 with log⁡log⁡F(k)≫k/log⁡k\log\log F(k)\gg k/\log kloglogF(k)≫k/logk (Mat. Zametki); Elsholtz extends it to restricted denominators (Q. J. Math.); Elsholtz and Planitzer prove log⁡log⁡F(k)=O(k)\log\log F(k)=O(k)loglogF(k)=O(k) (Bull. LMS).
  • 2026 — van Doorn and Tang prove v(k)≥exp⁡(ck2)v(k)\ge\exp(ck^2)v(k)≥exp(ck2) for the least missing denominator (Math. Proc. Cambridge Philos. Soc.).
  • 2026 — An OpenAI preprint, Short Egyptian fractions (OpenAI Math Release, September 25, 2026), claims N(b)≍log⁡log⁡bN(b)\asymp\log\log bN(b)≍loglogb, settling Erdős's conjecture, together with log⁡log⁡F(k)≍k\log\log F(k)\asymp kloglogF(k)≍k and log⁡log⁡v(k)≍k\log\log v(k)\asymp kloglogv(k)≍k. It has not been peer reviewed, and its proofs are not formally verified.

Setting

For integers 1≤a<b1\le a<b1≤a<b, an expansion of a/ba/ba/b is a finite list 2≤n1<⋯<nk2\le n_1<\dots<n_k2≤n1​<⋯<nk​ of integers with

ab=1n1+⋯+1nk.\frac ab=\frac1{n_1}+\dots+\frac1{n_k}.ba​=n1​1​+⋯+nk​1​.

The fraction need not be in lowest terms and the denominators are unbounded. N(a,b)N(a,b)N(a,b) is the least such kkk, and

N(b)=max⁡1≤a<bN(a,b).N(b)=\max_{1\le a<b}N(a,b).N(b)=1≤a<bmax​N(a,b).

For k≥1k\ge1k≥1, F(k)F(k)F(k) is the number of tuples 1≤n1<⋯<nk1\le n_1<\dots<n_k1≤n1​<⋯<nk​ with ∑1/ni=1\sum 1/n_i=1∑1/ni​=1; DkD_kDk​ is the set of integers m≥2m\ge2m≥2 occurring as some nin_ini​ in such a tuple; and v(k)=min⁡({2,3,… }∖Dk)v(k)=\min(\{2,3,\dots\}\setminus D_k)v(k)=min({2,3,…}∖Dk​).

Formalization targets

Goal: the optimal order of the shortest expansions (Theorem 1.1)

Every a/ba/ba/b with 1≤a<b1\le a<b1≤a<b has an expansion, and there are absolute constants c1,c2>0c_1,c_2>0c1​,c2​>0 and b0b_0b0​ such that for every b≥b0b\ge b_0b≥b0​

c1log⁡log⁡b  ≤  N(b)  ≤  c2log⁡log⁡b.c_1\log\log b\;\le\;N(b)\;\le\;c_2\log\log b .c1​loglogb≤N(b)≤c2​loglogb.

No values of the constants are fixed. The goal statement is published on the platform with status Open.

Milestones

  • Theorem 1.1, second formulation, stated with the definitions shared by the corollaries below.
  • Corollary 1.2: there are c,C>0c,C>0c,C>0 and k0k_0k0​ with ck≤log⁡log⁡F(k)≤Ckck\le\log\log F(k)\le Ckck≤loglogF(k)≤Ck for every k≥k0k\ge k_0k≥k0​.
  • Lemma 7.2: for r≥3r\ge3r≥3, any exact rrr-term expansion of 111 containing the denominator mmm can be lengthened to an exact (r+1)(r+1)(r+1)-term expansion still containing mmm; hence Dr⊆Dr+1D_r\subseteq D_{r+1}Dr​⊆Dr+1​.
  • Proposition 8.1: for every ε>0\varepsilon>0ε>0, every sufficiently large mmm is a denominator in an expansion of 111 with at most (257/log⁡2+ε)log⁡log⁡m(257/\log2+\varepsilon)\log\log m(257/log2+ε)loglogm terms.
  • Corollary 1.3: eventually exp⁡(exp⁡(k/600))≤v(k)≤1+k2k−1\exp(\exp(k/600))\le v(k)\le1+k^{2^{k-1}}exp(exp(k/600))≤v(k)≤1+k2k−1, and log⁡2/257≤lim inf⁡klog⁡log⁡v(k)/k≤lim sup⁡klog⁡log⁡v(k)/k≤log⁡2\log2/257\le\liminf_k \log\log v(k)/k\le\limsup_k\log\log v(k)/k\le\log2log2/257≤liminfk​loglogv(k)/k≤limsupk​loglogv(k)/k≤log2.

Significance

The result itself. Theorem 1.1 answers Erdős's 1950 conjecture (Erdős Problem 304) affirmatively. The lower bound is classical; the content is the uniform upper bound for every numerator. As consequences, the paper determines the double-logarithmic order of the number of representations of 111 (Corollary 1.2) and of the least integer absent from all kkk-term expansions of 111 (Corollary 1.3), improving van Doorn–Tang's exp⁡(ck2)\exp(ck^2)exp(ck2) lower bound to a double exponential.

Formalizing it. All statements are elementary, with no analytic objects beyond logarithms, so a formal proof would give a complete machine-checked account of a problem from Erdős's list. The proof uses residue distribution of divisors, uniform divisor moments and a probabilistic construction, none of which is machine-checked. The elementary pieces — finiteness of F(k)F(k)F(k), the denominator bound ni≤k2i−1n_i\le k^{2^{i-1}}ni​≤k2i−1, and the padding lemma — are independently checkable and useful for other unit-fraction problems.

Difficulty

The greedy algorithm and divisor methods (Erdős; Tenenbaum–Yokota) lose a factor log⁡b/(log⁡log⁡b)2\log b/(\log\log b)^2logb/(loglogb)2 because they treat each numerator individually. The proof instead builds an auxiliary denominator MMM for which almost every numerator in a large range has a short expansion, and descends through O(log⁡log⁡b)O(\log\log b)O(loglogb) ranges. The obstacle is that the exceptional numerators at each level could accumulate during the descent; controlling them requires a uniform moment bound for small divisors in shifted intervals. For Corollary 1.3, an additional difficulty is that the exact term 1/m1/m1/m must survive every operation that lengthens the expansion.

Formalization scope

  • The goal uses OAI.ShortEgyptian: expansions are List ℕ that are strictly increasing (Pairwise (· < ·)), with entries ≥2\ge2≥2 and rational sum a/ba/ba/b; minLength a b is an sInf and maxMinLength b the maximum over 1≤a<b1\le a<b1≤a<b. The existence conjunct guarantees that sInf is taken over a nonempty set, so the bounds cannot hold through a junk value.
  • The Problem337 milestones use Fin k → ℕ tuples (StrictMono, entries ≥2\ge2≥2 for a/ba/ba/b and ≥1\ge1≥1 for expansions of 111); F(k)F(k)F(k) is Set.ncard, and v(k)v(k)v(k) is sInf of the missing denominators. Finiteness of DkD_kDk​ and of the expansion sets, which make these values meaningful, are separate statements in the proposal. In Corollary 1.3 the slopes are real liminf/limsup, accompanied by the explicit eventual bounds.
  • Logarithms are Real.log; all constants are existential, apart from the explicit 600600600, 257/log⁡2257/\log 2257/log2 and log⁡2\log2log2 of the source.
  • Needed infrastructure: divisor-counting and residue-distribution estimates, elementary prime-number bounds (the counting corollary uses the prime number theorem), and finite probabilistic constructions. Contributions proving the elementary pieces are welcome.

Selected references

  • M. Nakayama, On the decomposition of a rational number into "Stammbrüche", Tohoku Math. J. 46 (1940). https://www.jstage.jst.go.jp/article/tmj1911/46/0/46_0_1/_article/-char/en
  • P. Erdős, Az 1/x1+1/x2+⋯+1/xn=a/b1/x_1+1/x_2+\dots+1/x_n=a/b1/x1​+1/x2​+⋯+1/xn​=a/b egyenlet egész számú megoldásairól, Mat. Lapok (1950). https://users.renyi.hu/~p_erdos/1950-02.pdf
  • P. Erdős and R. L. Graham, Old and New Problems and Results in Combinatorial Number Theory, 1980. https://mathweb.ucsd.edu/~ronspubs/80_11_number_theory.pdf
  • T. F. Bloom, Erdős Problem 304. https://www.erdosproblems.com/304
  • M. D. Vose, Egyptian fractions, Bull. London Math. Soc. 17 (1985). https://doi.org/10.1112/blms/17.1.21
  • G. Tenenbaum and H. Yokota, Length and denominators of Egyptian fractions, III, J. Number Theory (1990). https://doi.org/10.1016/0022-314X(90)90109-5
  • S. V. Konyagin, Double exponential lower bound for the number of representations of unity by Egyptian fractions, Mat. Zametki (2014). https://doi.org/10.4213/mzm10417
  • C. Elsholtz and S. Planitzer, Sums of four and more unit fractions and approximate parametrizations, Bull. London Math. Soc. (2021). https://doi.org/10.1112/blms.12452
  • W. van Doorn and Q. Tang, The smallest denominator not contained in a unit fraction decomposition of 1 with fixed length, Math. Proc. Cambridge Philos. Soc. (2026). https://doi.org/10.1017/S0305004126102102
  • OpenAI, Short Egyptian fractions, OpenAI Math Release preprint, September 25, 2026 (Theorem 1.1, p. 2; Corollaries 1.2–1.3, p. 3; Lemma 7.2, p. 26; Proposition 8.1, p. 27). https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/Short-Egyptian-fractions-September-25-2026/Short-Egyptian-fractions-September-25-2026.pdf
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Theoretical Computer Science·Captain: xuanji

Deterministic APSP in O(n^2.996001) time on a Word RAMResearch Paper

Motivation

All-pairs shortest paths (APSP) asks for the exact distance between every ordered pair of vertices in an nnn-vertex weighted directed graph. Floyd–Warshall solves it in O(n3)O(n^3)O(n3) time, and for decades no algorithm beat n3−δn^{3-\delta}n3−δ for any constant δ>0\delta>0δ>0 on graphs with polynomially bounded integer weights. In 2026, Alman and Vassilevska Williams (arXiv:2610.06783) gave a deterministic O(n2.99942)O(n^{2.99942})O(n2.99942) algorithm, the campaign's first entry. Later entries tightened the accounting to 2.99832.99832.9983 and 2.997912.997912.99791.

This entry records the deterministic exponent 2.9960012.9960012.996001. It roughly doubles the saving below 333 compared with 2.997912.997912.99791, and it matches what was previously only known with randomized hashing.

Setting

The model is the campaign's fixed deterministic word RAM (foundation mission: Truly Subcubic APSP on a Word RAM). A finite program uses add, subtract and multiply modulo 2W2^W2W, indirect load and store, a sign branch, and accept or reject, on words of width W≥b(log⁡2n+1)W \ge b(\log_2 n + 1)W≥b(log2​n+1). Inputs have integer weights of absolute value at most nκn^\kappanκ for a fixed κ\kappaκ, and there are no negative cycles. The machine has no source of randomness; the algorithm behind this entry is deterministic.

Formalization target

The goal is the campaign template with the value 2.9960012.9960012.996001:

TrulySubcubicAPSP.APSP.SolvedInTime 2.996001,\texttt{TrulySubcubicAPSP.APSP.SolvedInTime}\ 2.996001,TrulySubcubicAPSP.APSP.SolvedInTime 2.996001,

which says there is a deterministic word-RAM program that solves APSP in O(n2.996001)O(n^{2.996001})O(n2.996001) steps.

How the bound arises

The algebraic core is the thin-product data structure of Alman and Vassilevska Williams: for an N×DN\times DN×D by D×ND\times ND×N integer product it answers requested entries WWW in O~(N2D−Γ+NDa+∣W∣Dq)\tilde O(N^2D^{-\Gamma} + N D^{a} + |W| D^{q})O~(N2D−Γ+NDa+∣W∣Dq). Two local refinements of that construction sharpen the exponents:

  1. Pruned encodings. Encoding branches with more than mmm copies of the distinguished symbol P0P_0P0​ are never materialized, giving a(c)=(12cH(1/c)+(c−1)ln⁡3)/ln⁡4a(c) = \bigl(\tfrac12 cH(1/c) + (c-1)\ln 3\bigr)/\ln 4a(c)=(21​cH(1/c)+(c−1)ln3)/ln4.
  2. Exact binomial tail. The box preprocessing is bounded by its actual binomial sum, giving Γ(c,θ)=(cH(1/c)−cH((1−θ)/c)−θln⁡9)/ln⁡4\Gamma(c,\theta) = \bigl(cH(1/c) - cH((1-\theta)/c) - \theta\ln 9\bigr)/\ln 4Γ(c,θ)=(cH(1/c)−cH((1−θ)/c)−θln9)/ln4, with q(θ)=(H(θ)+θln⁡9)/ln⁡4q(\theta) = \bigl(H(\theta)+\theta\ln 9\bigr)/\ln 4q(θ)=(H(θ)+θln9)/ln4.

The main new step is a deterministic filtering reduction. Moduli are chosen one small prime factor at a time, using exact thin-product witness counts to certify positive answers and to eliminate whole blocks of unresolved queries. Repeated filtering removes the need to scan individual modular witnesses, which was the bottleneck of earlier deterministic reductions (the prime-by-prime idea is suggested in footnote 9 of the source paper, after Fischer, Kaliciak and Polak). With middle blocks of size nε/2n^{\varepsilon/2}nε/2 this yields all-edges Exact Triangle in n3−δ+o(1)n^{3-\delta+o(1)}n3−δ+o(1), where

δ=min⁡{εΓ, 1−εa, ε(1/2−q)},\delta = \min\{\varepsilon\Gamma,\ 1-\varepsilon a,\ \varepsilon(1/2-q)\},δ=min{εΓ, 1−εa, ε(1/2−q)},

and deterministic bit scaling transfers the bound to min-plus product and APSP with polylogarithmic overhead.

The exact rational parameters c=21.2733c = 21.2733c=21.2733, θ=0.111731\theta = 0.111731θ=0.111731 and ε=0.056846\varepsilon = 0.056846ε=0.056846 satisfy the thin regime ε(a+Γ)<1\varepsilon(a+\Gamma) < 1ε(a+Γ)<1 with margin 1.16×10−61.16\times10^{-6}1.16×10−6, and give δ>0.00399928\delta > 0.00399928δ>0.00399928. Hence APSP runs in n2.99600072+o(1)n^{2.99600072+o(1)}n2.99600072+o(1), and the gap 2.996001−2.99600072>02.996001 - 2.99600072 > 02.996001−2.99600072>0 absorbs the subpolynomial factor.

Significance

This is the first deterministic entry near 2.9962.9962.996. Earlier analyses reached about 2.996012.996012.99601 only by repeating random-prime hashing, which this word-RAM model cannot express. The deterministic filtering closes that gap.

Selected references

  • J. Alman and V. Vassilevska Williams, Truly Subquadratic 3SUM and Truly Subcubic APSP via Triangles in Sparse Lopsided Graphs (2026). https://arxiv.org/abs/2610.06783
  • Deterministic APSP in O(n2.996001)O(n^{2.996001})O(n2.996001): an explicit refinement of the thin-product method, technical note, 6 October 2026. This is the source of 2.9960012.9960012.996001 and has not been peer reviewed.
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Graph TheoryOperations ResearchOptimization·Captain: mikedeng1

Convex Quadratic and Semidefinite Programming Relaxations in Scheduling IV: A ρ-Approximate Max-m-Cut Gives a (ρ + m(1 − ρ))-Approximate Schedule for Pm | | Σ wⱼCⱼResearch Paper

Motivation

Scheduling jobs on identical parallel machines to minimize the total weighted completion time ∑jwjCj\sum_j w_jC_j∑j​wj​Cj​, the problem P ∣ ∣∑wjCjP\,|\,|\sum w_jC_jP∣∣∑wj​Cj​, is one of the basic NP-hard problems of machine scheduling. On a single machine it is solved by Smith's ratio rule (Smith 1956); with several machines the only hard decision is which jobs share a machine. Section 6 of M. Skutella's paper Convex quadratic and semidefinite programming relaxations in scheduling (J. ACM 48 (2001)) observes that this decision is a graph partitioning problem: the cost of a schedule is, up to a constant, the weight of the edges that a partition of a weighted complete graph does not cut. Minimizing ∑jwjCj\sum_j w_jC_j∑j​wj​Cj​ on mmm machines is therefore equivalent to Max-mmm-Cut on that graph, and the paper shows that the equivalence preserves approximation in a quantified way.

The reduction explains, from the graph side, why semidefinite rounding works for two machines: with the 0.878-approximation for MaxCut of Goemans and Williamson (1995) it gives a 1.122-approximation for P2 ∣ ∣∑wjCjP2\,|\,|\sum w_jC_jP2∣∣∑wj​Cj​ (Corollary 6.2 of the paper). For general mmm, the uniform random partition is both a (1−1/m)(1-1/m)(1−1/m)-approximation for Max-mmm-Cut and randomized rounding of the optimum of the convex quadratic relaxation (CQP).

Setting

There are nnn jobs J={1,…,n}J=\{1,\dots,n\}J={1,…,n} and m≥1m\ge 1m≥1 identical machines. Job jjj has a processing time pj>0p_j>0pj​>0 and a weight wj≥0w_j\ge 0wj​≥0. Smith's order ≺\prec≺ puts j≺kj\prec kj≺k when wj/pj>wk/pkw_j/p_j>w_k/p_kwj​/pj​>wk​/pk​, ties broken by index. An assignment σ:J→{1,…,m}\sigma:J\to\{1,\dots,m\}σ:J→{1,…,m} is a partition J1,…,JmJ_1,\dots,J_mJ1​,…,Jm​ of the jobs; each machine processes its jobs in the order ≺\prec≺ without idle time, so the completion time of jjj is

Cj(σ)=pj+∑k≺j, σ(k)=σ(j)pk.C_j(\sigma)=p_j+\sum_{k\prec j,\ \sigma(k)=\sigma(j)}p_k .Cj​(σ)=pj​+k≺j, σ(k)=σ(j)∑​pk​.

The value of σ\sigmaσ is ∑jwjCj(σ)\sum_j w_jC_j(\sigma)∑j​wj​Cj​(σ), and Z∗Z^*Z∗ is the minimum value over all assignments.

The graph GJG_JGJ​ is the complete graph on JJJ in which the edge {j,k}\{j,k\}{j,k} with k≺jk\prec jk≺j has weight c(jk)=wjpkc(jk)=w_jp_kc(jk)=wj​pk​; c(EJ)c(E_J)c(EJ​) is its total weight. A partition induces the mmm-cut EcutE_{\mathrm{cut}}Ecut​, the edges whose endpoints lie in different parts, of weight c(Ecut)c(E_{\mathrm{cut}})c(Ecut​); Zcut∗Z^*_{\mathrm{cut}}Zcut∗​ is the maximum weight of an mmm-cut.

The convex quadratic relaxation (CQP) of §2.2, specialised to identical machines, has variables aij≥0a_{ij}\ge 0aij​≥0 with ∑iaij=1\sum_i a_{ij}=1∑i​aij​=1 and objective ZCQP(a)=∑jwjCjZ_{CQP}(a)=\sum_j w_jC_jZCQP​(a)=∑j​wj​Cj​ where

Cj=∑i=1maij(1+aij2 pj+∑k≺jaik pk)(11).C_j=\sum_{i=1}^m a_{ij}\Big(\frac{1+a_{ij}}{2}\,p_j+\sum_{k\prec j}a_{ik}\,p_k\Big)\qquad(11).Cj​=i=1∑m​aij​(21+aij​​pj​+k≺j∑​aik​pk​)(11).

Its optimum value is ZCQP∗Z^*_{CQP}ZCQP∗​.

Formalization targets

Goal: Theorem 6.1

For ρ≤1\rho\le 1ρ≤1, any assignment σ\sigmaσ whose mmm-cut weighs at least ρ⋅Zcut∗\rho\cdot Z^*_{\mathrm{cut}}ρ⋅Zcut∗​ satisfies

∑jwjCj(σ)≤(ρ+m(1−ρ)) Z∗.\sum_j w_jC_j(\sigma)\le\big(\rho+m(1-\rho)\big)\,Z^* .j∑​wj​Cj​(σ)≤(ρ+m(1−ρ))Z∗.

That is, a ρ\rhoρ-approximation algorithm for Max-mmm-Cut translates into a (ρ+m(1−ρ))(\rho+m(1-\rho))(ρ+m(1−ρ))-approximation algorithm for Pm ∣ ∣∑wjCjPm\,|\,|\sum w_jC_jPm∣∣∑wj​Cj​. The constant ρ\rhoρ is a parameter, so the goal does not depend on the best known cut algorithm.

Milestones

  1. (36): for every partition, c(EJ)=∑jwjCj−∑jwjpj+c(Ecut)c(E_J)=\sum_j w_jC_j-\sum_j w_jp_j+c(E_{\mathrm{cut}})c(EJ​)=∑j​wj​Cj​−∑j​wj​pj​+c(Ecut​).
  2. Lemma 2.5: aˉij=1/m\bar a_{ij}=1/maˉij​=1/m is an optimum of (CQP), unique when the ratios wj/pjw_j/p_jwj​/pj​ are pairwise different and positive.
  3. (37): Z∗≥ZCQP∗=1mc(EJ)+(12+12m)∑jwjpjZ^*\ge Z^*_{CQP}=\frac1m c(E_J)+\big(\frac12+\frac1{2m}\big)\sum_j w_jp_jZ∗≥ZCQP∗​=m1​c(EJ​)+(21​+2m1​)∑j​wj​pj​.
  4. (38): Zcut∗≤m−1mc(EJ)+(12−12m)∑jwjpjZ^*_{\mathrm{cut}}\le\frac{m-1}{m}c(E_J)+\big(\frac12-\frac1{2m}\big)\sum_j w_jp_jZcut∗​≤mm−1​c(EJ​)+(21​−2m1​)∑j​wj​pj​.
  5. Theorem 2.6 b) (supplementary): assigning each job independently and uniformly at random has expected value at most (32−12m)Z∗\big(\frac32-\frac1{2m}\big)Z^*(23​−2m1​)Z∗.

Significance

The result. Theorem 6.1 makes Max-mmm-Cut algorithms usable for scheduling with an explicit loss: a cut algorithm with ratio ρ\rhoρ close to 111 yields a schedule within 1+m(1−ρ)1+m(1-\rho)1+m(1−ρ) of optimal. For m=2m=2m=2 and the Goemans–Williamson ratio 0.8780.8780.878 the guarantee is 1.1221.1221.122, better than the 5/45/45/4 of Theorem 2.6 b) and the 1.27521.27521.2752 of the paper's semidefinite rounding in §5. In the other direction, (38) bounds the maximum cut of GJG_JGJ​ by the scheduling lower bound ZCQP∗Z^*_{CQP}ZCQP∗​, which is how a relaxation for scheduling becomes a bound for a cut problem. The problem itself is better understood today: P ∣ ∣∑wjCjP\,|\,|\sum w_jC_jP∣∣∑wj​Cj​ has a polynomial-time approximation scheme (Skutella and Woeginger 2000), and a fully polynomial one for fixed mmm (Sahni 1976). The reduction remains of interest as a structural identity between the two problems and as the source of the closed-form relaxation bound (37).

Formalizing it. All statements are proved in the paper; none is known to have a machine-checked proof. The mission produces a formal model of identical-machine scheduling under Smith's rule, of the weighted graph GJG_JGJ​ and its mmm-cuts, and of (CQP) for identical machines, together with the closed-form optimum of (CQP) (Lemma 2.5), which is the basis of the 32−12m\frac32-\frac1{2m}23​−2m1​ guarantee of Theorem 2.6 b).

Difficulty

The bookkeeping identity (36) and the final chain of inequalities are finite-sum manipulations. The substance is Lemma 2.5: that the uniform vector aˉ\bar aaˉ minimizes the quadratic objective (11) over the product of simplices. The objective is not separable, since the term ∑k≺jaikpk\sum_{k\prec j}a_{ik}p_k∑k≺j​aik​pk​ couples jobs through Smith's order, and its convexity on the feasible region (the positive semidefiniteness established in Lemma 2.4 of the paper) is the fact on which optimality and, with distinct positive ratios, uniqueness rest. The relaxation half of (37), that ZCQP∗Z^*_{CQP}ZCQP∗​ is at most the value of every schedule, needs the observation that ZCQPZ_{CQP}ZCQP​ evaluated at the 0/1 vector of an assignment equals the value of that assignment.

Formalization scope

Jobs are Fin n and machines Fin m, 0-based; Smith's order is cross-multiplied (wjpk>wkpjw_jp_k>w_kp_jwj​pk​>wk​pj​, or equality and j<kj<kj<k), equal to the ratio definition because p>0p>0p>0. Assignments are functions Fin n → Fin m, and every machine is sequenced by ≺\prec≺; by Smith's rule (p. 7 of the paper, a classical result it cites) this loses no optimality, so Z∗Z^*Z∗ is the minimum over assignments and is never a primitive: "within factor α\alphaα of Z∗Z^*Z∗" is stated against the value of every assignment. Likewise "weight at least ρ⋅Zcut∗\rho\cdot Z^*_{\mathrm{cut}}ρ⋅Zcut∗​" is stated as ρ c(Ecut(τ))≤c(Ecut(σ))\rho\,c(E_{\mathrm{cut}}(\tau))\le c(E_{\mathrm{cut}}(\sigma))ρc(Ecut​(τ))≤c(Ecut​(σ)) for every assignment τ\tauτ, so no supremum of an empty or unbounded set can enter. The edge weight is attached to the ordered pair (j,k)(j,k)(j,k) with k≺jk\prec jk≺j and is zero on the other orientation, so each edge of GJG_JGJ​ is counted once. Standing hypotheses on every theorem: pj>0p_j>0pj​>0, wj≥0w_j\ge 0wj​≥0 (p. 2 of the paper) and m>0m>0m>0 (needed for 1/m1/m1/m). Theorem 6.1 keeps the page's ρ≤1\rho\le 1ρ≤1.

Not formalized: polynomial running time, the phrase "approximation algorithm" beyond the value bound it asserts, and the semidefinite results of §5 and Corollary 6.2. A trivializing reading, such as stating the cut condition against a junk-valued supremum or replacing Z∗Z^*Z∗ by a free variable, is excluded by the encodings above.

The development needs only finite sums over Fin types and real arithmetic; the model of identical-machine scheduling under Smith's rule and the closed form of (CQP) are reusable for other results on P ∣ ∣∑wjCjP\,|\,|\sum w_jC_jP∣∣∑wj​Cj​. Proofs of the milestones, alternative proofs of Lemma 2.5 (the KKT argument the paper mentions, or Goemans' symmetrization argument it gives), and a proof of Theorem 2.6 b) are all welcome.

Selected references

  • M. Skutella, Convex quadratic and semidefinite programming relaxations in scheduling, Journal of the ACM 48(2), 2001. https://doi.org/10.1145/375827.375840
  • W. E. Smith, Various optimizers for single-stage production, Naval Research Logistics Quarterly 3, 1956. https://doi.org/10.1002/nav.3800030106
  • M. X. Goemans and D. P. Williamson, Improved approximation algorithms for maximum cut and satisfiability problems using semidefinite programming, Journal of the ACM 42(6), 1995. https://doi.org/10.1145/227683.227684
  • A. Frieze and M. Jerrum, Improved approximation algorithms for MAX k-CUT and MAX BISECTION, Algorithmica 18, 1997. https://doi.org/10.1007/BF02523689
  • M. Skutella and G. J. Woeginger, A PTAS for minimizing the total weighted completion time on identical parallel machines, Mathematics of Operations Research 25(1), 2000. https://doi.org/10.1287/moor.25.1.63.15212
  • S. Sahni, Algorithms for scheduling independent tasks, Journal of the ACM 23(1), 1976. https://doi.org/10.1145/321921.321934
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Operations ResearchOptimization·Captain: mikedeng1

A Combinatorial Algorithm Minimizing Submodular Functions in Strongly Polynomial Time II: Minimizing a Submodular Function over a Ring Family Reduces to Minimizing over All SubsetsResearch Paper

Motivation

A submodular function on a finite set VVV is a function fff on subsets of VVV with f(X∪Y)+f(X∩Y)≤f(X)+f(Y)f(X \cup Y) + f(X \cap Y) \le f(X) + f(Y)f(X∪Y)+f(X∩Y)≤f(X)+f(Y). Minimizing such a function is one of the central tractable problems of combinatorial optimization: it contains minimum cuts in directed graphs, matroid intersection and polymatroid problems, and many scheduling and facility-location subproblems. Grötschel, Lovász and Schrijver showed in 1981 that it can be done in polynomial time with the ellipsoid method; in 2000, Schrijver (JCTB 80, 346–355) and, simultaneously, Iwata, Fleischer and Fujishige (J. ACM 48, 2001) gave the first combinatorial strongly polynomial algorithms.

In many applications the function is not defined on all subsets of VVV but only on a ring family: a collection closed under union and intersection, such as the order ideals of a precedence relation in scheduling, or the sets of a closure system. The last section of Schrijver's paper (§6, pp. 353–354) shows that nothing is lost: any algorithm minimizing submodular functions on all subsets of VVV also minimizes a submodular function given only on a ring family. This mission formalizes that reduction.

Setting

Let VVV be a finite set. A collection C\mathcal CC of subsets of VVV is a ring family if X∪Y∈CX \cup Y \in \mathcal CX∪Y∈C and X∩Y∈CX \cap Y \in \mathcal CX∩Y∈C whenever X,Y∈CX, Y \in \mathcal CX,Y∈C. A real function fff is submodular on C\mathcal CC if

f(X∪Y)+f(X∩Y)≤f(X)+f(Y)(X,Y∈C).f(X \cup Y) + f(X \cap Y) \le f(X) + f(Y) \qquad (X, Y \in \mathcal C).f(X∪Y)+f(X∩Y)≤f(X)+f(Y)(X,Y∈C).

Following the paper, C\mathcal CC is normalized: ∅∈C\emptyset \in \mathcal C∅∈C, V∈CV \in \mathcal CV∈C, and Mu≠MvM_u \ne M_vMu​=Mv​ for all u≠vu \ne vu=v, where MvM_vMv​ is the smallest set of C\mathcal CC containing vvv. (Elements with the same MvM_vMv​ can be identified.) Under this normalization C\mathcal CC is the family of lower ideals of a partial order on VVV.

For X⊆VX \subseteq VX⊆V, the closure X‾\overline XX is the smallest set of C\mathcal CC containing XXX. For v∈Vv \in Vv∈V, LvL_vLv​ is the largest set of C\mathcal CC not containing vvv. The paper defines weights

c(v):=max⁡{0, f(Lv)−f(Lv∪{v})}(23)c(v) := \max\{0,\ f(L_v) - f(L_v \cup \{v\})\} \qquad (23)c(v):=max{0, f(Lv​)−f(Lv​∪{v})}(23)

with the modular extension c(X):=∑v∈Xc(v)c(X) := \sum_{v \in X} c(v)c(X):=∑v∈X​c(v), and the function on all subsets of VVV

g(X):=f(X‾)+c(X‾)(X⊆V).(26)g(X) := f(\overline X) + c(\overline X) \qquad (X \subseteq V). \qquad (26)g(X):=f(X)+c(X)(X⊆V).(26)

In Lean, VVV is a type with [Fintype V] [DecidableEq V], subsets are Finset V, C\mathcal CC is C : Set (Finset V), and the objects above are IsRingFamily C, SubmodularOn C f, closure C X, M C v, L C v, cw C f v (for c(v)c(v)c(v)), csum C f X (for c(X)c(X)c(X)) and g C f X, all in the namespace SchrijverSFM.Ring.

Formalization targets

Goal: the reduction

Under the normalization above, for fff submodular on C\mathcal CC:

g is submodular on all subsets of V,g \text{ is submodular on all subsets of } V,g is submodular on all subsets of V,

and, if U⊆VU \subseteq VU⊆V minimizes g(U)−c(U)g(U) - c(U)g(U)−c(U) over all subsets of VVV, then U‾∈C\overline U \in \mathcal CU∈C and

f(U‾)≤f(T)for all T∈C.f(\overline U) \le f(T) \qquad \text{for all } T \in \mathcal C.f(U)≤f(T)for all T∈C.

Both conjuncts are needed: the second alone follows almost from the definitions, while the first is what makes an all-subsets algorithm applicable to g−cg - cg−c in the first place.

Milestones

  1. C\mathcal CC is the collection of all lower ideals of some partial order on VVV (p. 353).
  2. LvL_vLv​ is the largest set in C\mathcal CC not containing vvv, equal to the union of the MuM_uMu​ not containing vvv, and Lv∪{v}∈CL_v \cup \{v\} \in \mathcal CLv​∪{v}∈C (p. 353, (23)).
  3. The one-element step (25): f(X)≤f(Y)+c(v)f(X) \le f(Y) + c(v)f(X)≤f(Y)+c(v) for X,Y∈CX, Y \in \mathcal CX,Y∈C, Y=X∪{v}Y = X \cup \{v\}Y=X∪{v}, v∉Xv \notin Xv∈/X.
  4. Monotonicity (24): f(Y)+c(Y)≥f(X)+c(X)f(Y) + c(Y) \ge f(X) + c(X)f(Y)+c(Y)≥f(X)+c(X) for X⊆YX \subseteq YX⊆Y in C\mathcal CC.
  5. The closure identities X‾∪Y‾=X∪Y‾\overline X \cup \overline Y = \overline{X \cup Y}X∪Y=X∪Y and X‾∩Y‾⊇X∩Y‾\overline X \cap \overline Y \supseteq \overline{X \cap Y}X∩Y⊇X∩Y.
  6. Display (27): ggg is submodular.
  7. Transfer of minimizers: if UUU minimizes g−cg - cg−c over 2V2^V2V, then U‾\overline UU minimizes fff over C\mathcal CC.

Significance

The reduction means that a single algorithm for unconstrained submodular minimization serves for every ring family, given only the sets MvM_vMv​. This is how ring-family constrained problems (for example minimum-cost closures and precedence-constrained scheduling objectives) are routinely handed to general submodular-minimization codes, and it is the standard justification for stating submodular minimization algorithms over 2V2^V2V only.

On the formal side, the mission produces a small reusable layer on ring families of finite sets (closure operator, the lower-ideal representation, the largest set avoiding an element) together with the monotonization trick (24), which is of independent use whenever a function on a lattice of sets has to be made monotone by a modular correction. The result is classical and its proof in the paper is complete; to our knowledge no machine-checked version exists. Companion mission I of this series formalizes the algorithm of §§2–5 itself; this mission does not depend on it, since the algorithm enters only as the hypothesis that a minimizer UUU of g−cg - cg−c is given.

Difficulty

Every step is elementary, but two points are easy to get wrong. First, (24) is proved on the page by assuming Y=X∪{v}Y = X \cup \{v\}Y=X∪{v}; reducing the general case X⊆YX \subseteq YX⊆Y to such one-element steps inside C\mathcal CC requires the normalization Mu≠MvM_u \ne M_vMu​=Mv​: without it a ring family can jump by more than one element (for C={∅,V}\mathcal C = \{\emptyset, V\}C={∅,V} with ∣V∣=2|V| = 2∣V∣=2 the inequality (24) fails for suitable fff). Second, the weights c(v)c(v)c(v) evaluate fff at Lv∪{v}L_v \cup \{v\}Lv​∪{v}, which belongs to C\mathcal CC only because of the same normalization; a formalization that drops it lets values of fff outside C\mathcal CC leak into ccc and ggg. The submodularity proof (27) also needs the asymmetric closure facts — equality for unions but only containment for intersections — which is exactly why the monotonicity (24) is required.

Formalization scope

  • VVV is a finite type with decidable equality; subsets are Finset V; C\mathcal CC is a Set (Finset V).
  • fff is a real function on all of Finset V; only its values on C\mathcal CC matter, and under the hypotheses no other value enters ccc, ggg or the conclusions. The paper allows any ordered field; the formalization uses R\mathbb RR.
  • The normalization of p. 353 is assumed as hypotheses: ∅ ∈ C, Finset.univ ∈ C, and M C u ≠ M C v for u ≠ v. No hypothesis f(∅)=0f(\emptyset) = 0f(∅)=0 is made; §6 does not use it.
  • The closure is the intersection (Finset.inf) of the sets of C\mathcal CC containing XXX, and LvL_vLv​ the union (Finset.sup) of the sets of C\mathcal CC avoiding vvv; their default values on an empty family are never reached under the hypotheses.
  • c(X)c(X)c(X) is the modular extension ∑v∈Xc(v)\sum_{v \in X} c(v)∑v∈X​c(v); the max⁡{0,⋅}\max\{0, \cdot\}max{0,⋅} in (23) is kept, so c≥0c \ge 0c≥0.
  • Submodularity of ggg on all subsets is the published platform definition NonmonotoneSubmod.Shared.Submodular.
  • Not formalized: the running-time claims of §6 ("we can find ccc by 2∣V∣2|V|2∣V∣ oracle calls", strongly polynomial time) and the oracle model; there is no machine model.
  • The goal does not assume (24) or (27), and it is not the minimizer-transfer statement alone, which would be near-definitional.

Contributions welcome: proofs of the milestones in the order listed, general lemmas on closure operators of ring families of Finsets, and the lower-ideal representation, which is reusable beyond this mission.

Selected references

  • A. Schrijver, A combinatorial algorithm minimizing submodular functions in strongly polynomial time, J. Combin. Theory Ser. B 80 (2000), 346–355. https://doi.org/10.1006/jctb.2000.1989
  • S. Iwata, L. Fleischer, S. Fujishige, A combinatorial strongly polynomial algorithm for minimizing submodular functions, J. ACM 48 (2001), 761–777. https://doi.org/10.1145/502090.502096
  • M. Grötschel, L. Lovász, A. Schrijver, The ellipsoid method and its consequences in combinatorial optimization, Combinatorica 1 (1981), 169–197. https://doi.org/10.1007/BF02579273
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Probability·Captain: mikedeng1

Coalescents With Multiple Collisions 2: Coagulating an (α, θ) Partition by (β, θ/α) Equals Fragmenting an (αβ, θ) Partition by (α, −αβ)Research Paper

Motivation

Random partitions of the positive integers N={1,2,… }\mathbb N=\{1,2,\dots\}N={1,2,…} are the common language of population genetics, Bayesian nonparametrics and the theory of coalescent processes. When a sample of genes, customers or particles is grouped into classes, the grouping is a partition, and in most models its law is exchangeable: it does not depend on the labels. The best-known example is the Ewens sampling formula of population genetics (Ewens 1972); Kingman's representation theory (Kingman 1978) describes all exchangeable random partitions of N\mathbb NN.

Pitman's two-parameter family of exchangeable partitions, the (α,θ)(\alpha,\theta)(α,θ) partitions (Pitman 1995; Pitman and Yor 1997), contains Ewens' family as α=0\alpha=0α=0 and is the partition counterpart of the two-parameter Poisson–Dirichlet distribution. Theorem 12 of Pitman 1999 shows that two natural random operations act on this family in a dual way: merging blocks of an (α,θ)(\alpha,\theta)(α,θ) partition according to an independent exchangeable partition (coagulation) and splitting each block of an (αβ,θ)(\alpha\beta,\theta)(αβ,θ) partition by independent exchangeable partitions (fragmentation) produce the same joint law of a fine and a coarse partition. The paper uses it to describe the Bolthausen–Sznitman coalescent (Bolthausen and Sznitman 1998).

Timeline. 1972: Ewens' sampling formula, the case α=0\alpha=0α=0. 1978: Kingman's correspondence between exchangeable partitions and random mass partitions. 1995: Pitman introduces exchangeable partition probability functions and the (α,θ)(\alpha,\theta)(α,θ) formula (15). 1997: Pitman and Yor study the two-parameter Poisson–Dirichlet law. 1999: this paper proves the coagulation–fragmentation duality (Theorem 12) and its sharper converse, by reduction to an identity between explicit formulas. The duality is treated again in Pitman's lecture notes Combinatorial Stochastic Processes (2006).

Setting

A partition of a set is a collection of disjoint nonempty blocks whose union is the set. Write Pn\mathcal P_nPn​ for the partitions of [n]={1,…,n}[n]=\{1,\dots,n\}[n]={1,…,n} and P∞\mathcal P_\inftyP∞​ for those of N\mathbb NN; the restriction RnπR_n\piRn​π of π∈P∞\pi\in\mathcal P_\inftyπ∈P∞​ to [n][n][n] keeps the nonempty sets A∩[n]A\cap[n]A∩[n]. P∞\mathcal P_\inftyP∞​ carries the σ\sigmaσ-algebra generated by the RnR_nRn​. Writing π={A1,A2,… }\pi=\{A_1,A_2,\dots\}π={A1​,A2​,…} lists the blocks in increasing order of least elements.

A random partition Π\PiΠ of N\mathbb NN is exchangeable with EPF ppp if for every nnn and every partition {B1,…,Bk}\{B_1,\dots,B_k\}{B1​,…,Bk​} of [n][n][n],

P(RnΠ={B1,…,Bk})=p(∣B1∣,…,∣Bk∣).\mathbb P\big(R_n\Pi=\{B_1,\dots,B_k\}\big)=p(|B_1|,\dots,|B_k|).P(Rn​Π={B1​,…,Bk​})=p(∣B1​∣,…,∣Bk​∣).

For 0≤α<10\le\alpha<10≤α<1 and θ>−α\theta>-\alphaθ>−α the (α,θ)(\alpha,\theta)(α,θ) EPF is

pα,θ(n1,…,nk)=[θ/α]k[θ]n∏i=1k−[−α]ni,[x]m=∏i=1m(x+i−1),n=∑ini,p_{\alpha,\theta}(n_1,\dots,n_k)=\frac{[\theta/\alpha]_k}{[\theta]_n}\prod_{i=1}^k-[-\alpha]_{n_i},\qquad [x]_m=\prod_{i=1}^m(x+i-1),\quad n=\textstyle\sum_i n_i,pα,θ​(n1​,…,nk​)=[θ]n​[θ/α]k​​i=1∏k​−[−α]ni​​,[x]m​=i=1∏m​(x+i−1),n=∑i​ni​,

with factors of α\alphaα and θ\thetaθ cancelled before evaluation when α=0\alpha=0α=0 or θ=0\theta=0θ=0. An (α,θ)(\alpha,\theta)(α,θ) partition is an exchangeable random partition with EPF pα,θp_{\alpha,\theta}pα,θ​.

Coagulation (Definition 5): for π={A1,A2,… }\pi=\{A_1,A_2,\dots\}π={A1​,A2​,…} and γ={B1,B2,… }\gamma=\{B_1,B_2,\dots\}γ={B1​,B2​,…}, the γ\gammaγ-coagulation of π\piπ has blocks ⋃j∈BiAj\bigcup_{j\in B_i}A_j⋃j∈Bi​​Aj​. Π′\Pi'Π′ is a ppp-coagulation of Π\PiΠ if, given Π=π\Pi=\piΠ=π, it is the γ\gammaγ-coagulation of π\piπ for an independent γ\gammaγ with EPF ppp. Fragmentation (Definition 11): Π\PiΠ is a ppp-fragmentation of Π′\Pi'Π′ if, given Π′=π′\Pi'=\pi'Π′=π′, Π\PiΠ restricted to the mmm-th block of π′\pi'π′ equals Γ(m)\Gamma^{(m)}Γ(m) restricted to that block, for independent Γ(1),Γ(2),…\Gamma^{(1)},\Gamma^{(2)},\dotsΓ(1),Γ(2),… with EPF ppp. In Lean these are coag, frag, pdEPF and IsEPFLaw in LambdaCoalescent.CoagFrag.Setting.

Formalization targets

Goal: Theorem 12

For 0<α<10<\alpha<10<α<1, 0≤β<10\le\beta<10≤β<1, θ>−αβ\theta>-\alpha\betaθ>−αβ, the following are equivalent: (i) Π\PiΠ is an (α,θ)(\alpha,\theta)(α,θ) partition and Π′\Pi'Π′ is a (β,θ/α)(\beta,\theta/\alpha)(β,θ/α)-coagulation of Π\PiΠ; (ii) Π′\Pi'Π′ is an (αβ,θ)(\alpha\beta,\theta)(αβ,θ) partition and Π\PiΠ is an (α,−αβ)(\alpha,-\alpha\beta)(α,−αβ)-fragmentation of Π′\Pi'Π′. Formally, with laws μ,ν,ρ,κ\mu,\nu,\rho,\kappaμ,ν,ρ,κ of EPFs pα,θ,pβ,θ/α,pαβ,θ,pα,−αβp_{\alpha,\theta},p_{\beta,\theta/\alpha},p_{\alpha\beta,\theta},p_{\alpha,-\alpha\beta}pα,θ​,pβ,θ/α​,pαβ,θ​,pα,−αβ​:

(μ⊗ν){(π,γ):(π,coag(π,γ))∈S}=(ρ⊗κ⊗N){(π′,Γ):(frag(π′,Γ),π′)∈S}(\mu\otimes\nu)\{(\pi,\gamma):(\pi,\mathrm{coag}(\pi,\gamma))\in S\}=(\rho\otimes\kappa^{\otimes\mathbb N})\{(\pi',\Gamma):(\mathrm{frag}(\pi',\Gamma),\pi')\in S\}(μ⊗ν){(π,γ):(π,coag(π,γ))∈S}=(ρ⊗κ⊗N){(π′,Γ):(frag(π′,Γ),π′)∈S}

for every measurable S⊆P∞×P∞S\subseteq\mathcal P_\infty\times\mathcal P_\inftyS⊆P∞​×P∞​.

Milestones

  1. Lemma 9 (existence): for 0≤α<10\le\alpha<10≤α<1, θ>−α\theta>-\alphaθ>−α a law with EPF pα,θp_{\alpha,\theta}pα,θ​ exists.
  2. Lemma 34: Π2\Pi^2Π2 is a ppp-coagulation of Π1\Pi^1Π1 with EPF p1p_1p1​ iff P(Πn1=π1,Πn2=π2)=p1(a1,…,aK) p(j1,…,jk)\mathbb P(\Pi^1_n=\pi^1,\Pi^2_n=\pi^2)=p_1(a_1,\dots,a_K)\,p(j_1,\dots,j_k)P(Πn1​=π1,Πn2​=π2)=p1​(a1​,…,aK​)p(j1​,…,jk​) for refining pairs.
  3. Lemma 35: the fragmentation analogue, ∏ip^(ai,1,…,ai,ji) p2(b1,…,bk)\prod_i\hat p(a_{i,1},\dots,a_{i,j_i})\,p_2(b_1,\dots,b_k)∏i​p^​(ai,1​,…,ai,ji​​)p2​(b1​,…,bk​).
  4. The EPF identity in the proof of Theorem 12: (62) equals (63) for the four laws of Theorem 12.
  5. The sharper form: for parameters in PAR={0≤α<1,θ>−α}\mathrm{PAR}=\{0\le\alpha<1,\theta>-\alpha\}PAR={0≤α<1,θ>−α} the two joint laws agree iff αf=α\alpha_f=\alphaαf​=α, θf=−α1=−ααc\theta_f=-\alpha_1=-\alpha\alpha_cθf​=−α1​=−ααc​, θc=θ/α\theta_c=\theta/\alphaθc​=θ/α, θ1=θ\theta_1=\thetaθ1​=θ (64).

Significance

Theorem 12 identifies one law of a nested pair of exchangeable partitions from both ends. Read from (i) to (ii), it shows that coagulating an (α,θ)(\alpha,\theta)(α,θ) partition by an independent (β,θ/α)(\beta,\theta/\alpha)(β,θ/α) partition yields an (αβ,θ)(\alpha\beta,\theta)(αβ,θ) partition; read backwards, that an (αβ,θ)(\alpha\beta,\theta)(αβ,θ) partition fragmented by (α,−αβ)(\alpha,-\alpha\beta)(α,−αβ) partitions yields an (α,θ)(\alpha,\theta)(α,θ) partition. Through Kingman's correspondence it gives Corollary 13 on Poisson–Dirichlet laws, and with β=0\beta=0β=0 it connects the two-parameter family with Ewens' family. In the paper it is the tool for describing the Bolthausen–Sznitman coalescent through Poisson–Dirichlet laws. The sharper form shows the parameter relations (64) are forced.

The theorem has been proved since 1999. What this mission adds is a machine-checked development: exchangeable random partitions of N\mathbb NN with their EPFs, the coagulation and fragmentation kernels, and the reduction of identities between laws on P∞\mathcal P_\inftyP∞​ to identities between finite-dimensional formulas. None of these objects is in Mathlib, and no formalization of the duality is known.

Difficulty

The algebraic heart, the EPF identity, is a finite computation with rising factorials. The difficulty is measure-theoretic and combinatorial. A law on P∞\mathcal P_\inftyP∞​ must be pinned down by its values on the cylinder events {Rnπ=πn}\{R_n\pi=\pi_n\}{Rn​π=πn​}. Computing P(RnΠ=π1,RnΠ′=π2)\mathbb P(R_n\Pi=\pi^1,R_n\Pi'=\pi^2)P(Rn​Π=π1,Rn​Π′=π2) under the coagulation kernel requires that the blocks of π\piπ meeting [n][n][n] are exactly the first KKK blocks in order of least elements, and that the induced partition of [K][K][K] has law given by the EPF; under the fragmentation kernel it requires the independence of the Γ(m)\Gamma^{(m)}Γ(m) and that the restriction of an exchangeable partition to an arbitrary finite set (not an initial segment [b][b][b]) is governed by the same EPF. The converse in Lemmas 34 and 35 needs the bookkeeping that the formula on refining pairs exhausts total mass. Lemma 9 is an existence theorem for a projective family of laws, which the paper cites rather than proves.

Formalization scope

A partition of N\mathbb NN is an equivalence relation on Lean's N={0,1,… }\mathbb N=\{0,1,\dots\}N={0,1,…} (PInf := Setoid ℕ), a partition of [n][n][n] one on Fin n; labels shift by one, which preserves the order of least elements, and block indices are 0-based. The σ\sigmaσ-algebra on PInf is generated by the coordinates i∼πji\sim_\pi ji∼π​j, equivalently by the RnR_nRn​. Coagulation is stated with γ∈P∞\gamma\in\mathcal P_\inftyγ∈P∞​ (Definition 5's case n=∞n=\inftyn=∞). The EPF is the cancelled form

pα,θ(n1,…,nk)=∏i=1k−1(θ+iα)[θ+1]n−1∏i=1k[1−α]ni−1,p_{\alpha,\theta}(n_1,\dots,n_k)=\frac{\prod_{i=1}^{k-1}(\theta+i\alpha)}{[\theta+1]_{n-1}}\prod_{i=1}^k[1-\alpha]_{n_i-1},pα,θ​(n1​,…,nk​)=[θ+1]n−1​∏i=1k−1​(θ+iα)​i=1∏k​[1−α]ni​−1​,

equal to (15) for α,θ≠0\alpha,\theta\ne0α,θ=0; this is needed because θf=−αβ=0\theta_f=-\alpha\beta=0θf​=−αβ=0 at β=0\beta=0β=0. Conditional laws "for all π\piπ" are encoded as joint laws, and equalities of laws are stated on preimages of measurable sets, so no Measure.map of an unproved-measurable map appears. Fragmenting partitions are one sample of Measure.infinitePi (fun _ => κ). In the sharper form, θc=θ/α\theta_c=\theta/\alphaθc​=θ/α is written as αθc=θ\alpha\theta_c=\thetaαθc​=θ, since PAR allows α=0\alpha=0α=0.

Not formalized: the stick-breaking characterization (12)–(13) in Lemma 9, Corollary 13 and Kingman's correspondence, and the auxiliary fact "∏[−α]ni=cn,k∏[−β]ni⇒α=β\prod[-\alpha]_{n_i}=c_{n,k}\prod[-\beta]_{n_i}\Rightarrow\alpha=\beta∏[−α]ni​​=cn,k​∏[−β]ni​​⇒α=β", which as printed fails at α=0\alpha=0α=0.

A formalization in which no measure satisfies IsEPFLaw (pdEPF α θ) would make Theorem 12 and Lemmas 34–35 vacuous; Lemma 9 rules this out and must be proved for the parameters used, not assumed.

Infrastructure needed: cylinder-set uniqueness on PInf, the law of the restriction of an exchangeable partition to a finite set, block enumeration by least elements, and rising-factorial algebra (ascPochhammer). The partition, EPF and kernel definitions are reusable for any work on exchangeable partitions, Chinese restaurant processes or Λ\LambdaΛ-coalescents. Proofs of Lemma 9, of Lemmas 34–35 and of the EPF identity are each welcome as independent contributions.

Selected references

  • J. Pitman, Coalescents with multiple collisions, Ann. Probab. 27(4) (1999), 1870–1902. https://doi.org/10.1214/aop/1022874819
  • J. Pitman, Exchangeable and partially exchangeable random partitions, Probab. Theory Related Fields 102 (1995), 145–158. https://doi.org/10.1007/BF01213386
  • J. Pitman and M. Yor, The two-parameter Poisson–Dirichlet distribution derived from a stable subordinator, Ann. Probab. 25(2) (1997), 855–900. https://doi.org/10.1214/aop/1024404422
  • J. F. C. Kingman, The representation of partition structures, J. London Math. Soc. (2) 18 (1978), 374–380. https://doi.org/10.1112/jlms/s2-18.2.374
  • W. J. Ewens, The sampling theory of selectively neutral alleles, Theor. Popul. Biol. 3 (1972), 87–112. https://doi.org/10.1016/0040-5809(72)90035-4
  • E. Bolthausen and A.-S. Sznitman, On Ruelle's probability cascades and an abstract cavity method, Comm. Math. Phys. 197 (1998), 247–276. https://doi.org/10.1007/s002200050450
  • J. Pitman, Combinatorial Stochastic Processes, Lecture Notes in Mathematics 1875, Springer, 2006. https://doi.org/10.1007/b11601500
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Information TheoryTheoretical Computer Science·Captain: mikedeng1

Fuzzy Extractors: How to Generate Strong Keys from Biometrics and Other Noisy Data 4: A Secure Sketch Correcting t Errors Has Residual Min-Entropy at Most L(M, t, m)Research Paper

Motivation

Biometric readings, typed passphrases and physical measurements are secrets that are never reproduced exactly: a second reading w′w'w′ of the same fingerprint differs from the enrolled reading www in a few positions. Dodis, Ostrovsky, Reyzin and Smith (arXiv:cs/0602007, SIAM J. Comput. 38(1), 2008) introduced the secure sketch, public helper data that lets anyone holding a nearby w′w'w′ recover www while leaking as little as possible about www, and the fuzzy extractor, which in addition turns www into a nearly uniform key. Their constructions for the Hamming, set-difference and edit metrics are the standard reference for this primitive in cryptography.

A construction is judged by its entropy loss: how much min-entropy of the secret the published sketch destroys. To call a construction optimal one needs a lower bound on that loss which holds for every sketch, whatever its algorithm. Appendix C of the paper supplies such a bound from coding theory. It shows that, for uniformly distributed inputs, the code-offset sketch for the Hamming metric and the set-difference sketches lose no more entropy than any sketch must. This mission formalizes that bound, Lemma C.1.

Setting

A metric space is a finite set M\mathcal MM with an integer-valued distance dis\mathrm{dis}dis; the paper also requires dis(x,y)=0\mathrm{dis}(x,y)=0dis(x,y)=0 exactly when x=yx=yx=y, symmetry, and the triangle inequality (§2.1, p. 7). Random variables are identified with their laws; logarithms are base 2.

The min-entropy of a random variable AAA is H∞(A)=−log⁡max⁡aPr⁡[A=a]\mathbf H_\infty(A) = -\log \max_a \Pr[A=a]H∞​(A)=−logmaxa​Pr[A=a]. For a pair (A,B)(A,B)(A,B) the average min-entropy is

H~∞(A∣B)=−log⁡Eb←B[max⁡aPr⁡[A=a∣B=b]],\tilde{\mathbf H}_\infty(A\mid B) = -\log \mathbb E_{b\leftarrow B}\Big[\max_a \Pr[A=a\mid B=b]\Big],H~∞​(A∣B)=−logEb←B​[amax​Pr[A=a∣B=b]],

the negative logarithm of the probability that an adversary who sees BBB guesses AAA.

An (M,m,m~,t)(\mathcal M,m,\tilde m,t)(M,m,m~,t)-secure sketch (Definition 3, p. 11) is a pair of randomized procedures: SS\mathsf{SS}SS maps w∈Mw\in\mathcal Mw∈M to a string sss, and Rec\mathsf{Rec}Rec maps (w′,s)(w',s)(w′,s) back to M\mathcal MM. Correctness: if dis(w,w′)≤t\mathrm{dis}(w,w')\le tdis(w,w′)≤t then Rec(w′,SS(w))=w\mathsf{Rec}(w',\mathsf{SS}(w))=wRec(w′,SS(w))=w. Security: for every distribution WWW on M\mathcal MM with H∞(W)≥m\mathbf H_\infty(W)\ge mH∞​(W)≥m, one has H~∞(W∣SS(W))≥m~\tilde{\mathbf H}_\infty(W\mid \mathsf{SS}(W))\ge\tilde mH~∞​(W∣SS(W))≥m~.

An (M,K,t)(\mathcal M,K,t)(M,K,t)-code (§2.2, p. 8) is a set C⊆MC\subseteq\mathcal MC⊆M of KKK points such that every ball {c:dis(w,c)≤t}\{c : \mathrm{dis}(w,c)\le t\}{c:dis(w,c)≤t} around a point w∈Mw\in\mathcal Mw∈M contains at most one codeword. For S⊆MS\subseteq\mathcal MS⊆M, K(M,t,S)K(\mathcal M,t,S)K(M,t,S) is the largest KKK for which an (M,K,t)(\mathcal M,K,t)(M,K,t)-code lies inside SSS, and K(M,t)=K(M,t,M)K(\mathcal M,t)=K(\mathcal M,t,\mathcal M)K(M,t)=K(M,t,M). Finally (Appendix C, p. 40)

L(M,t,m)=log⁡(min⁡∣S∣=2mK(M,t,S)),L(\mathcal M,t,m) = \log\Big(\min_{|S|=2^m} K(\mathcal M,t,S)\Big),L(M,t,m)=log(∣S∣=2mmin​K(M,t,S)),

the worst case, over all sets SSS of 2m2^m2m points, of the largest ttt-error-correcting code inside SSS.

In the Lean development these are minEntropy, avgMinEntropy, IsSecureSketch, IsCode, K dis t S and L dis t N hN, in the namespace FuzzyExtractors.LowerBound.

Formalization targets

Goal: Lemma C.1

If (SS,Rec)(\mathsf{SS},\mathsf{Rec})(SS,Rec) is an (M,m,m′,t)(\mathcal M,m,m',t)(M,m,m′,t)-secure sketch and 2m=N2^m=N2m=N is a natural number with N≤∣M∣N\le|\mathcal M|N≤∣M∣, then

m′≤L(M,t,m).m' \le L(\mathcal M,t,m).m′≤L(M,t,m).

The bound fixes no particular metric and no particular sketch; it is stated for every finite integer-valued metric and every sketch, with an arbitrary type of sketch values.

Milestones

The proof in Appendix C has three steps, each a milestone. For WWW uniform on a set SSS of 2m2^m2m points:

  1. some sketch value vvv has Pr⁡[SS(W)=v]>0\Pr[\mathsf{SS}(W)=v]>0Pr[SS(W)=v]>0 and H∞(W∣SS(W)=v)≥m′\mathbf H_\infty(W\mid\mathsf{SS}(W)=v)\ge m'H∞​(W∣SS(W)=v)≥m′;
  2. the set TTT of points of SSS that can produce vvv has ∣T∣≥2m′|T|\ge 2^{m'}∣T∣≥2m′;
  3. under the correctness property alone, TTT is an (M,∣T∣,t)(\mathcal M,|T|,t)(M,∣T∣,t)-code.

A fourth milestone is the lemma's second sentence: when m=log⁡∣M∣m=\log|\mathcal M|m=log∣M∣,

m′≤log⁡K(M,t).m' \le \log K(\mathcal M,t).m′≤logK(M,t).

Significance

The result. Lemma C.1 converts any secure sketch into a code: the residual entropy m′m'm′ of the sketch can be no larger than the logarithm of the best ttt-error-correcting code inside a worst-case set of 2m2^m2m points. For uniform inputs it says m′≤log⁡K(M,t)m'\le\log K(\mathcal M,t)m′≤logK(M,t), so the entropy loss is at least log⁡∣M∣−log⁡K(M,t)\log|\mathcal M|-\log K(\mathcal M,t)log∣M∣−logK(M,t). The code-offset construction built from an optimal code attains that loss, which is how the paper certifies its Hamming and set-difference constructions as optimal for uniform passwords. The companion Lemma C.2 gives the analogous bound for fuzzy extractors, up to a −log⁡(1−ε)-\log(1-\varepsilon)−log(1−ε) term. Lower bounds of this shape are what separate an efficient construction from a provably best one.

Formalizing it. The lemma has a complete, short proof in the paper; it has no machine-checked proof that we know of. The mission produces a checked version of the bound for arbitrary finite integer metrics and arbitrary randomized sketches, together with reusable definitions of min-entropy and average min-entropy on probability mass functions, of secure sketches, and of ttt-error-correcting codes in a general finite metric space.

Difficulty

The combinatorial core, that the preimage set of one sketch value is a code, is immediate from correctness. The work lies in the probabilistic bookkeeping. One must pass from an average bound on guessing probability to a single good sketch value, which requires handling sketch values of probability zero and an infinite (possibly uncountable) space of sketch outputs. One must then pass from "Pr⁡[W=w∣v]≤2−m′\Pr[W=w\mid v]\le 2^{-m'}Pr[W=w∣v]≤2−m′ for all www" to "at least 2m′2^{m'}2m′ points carry positive probability", and compute the min-entropy of a uniform distribution exactly. Finally the bound must be transferred to the minimum over all sets of size 2m2^m2m, a finite but large family. A first idea, to reason only about deterministic sketches, does not suffice: Definition 3 allows randomized SS\mathsf{SS}SS and Rec\mathsf{Rec}Rec, and the statement quantifies over them.

Formalization scope

Laws are Mathlib PMFs; randomized procedures are maps into PMF. The sketch value type V is arbitrary, standing in for {0,1}∗\{0,1\}^*{0,1}∗. Average min-entropy is written in the equivalent joint form −log⁡∑bmax⁡aPr⁡[A=a∧B=b]-\log\sum_b\max_a\Pr[A=a\wedge B=b]−log∑b​maxa​Pr[A=a∧B=b], which avoids conditioning on null events. "Min-entropy mmm" is read as H∞(W)≥m\mathbf H_\infty(W)\ge mH∞​(W)≥m, and m,m′m, m'm,m′ are real numbers. Rec\mathsf{Rec}Rec is randomized and correctness asks that it return www with probability one for every possible sketch value of www.

The explicit choices:

  • L(M,t,m)L(\mathcal M,t,m)L(M,t,m) is defined only when 2m2^m2m is a natural number N≤∣M∣N\le|\mathcal M|N≤∣M∣ (otherwise the minimum ranges over no sets); the goal takes such an NNN with (N:R)=2m(N:\mathbb R)=2^m(N:R)=2m. The printed K(n,t,S)K(n,t,S)K(n,t,S) inside the minimum is read as K(M,t,S)K(\mathcal M,t,S)K(M,t,S), and the printed L(M,t,n)L(\mathcal M,t,n)L(M,t,n) as L(M,t,log⁡∣M∣)L(\mathcal M,t,\log|\mathcal M|)L(M,t,log∣M∣).
  • The code-bound statements explicitly assume all metric axioms from §2.1: zero distance exactly for equal points, symmetry, and the triangle inequality. Symmetry is used because the ball condition of a code measures dis(w′,c)\mathrm{dis}(w',c)dis(w′,c), while correctness is stated for dis(c,w′)\mathrm{dis}(c,w')dis(c,w′). The second-sentence milestone also assumes M\mathcal MM nonempty, which the paper leaves implicit.
  • The hypothesis is the worst-case secure sketch of Definition 3, not the average-case one of Definition 4, which would weaken the lemma.
  • Definition 3's efficiency requirement is dropped; no complexity theory is formalized, and no placeholder predicate replaces it.

Two trivializing formalizations are ruled out: K(M,t,S)K(\mathcal M,t,S)K(M,t,S) is the largest size of a code in SSS, not a count of codes; and a code is defined by the ball condition, not by "distinct codewords are at distance greater than ttt", which is weaker in the absence of the triangle inequality.

Needed infrastructure: the min-entropy of a uniform PMF on a finset, the averaging argument over a tsum of ENNReal values, and monotonicity of Finset.inf'. The min-entropy and code definitions are reusable by every other mission of this paper. Contributions are welcome on any milestone, in any order.

Selected references

  • Y. Dodis, R. Ostrovsky, L. Reyzin, A. Smith, Fuzzy Extractors: How to Generate Strong Keys from Biometrics and Other Noisy Data, SIAM J. Comput. 38(1):97–139, 2008. arXiv:cs/0602007v4. https://arxiv.org/abs/cs/0602007 — DOI https://doi.org/10.1137/060651380
  • A. Juels, M. Wattenberg, A Fuzzy Commitment Scheme, ACM CCS 1999. https://doi.org/10.1145/319709.319714
  • R. Renner, S. Wolf, Simple and Tight Bounds for Information Reconciliation and Privacy Amplification, ASIACRYPT 2005. https://doi.org/10.1007/11593447_11
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AlgebraInformation TheoryTheoretical Computer Science·Captain: mikedeng1

Fuzzy Extractors: How to Generate Strong Keys from Biometrics and Other Noisy Data 2: The Improved Juels–Sudan Sketch Is an Average-Case Secure Sketch for s-Element Sets with Entropy Loss t log nResearch Paper

Motivation

Many security-relevant inputs are noisy and do not repeat exactly: fingerprint minutiae, iris codes, lists of personal preferences, the set of features extracted from a document. A cryptographic key derived from such an input must be reproducible from a later, slightly different reading, without storing the input itself. Dodis, Ostrovsky, Reyzin and Smith (SIAM J. Comput. 38(1), 2008; arXiv:cs/0602007) introduced secure sketches for this purpose: public helper data that lets the holder of a nearby reading recover the original exactly, while revealing as little as possible about it.

When the input is a set of features, the natural distance is the size of the symmetric difference. Juels and Sudan proposed the fuzzy vault for this setting (Des. Codes Cryptogr. 38, 2006). Section 6.2 of Dodis et al. gives a simpler, deterministic variant, the improved Juels–Sudan sketch (Construction 5), whose storage and entropy loss are both tlog⁡nt\log ntlogn for sss-element subsets of an nnn-element universe, independent of sss. The paper's Theorem 6.1 is the analysis of that construction. This mission formalizes it.

Setting

Laws and average min-entropy. A random variable is identified with its law. For a pair (A,B)(A,B)(A,B),

H~∞(A∣B)=−log⁡2∑bmax⁡aPr⁡[A=a∧B=b],\tilde H_\infty(A\mid B) = -\log_2 \sum_b \max_a \Pr[A=a \wedge B=b],H~∞​(A∣B)=−log2​b∑​amax​Pr[A=a∧B=b],

which equals −log⁡2Eb←B[max⁡aPr⁡[A=a∣B=b]]-\log_2 \mathbb E_{b\leftarrow B}\big[\max_a\Pr[A=a\mid B=b]\big]−log2​Eb←B​[maxa​Pr[A=a∣B=b]], the average min-entropy of §2.4: the negative logarithm of the best probability of guessing AAA after seeing BBB.

Secure sketches. Let M\mathcal MM be a set with an integer-valued distance dis\mathrm{dis}dis. A pair of procedures (SS,Rec)(\mathsf{SS},\mathsf{Rec})(SS,Rec) is an average-case (M,m,m~,t)(\mathcal M,m,\tilde m,t)(M,m,m~,t)-secure sketch (Definitions 3 and 4) if

  1. (correctness) dis(w,w′)≤t\mathrm{dis}(w,w')\le tdis(w,w′)≤t implies Rec(w′,SS(w))=w\mathsf{Rec}(w',\mathsf{SS}(w))=wRec(w′,SS(w))=w;
  2. (security) for all random variables WWW over M\mathcal MM and III with H~∞(W∣I)≥m\tilde H_\infty(W\mid I)\ge mH~∞​(W∣I)≥m, one has H~∞(W∣(SS(W),I))≥m~\tilde H_\infty(W\mid (\mathsf{SS}(W),I))\ge\tilde mH~∞​(W∣(SS(W),I))≥m~.

The difference m−m~m-\tilde mm−m~ is the entropy loss.

The metric. For a finite universe U\mathcal UU with n=∣U∣n=|\mathcal U|n=∣U∣, SDifs(U)\mathrm{SDif}_s(\mathcal U)SDifs​(U) is the set of sss-element subsets of U\mathcal UU with dis(w,w′)=∣w△w′∣\mathrm{dis}(w,w')=|w\triangle w'|dis(w,w′)=∣w△w′∣.

Construction 5. Identify U\mathcal UU with a finite field F\mathcal FF of nnn elements and let t≤st\le st≤s.

  • SS(w)\mathsf{SS}(w)SS(w): form p′(z)=∏x∈w(z−x)p'(z)=\prod_{x\in w}(z-x)p′(z)=∏x∈w​(z−x), monic of degree sss, and output its coefficients as−1,…,as−ta_{s-1},\dots,a_{s-t}as−1​,…,as−t​ of degree s−1s-1s−1 down to s−ts-ts−t.
  • Rec(w′,(as−1,…,as−t))\mathsf{Rec}(w',(a_{s-1},\dots,a_{s-t}))Rec(w′,(as−1​,…,as−t​)): form phigh(z)=zs+∑i=s−ts−1aizip_{\mathrm{high}}(z)=z^s+\sum_{i=s-t}^{s-1}a_iz^iphigh​(z)=zs+∑i=s−ts−1​ai​zi; find a polynomial plowp_{\mathrm{low}}plow​ of degree at most s−t−1s-t-1s−t−1 that agrees with phighp_{\mathrm{high}}phigh​ on at least s−t/2s-t/2s−t/2 points of w′w'w′ (Reed–Solomon decoding); output the roots of phigh−plowp_{\mathrm{high}}-p_{\mathrm{low}}phigh​−plow​.

The Lean development names these charPoly, sketchCoeffs, sketch, pHigh, Step3Cond and recover, and the metric SDifS with distance sdifDist, in the namespace FuzzyExtractors.ImprovedJS.

Formalization targets

Goal: Theorem 6.1

For every finite field F\mathcal FF with nnn elements, all t≤st\le st≤s and every real mmm,

(SS,Rec) is an average-case (SDifs(F), m, m−tlog⁡2n, t)-secure sketch.(\mathsf{SS},\mathsf{Rec})\ \text{is an average-case}\ \big(\mathrm{SDif}_s(\mathcal F),\,m,\,m-t\log_2 n,\,t\big)\text{-secure sketch}.(SS,Rec) is an average-case (SDifs​(F),m,m−tlog2​n,t)-secure sketch.

The goal is uniform in mmm: the entropy loss tlog⁡nt\log ntlogn does not depend on the input distribution.

Milestones (the correctness half)

The paper's argument on p. 21 splits into four steps, each a milestone:

  1. p′=phigh+qp'=p_{\mathrm{high}}+qp′=phigh​+q with deg⁡q≤s−t−1\deg q\le s-t-1degq≤s−t−1, and phigh=−qp_{\mathrm{high}}=-qphigh​=−q on www;
  2. ∣w△w′∣≤t|w\triangle w'|\le t∣w△w′∣≤t implies ∣w∩w′∣≥s−t/2|w\cap w'|\ge s-t/2∣w∩w′∣≥s−t/2, so −q-q−q is a valid plowp_{\mathrm{low}}plow​;
  3. any two valid plowp_{\mathrm{low}}plow​ coincide;
  4. Rec(w′,SS(w))=w\mathsf{Rec}(w',\mathsf{SS}(w))=wRec(w′,SS(w))=w whenever ∣w△w′∣≤t|w\triangle w'|\le t∣w△w′∣≤t.

A fifth, off the goal's path, records Step 2's remark that the sketch consists of the first ttt elementary symmetric polynomials of www, up to sign.

The security half is the entropy bound: since SS\mathsf{SS}SS takes at most ntn^tnt values, H~∞(W∣(SS(W),I))≥H~∞(W∣I)−tlog⁡n\tilde H_\infty(W\mid(\mathsf{SS}(W),I))\ge\tilde H_\infty(W\mid I)-t\log nH~∞​(W∣(SS(W),I))≥H~∞​(W∣I)−tlogn (the paper cites its Lemma 3.1, which is posed in the first mission of this series and is not restated here).

Significance

The result. Theorem 6.1 gives a secure sketch for set difference whose sketch length and entropy loss are tlog⁡nt\log ntlogn, which the paper shows is essentially optimal when n≫sn\gg sn≫s (§6.2, via Lemma C.1 and a constant-weight code bound). It improves the original fuzzy vault, whose entropy loss the paper analyses in Appendix D and finds good only when the stored data is very large. Through the paper's generic composition with randomness extractors (Lemma 4.1), it yields fuzzy extractors for set-valued inputs in large universes, the regime of biometric feature sets.

Formalizing it. The theorem is proved in the paper; no machine-checked version exists on Prove2Me or, to our knowledge, elsewhere. A formal proof combines three pieces of reusable infrastructure: a probabilistic layer (average min-entropy of laws on arbitrary types, and the chain-rule-type bound for a function with few values), the combinatorics of symmetric differences of equal-size sets, and the algebra of Reed–Solomon unique decoding (a low-degree polynomial is determined by its values on enough points). Each of these is useful beyond this mission.

Difficulty

No step is deep; the difficulty is in the bookkeeping. The correctness argument relies on exact degree accounting: phighp_{\mathrm{high}}phigh​ must agree with p′p'p′ in every coefficient of degree at least s−ts-ts−t, so that the remainder has degree at most s−t−1s-t-1s−t−1, and the uniqueness count ("two candidates agree on at least s−ts-ts−t points") requires the threshold to be at least s−t/2s-t/2s−t/2; the paper's sentence says "more than", which does not support the argument as written. The roots of phigh−plowp_{\mathrm{high}}-p_{\mathrm{low}}phigh​−plow​ must be shown to form exactly the set www, with no multiplicities lost. The security half needs the average min-entropy of a joint law with a deterministic, ntn^tnt-valued component bounded uniformly over all auxiliary variables, including those with infinite or uncountable range, where sums are infinite sums of extended nonnegative reals.

Formalization scope

Conventions committed to in Lean:

  • Laws are PMFs; the procedures are kernels M → PMF S, here deterministic (PMF.pure). Average min-entropy is the joint form above, logarithms base 2, and the auxiliary III ranges over an arbitrary ι : Type (a superset of the paper's {0,1}∗\{0,1\}^*{0,1}∗), never restricted to finite types.
  • The universe is the field F\mathcal FF itself, [Field 𝔽] [Fintype 𝔽], with nnn = Fintype.card 𝔽; the paper's "nnn is a prime power" is then automatic.
  • The paper leaves t≤st\le st≤s implicit; every statement assumes it. No parity condition on ttt is imposed: "at least s−t/2s-t/2s−t/2" is written 2⋅#≥2s−t2\cdot\#\ge 2s-t2⋅#≥2s−t in N\mathbb NN, which covers odd ttt.
  • "Degree at most s−t−1s-t-1s−t−1" is degree < s - t, so plow=0p_{\mathrm{low}}=0plow​=0 when t=st=st=s.
  • The sketch is a vector in Ft\mathcal F^tFt indexed from 000: entry iii is the coefficient of degree s−1−is-1-is−1−i. The storage bound tlog⁡nt\log ntlogn holds by this type and is not restated.
  • Rec\mathsf{Rec}Rec takes an arbitrary valid plowp_{\mathrm{low}}plow​ (by choice) instead of running a decoding algorithm. The paper's "fail" output is encoded as returning w′w'w′, which only occurs when correctness makes no claim.
  • Running time is out of scope. Theorem 6.1's clause that SS\mathsf{SS}SS and Rec\mathsf{Rec}Rec run in time polynomial in sss, ttt and log⁡n\log nlogn is dropped, and no surrogate predicate replaces it.

A formalization that checks only correctness, drops or trivializes the entropy clause, or lets Rec\mathsf{Rec}Rec see www itself, would not be Theorem 6.1. The goal states both clauses through the definition of an average-case secure sketch, with Rec\mathsf{Rec}Rec given only w′w'w′ and the sketch.

Contributions welcome: proofs of the milestones, a general lemma bounding average min-entropy loss by the logarithm of the number of sketch values (the paper's Lemma 2.2(b) and Lemma 3.1), and Reed–Solomon uniqueness lemmas stated for reuse.

Selected references

  • Y. Dodis, R. Ostrovsky, L. Reyzin, A. Smith, Fuzzy Extractors: How to Generate Strong Keys from Biometrics and Other Noisy Data, SIAM J. Comput. 38(1):97–139, 2008. https://doi.org/10.1137/060651380 ; arXiv:cs/0602007v4, https://arxiv.org/abs/cs/0602007
  • A. Juels, M. Sudan, A Fuzzy Vault Scheme, Designs, Codes and Cryptography 38(2):237–257, 2006. https://doi.org/10.1007/s10623-005-6343-z
  • E. Agrell, A. Vardy, K. Zeger, Upper Bounds for Constant-Weight Codes, IEEE Trans. Inform. Theory 46(7):2373–2395, 2000. https://doi.org/10.1109/18.887851
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Theoretical Computer Science·Captain: marwahaha

3SUM in O(n^1.999112) Time on a Word RAMResearch Paper

Improve deterministic integer 3SUM to O(n1.999112)O(n^{1.999112})O(n1.999112) time in the foundation mission’s word-RAM model.

The existing Corollary 26 routine admits the tighter bound O(wD0.436+n2/D0.064)O(wD^{0.436}+n^2/D^{0.064})O(wD0.436+n2/D0.064). Keep D=⌊n1/18⌋D=\lfloor n^{1/18}\rfloorD=⌊n1/18⌋ and change the grouping parameter to g=⌈D0.032⌉g=\lceil D^{0.032}\rceilg=⌈D0.032⌉, implemented using the integer root of D4D^4D4 of order 125125125. Balancing the instance costs and scans gives an Exact Triangle saving of 2/11252/11252/1125, and the verified 3SUM reduction gives n2249/1125+o(1)n^{2249/1125+o(1)}n2249/1125+o(1) time.

The supporting theorem establishes every rational exponent r>2249/1125=1.999111…r>2249/1125=1.999111\ldotsr>2249/1125=1.999111…, including 1.9991121.9991121.999112. This changes the algorithm’s grouping parameter and improves the earlier cutoff 1.9991251.9991251.999125. All other model definitions and the shared reduction lemmas are reused.

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Theoretical Computer Science·Captain: marwahaha

3SUM in O(n^1.99913) Time on a Word RAMResearch Paper

Prove deterministic O(n1.99913)O(n^{1.99913})O(n1.99913) time for 3SUM on polynomially bounded integers, using the same word-RAM model and definitions as the foundation mission.

The existing uniform Exact Triangle bound has saving δ=0.00175\delta=0.00175δ=0.00175. The verified 3SUM reduction yields n2−δ/2+o(1)=n1.999125+o(1)n^{2-\delta/2+o(1)}=n^{1.999125+o(1)}n2−δ/2+o(1)=n1.999125+o(1) time, so every fixed rational exponent above 1.9991251.9991251.999125 is attainable, including 1.999131.999131.99913. This mission sharpens the bound extracted from the existing algorithm.

The supporting theorem covers all rational r>1.999125r>1.999125r>1.999125; it does not assert an exact O(n1.999125)O(n^{1.999125})O(n1.999125) bound. The proof reuses the shared, proved APSP and 3SUM lemmas from Anthropic’s formalization.

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Algorithmic Game TheoryMechanism Design·Captain: mikedeng1

Strategy-Proofness and Arrow's Conditions 3: With Indifference Allowed, a Strategy-Proof Voting Procedure with at Least Three Possible Outcomes Is DictatorialResearch Paper

Motivation

A committee that chooses one alternative by voting would like a procedure under which nobody gains by misreporting their preferences. Gibbard (Econometrica 41, 1973) and Satterthwaite (J. Econ. Theory 10, 1975) showed that, once at least three outcomes are possible, the only voting procedures with this property are dictatorial. The theorem is the starting point of the theory of strategy-proof mechanisms and of implementation theory.

Most proofs, including the main argument of Satterthwaite's paper, assume strict ballots: no voter is indifferent between two distinct alternatives. Real ballots, and most economic models of preferences, allow indifference. The last section of Satterthwaite's paper carries the theorem over to ballots that are arbitrary weak orders, by decomposing a voting procedure into a tie-breaking function followed by a strict voting procedure. This mission formalizes that extension.

Timeline. Gibbard (1973) proved the impossibility for game forms; the 1974 discussion paper formalized here proved it for strict ballots by induction on the number of voters (Theorem 1), allowing the range of the procedure to be a proper subset of the alternatives, and extended it to weak orders (Theorem 1′). Later short proofs (Barberà 1983; Benoît 2000; Reny 2001) also treat strict ballots.

Setting

A committee is a finite set InI_nIn​ of nnn individuals and a finite set SmS_mSm​ of mmm alternatives. A weak order RRR on SmS_mSm​ is a complete and transitive relation, with x R yx\,R\,yxRy read "xxx is preferred or indifferent to yyy"; its strict part is x Rˉ yx\,\bar R\,yxRˉy iff x R yx\,R\,yxRy and not y R xy\,R\,xyRx. The weak orders form πm\pi_mπm​. A strong order is a weak order with no indifference between distinct alternatives; the strong orders form ρm⊆πm\rho_m\subseteq\pi_mρm​⊆πm​. A ballot set is B=(B1,…,Bn)∈πmnB=(B_1,\dots,B_n)\in\pi_m^nB=(B1​,…,Bn​)∈πmn​.

A voting procedure is a map v:πmn→Smv:\pi_m^n\to S_mv:πmn​→Sm​. Its range is Tp=v(πmn)T_p=v(\pi_m^n)Tp​=v(πmn​), with p=∣Tp∣p=|T_p|p=∣Tp​∣. A strict voting procedure is a map ν:ρmn→Sm\nu:\rho_m^n\to S_mν:ρmn​→Sm​.

vvv is strategy-proof if there are no ballot set BBB, individual iii and ballot Bi′∈πmB_i'\in\pi_mBi′​∈πm​ with

v(B1,…,Bi′,…,Bn) Bˉi v(B1,…,Bi,…,Bn).v(B_1,\dots,B_i',\dots,B_n)\ \bar B_i\ v(B_1,\dots,B_i,\dots,B_n).v(B1​,…,Bi′​,…,Bn​) Bˉi​ v(B1​,…,Bi​,…,Bn​).

For a strict procedure, ballot sets and substituted ballots are strong orders.

vvv is dictatorial if some individual iii exists such that, for every ballot set BBB, the outcome v(B)v(B)v(B) is among the BiB_iBi​-maximal elements of TpT_pTp​: v(B) Bi yv(B)\,B_i\,yv(B)Bi​y for all y∈Tpy\in T_py∈Tp​.

A tie-breaking function is a map α:πmn→ρmn\alpha:\pi_m^n\to\rho_m^nα:πmn​→ρmn​ that keeps every strict preference: if C=α(B)C=\alpha(B)C=α(B) then x Bˉi yx\,\bar B_i\,yxBˉi​y implies x Cˉi yx\,\bar C_i\,yxCˉi​y. It is regular if there are fixed strong orders Q1,…,QnQ_1,\dots,Q_nQ1​,…,Qn​ such that every indifference x Bi yx\,B_i\,yxBi​y, y Bi xy\,B_i\,xyBi​x is broken as QiQ_iQi​ breaks it.

Formalization targets

Goal: Theorem 1′ (p. 43)

For n≥2n\ge 2n≥2 and m≥p≥3m\ge p\ge 3m≥p≥3, every strategy-proof voting procedure on weak-order ballots is dictatorial:

v strategy-proof, ∣Tp∣≥3 ⟹ ∃ i ∀B∈πmn ∀y∈Tp: v(B) Bi y.v \text{ strategy-proof},\ |T_p|\ge 3 \ \Longrightarrow\ \exists\, i\ \forall B\in\pi_m^n\ \forall y\in T_p:\ v(B)\,B_i\,y.v strategy-proof, ∣Tp​∣≥3 ⟹ ∃i ∀B∈πmn​ ∀y∈Tp​: v(B)Bi​y.

The converse fails once indifference is admissible: a dictator's ties may be broken by a manipulable rule, such as a Borda count of the other ballots (pp. 10–11). The goal is therefore a one-way implication.

Milestones

  1. Theorem 1 (p. 11), the strict case: for n≥1n\ge 1n≥1 and p≥3p\ge 3p≥3, a strict voting procedure is strategy-proof if and only if it is dictatorial.
  2. Lemma 9, first sentence (p. 41): if v=ν∘γv=\nu\circ\gammav=ν∘γ with ν\nuν strict and strategy-proof and γ\gammaγ a regular tie-breaking function, then vvv is strategy-proof.
  3. Lemma 9, second sentence (p. 41): every strategy-proof vvv can be written v=ν∘αv=\nu\circ\alphav=ν∘α with ν\nuν strict and strategy-proof and α\alphaα a tie-breaking function, not necessarily regular.

Significance

The result shows that allowing voters to express indifference does not escape the Gibbard–Satterthwaite impossibility: the dictatorial conclusion survives, and only the equivalence is lost. It is the form of the theorem most directly applicable to economic environments, where preference domains usually contain indifference, and the decomposition of Lemma 9 is the device by which strict-ballot results are transferred to weak-order ballots throughout §6 of the paper, including the weak-order version of Arrow's theorem.

The theorem is proved and classical. What is not yet available is a machine-checked proof of the weak-order version with a range that may be a proper subset of the alternatives. The strict, full-range case is proved on the platform (AGT.gibbard_satterthwaite, on strict total orders with a surjective rule); the strict case with an arbitrary range of size at least three is the goal of the companion mission on strict committees. This mission adds the decomposition of Lemma 9 and the extension to indifference.

Difficulty

The obvious route is to restrict a strategy-proof vvv to strict ballot sets, apply the strict theorem, and conclude. Two steps fail. First, the restriction's range may a priori be smaller than TpT_pTp​, so the hypothesis p≥3p\ge 3p≥3 need not transfer. Second, knowing that vvv is dictatorial on strict ballot sets says nothing directly about ballot sets with indifference: one needs, for each BBB, a strict refinement CCC of BBB with v(C)=v(B)v(C)=v(B)v(C)=v(B), and the refinement of one individual's ballot may depend on the others' ballots. Lemma 9's second sentence is exactly the existence of such refinements, and the tie-breaking function it produces is generally not regular.

Formalization scope

Lean commits to the following conventions, all in the definitions file StrategyProofArrow.WeakGS.Basic:

  • Individuals and alternatives are finite types ι and A; nnn and mmm are their cardinalities. The theorems state n≥1n\ge 1n≥1 or n≥2n\ge 2n≥2 as printed, and m≥3m\ge 3m≥3 where the paper's standing committee assumption is all that applies (Lemma 9). m≥pm\ge pm≥p is automatic.
  • A weak order is a structure (relation, completeness, transitivity); strong orders are the subtype with no indifference between distinct alternatives, so a strict ballot is literally a weak ballot.
  • Voting procedures are total functions on profiles of weak orders (resp. strong orders). There are no inadmissible inputs, and the range TpT_pTp​ is Set.range v.
  • Strategy-proofness compares outcomes by the strict part of the true ballot; the substituted ballot is any weak order (any strong order in the strict case).
  • The paper defines dictatorship through a function fTif^i_TfTi​ that selects some BiB_iBi​-maximal element of TpT_pTp​ with an unspecified tie-break. Lean states the equivalent condition that v(B)v(B)v(B) is BiB_iBi​-maximal in TpT_pTp​, without fixing a tie-break. Fixing one would make Theorem 1′ false.
  • The tie-breaking condition is stated once for all x,yx,yx,y; the paper's two clauses are the same condition with x,yx,yx,y renamed. α(B)i\alpha(B)_iα(B)i​ may depend on all of BBB.
  • In Lemma 9 the page prints the composition with a Latin vvv on both sides; it is read as νnm[γ(B)]\nu^{nm}[\gamma(B)]νnm[γ(B)], as the sentence and proof require.

A trivializing formalization would measure manipulation by the weak relation BiB_iBi​ instead of its strict part, which makes "strategy-proof" nearly unsatisfiable and the goal vacuous; the definitions use the strict part, and a sorry-free check confirms that a strategy-proof procedure with range of size 3 exists.

A complete development needs the strict Gibbard–Satterthwaite theorem with partial range (milestone 1) and the refinement construction of Lemma 9. The weak-order and tie-breaking vocabulary is reusable for the weak-order Arrow theorem of the companion mission. Proofs of any milestone, and alternative proofs of the goal that bypass Lemma 9, are welcome.

Selected references

  • M. A. Satterthwaite, Strategy-proofness and Arrow's Conditions: Existence and Correspondence Theorems for Voting Procedures and Social Welfare Functions, Northwestern University CMS-EMS Discussion Paper No. 122, rev. Dec. 12, 1974; J. Econ. Theory 10 (1975) 187–217. https://doi.org/10.1016/0022-0531(75)90050-2
  • A. Gibbard, Manipulation of Voting Schemes: A General Result, Econometrica 41 (1973) 587–601. https://doi.org/10.2307/1914083
  • S. Barberà, Strategy-Proofness and Pivotal Voters: A Direct Proof of the Gibbard–Satterthwaite Theorem, International Economic Review 24 (1983) 413–417. https://doi.org/10.2307/2648754
  • J.-P. Benoît, The Gibbard–Satterthwaite Theorem: A Simple Proof, Economics Letters 69 (2000) 319–322. https://doi.org/10.1016/S0165-1765(00)00312-8
  • P. J. Reny, Arrow's Theorem and the Gibbard–Satterthwaite Theorem: A Unified Approach, Economics Letters 70 (2001) 99–105. https://doi.org/10.1016/S0165-1765(00)00332-3
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Operations ResearchOptimization·Captain: mikedeng1

Efficient Algorithms for Scheduling Semiconductor Burn-In Operations 5: Full-Batch LPT Is Within 4/3 − 1/(3m) of the Optimal Makespan on Parallel Batch MachinesResearch Paper

Motivation

Burn-in is the final reliability test of integrated circuits: boards loaded with chips are held in an oven at elevated temperature for a minimum specified time, so that marginal devices fail before shipment. An oven holds several boards at once, and a load may stay in the oven longer than its specification but never shorter. Lee, Uzsoy and Martin-Vega (Oper. Res. 40(4), 1992) model such an oven as a batch processing machine and study the resulting scheduling problems. Burn-in is often the bottleneck of the test stage, which is why throughput (makespan) and due-date performance on several ovens in parallel are of practical interest.

This mission covers the paper's makespan result for parallel ovens. On ordinary identical parallel machines, Graham (SIAM J. Appl. Math. 17, 1969) proved that the LPT rule (list the jobs longest first and give each to the machine that frees up first) has worst-case ratio 4/3−1/(3m)4/3 - 1/(3m)4/3−1/(3m) on mmm machines. The paper shows that the same factor holds for batch machines once the jobs are first grouped into full batches of the longest jobs.

Setting

There are nnn jobs with processing times pj>0p_j > 0pj​>0, all available at time 000, and m≥1m \ge 1m≥1 identical batch processing machines. Each machine processes up to B≥1B \ge 1B≥1 jobs at the same time. A batch is a set of at most BBB jobs processed together; once started it cannot be interrupted or joined, and its batch time is that of its longest job,

p(P)=max⁡j∈Ppj.p(P) = \max_{j \in P} p_j .p(P)=j∈Pmax​pj​.

A schedule forms the jobs into disjoint nonempty batches covering all jobs, assigns each batch to a machine, and runs every machine's batches back to back from time 000. The makespan is the largest machine load, the total batch time on a machine. The problem of minimizing it is written P/B/Cmax⁡P/B/C_{\max}P/B/Cmax​, and C∗C^*C∗ denotes its optimal value, over every way of forming batches (any sizes up to BBB, any grouping) and every assignment. For B=1B = 1B=1 it is the classical problem P//Cmax⁡P//C_{\max}P//Cmax​.

Algorithm BLPT.

  1. Rank the jobs in nonincreasing order of processing time and cut the ranked list into successive groups of BBB jobs, the last possibly smaller.
  2. Order these batches in nonincreasing order of batch time and assign each in turn to a machine with least current load.

C(BLPT)C(\mathrm{BLPT})C(BLPT) is the resulting makespan.

For the optional lateness result, each job also has a due date dj≥0d_j \ge 0dj​≥0. The maximum lateness of a schedule is Lmax⁡=max⁡j(Cj−dj)L_{\max} = \max_j (C_j - d_j)Lmax​=maxj​(Cj​−dj​), LLL is its value under BLPT, L∗L^*L∗ its optimum and dmax⁡=max⁡jdjd_{\max} = \max_j d_jdmax​=maxj​dj​.

Formalization targets

Goal: Proposition 3 (p. 773)

C(BLPT)≤(43−13m)C∗.C(\mathrm{BLPT}) \le \left(\frac43 - \frac1{3m}\right) C^* .C(BLPT)≤(34​−3m1​)C∗.

It is claimed for every run of BLPT, whatever order the algorithm gives to equal processing times and equal batch times.

Milestones

  1. Proposition 2 (p. 772). With the jobs re-indexed longest first, some optimal schedule has batches of consecutive jobs, all full except possibly the one containing the last job. In other words, its batches are exactly the groups formed in Step 1 of BLPT.
  2. The reduction (§5, p. 772). C∗C^*C∗ equals the optimal makespan of P//Cmax⁡P//C_{\max}P//Cmax​ on the aggregate jobs p(B1),…,p(B⌈n/B⌉)p(B_1), \dots, p(B_{\lceil n/B\rceil})p(B1​),…,p(B⌈n/B⌉​).
  3. Graham's LPT bound, as quoted (p. 772). For jobs q0≥⋯≥qM−1≥0q_0 \ge \dots \ge q_{M-1} \ge 0q0​≥⋯≥qM−1​≥0 on mmm machines, list scheduling in that order has makespan at most (4/3−1/(3m))(4/3 - 1/(3m))(4/3−1/(3m)) times the optimum.
  4. Proposition 5 (p. 773, further result).
L−L∗L∗+dmax⁡≤(13−13m)+dmax⁡L∗+dmax⁡.\frac{L - L^*}{L^* + d_{\max}} \le \left(\frac13 - \frac1{3m}\right) + \frac{d_{\max}}{L^* + d_{\max}} .L∗+dmax​L−L∗​≤(31​−3m1​)+L∗+dmax​dmax​​.

Significance

Proposition 3 gives a constant-factor guarantee for a strongly NP-hard problem. The guarantee does not depend on BBB, whereas arbitrary batch list scheduling only gets B+1−1/mB + 1 - 1/mB+1−1/m (Proposition 1 of the same paper). For one machine the factor is 111, so BLPT is then exact. Proposition 2 is a structural statement: it fixes the batch composition of an optimal schedule before any assignment decision. It turns the batch problem into an ordinary parallel-machine problem, so other results for P//Cmax⁡P//C_{\max}P//Cmax​ transfer as well. Proposition 5 carries the guarantee over to maximum lateness, measured relative to L∗+dmax⁡L^* + d_{\max}L∗+dmax​ because L∗L^*L∗ may be negative.

All results are proved in the paper, Proposition 3 by a one-line appeal to Proposition 2 and Graham. This mission produces machine-checked versions of the reduction and the bound. Graham's LPT bound itself is not formalized anywhere on the platform. Its proof here is a reusable result about the published list-scheduling definitions, independent of batching.

Difficulty

The obvious argument is "batch as in Step 1, then apply Graham". It has two gaps. First, C∗C^*C∗ ranges over all batchings, and an optimal schedule need not use full batches or consecutive jobs. The exchange argument behind Proposition 2 has to move jobs between batches, possibly on different machines, without increasing any machine's load. Ties among equal processing times also have to be handled, since the claim is made for every longest-first ranking. Second, Graham's bound is not on the platform and has to be proved. It is a finite combinatorial statement, but its known proofs are not short. Proposition 5 additionally needs the bound for sub-instances formed by a prefix of the batches.

Formalization scope

Jobs are Fin n, 0-based. Processing times are real, p : Fin n → ℝ with 0 < p j; due dates (Proposition 5 only) are d : Fin n → ℝ with 0 ≤ d j. A batching is a list of nonempty, pairwise disjoint Finsets of size at most B covering every job. The batch time is the maximum of p over the batch.

Machine loads, assignments, the per-batching optimum and list scheduling reuse the published definitions NumStochOpt.ListScheduling.ListSchedule (firstAvailable, lsLoads, listMakespan) and NumStochOpt.ListScheduling.Makespan (machineLoad, makespan, optMakespan) from the Rinnooy Kan–Stougie mission, applied to the sequence of batch times (padded with zeros beyond the last batch, which these definitions never read). C∗C^*C∗ is the infimum of optMakespan over all valid batchings, never only over the consecutive ones of Step 1, which would assume Proposition 2.

Explicit readings of the paper's phrases:

  • "rank jobs in decreasing order" is any list of all jobs that is nonincreasing in p;
  • the batches of Step 1 are List.toChunks B of that list;
  • "order the batches in nonincreasing order of p(Bk)p(B_k)p(Bk​)" is any permutation of those chunks that is nonincreasing in batch time;
  • every statement is quantified over both choices;
  • "assign them to the machines as they become free" is least-loaded list scheduling with the published lowest-index tie rule. With no idle time, the machine that becomes free first is a least-loaded one, and the tie rule does not change the multiset of loads;
  • "1/3m1/3m1/3m" is 1/(3m)1/(3m)1/(3m);
  • "optimal solution" in Proposition 2 is a valid batching with an assignment whose makespan equals C∗C^*C∗, and "consecutive, all full except the one containing the highest indexed job" is "equal, up to order, to the chunks of the ranked list";
  • schedules on each machine run in list order without idle time, and every processing order is a reordering of the list. For L∗L^*L∗ this covers every semi-active schedule.

Proposition 5 adds the hypothesis dj≥0d_j \ge 0dj​≥0, which the paper's proof uses but does not print. It also makes L∗+dmax⁡L^* + d_{\max}L∗+dmax​ positive, so the printed ratios are well defined. Running times and the paper's other algorithms are out of scope.

A statement with C∗C^*C∗ restricted to consecutive batches, a sorry-free bound obtained from a degenerate m=0m = 0m=0 or empty-job reading, or a BLPT fixed to one convenient tie-break would trivialize or weaken the goal and is ruled out by the statements as posed. Welcome contributions: Graham's LPT bound on the published list-scheduling definitions (reusable for any P//Cmax⁡P//C_{\max}P//Cmax​ work), the exchange lemma behind Proposition 2, and the permutation invariance of optMakespan under reordering of items.

Selected references

  • C.-Y. Lee, R. Uzsoy, L. A. Martin-Vega, Efficient Algorithms for Scheduling Semiconductor Burn-In Operations, Operations Research 40(4), 764–775, 1992. https://doi.org/10.1287/opre.40.4.764
  • R. L. Graham, Bounds on Multiprocessing Timing Anomalies, SIAM Journal on Applied Mathematics 17(2), 416–429, 1969. https://doi.org/10.1137/0117039
  • A. H. G. Rinnooy Kan, L. Stougie, Stochastic Integer Programming, Ch. 8 of Y. Ermoliev, R. J.-B. Wets (eds.), Numerical Techniques for Stochastic Optimization, Springer, 1988 (source of the reused list-scheduling definitions). https://doi.org/10.1007/978-3-642-61370-8
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Discrete GeometryGraph TheoryLinear algebra·Captain: mikedeng1

The Geometry of Graphs and Some of Its Algorithmic Applications 4: The m-Cube Has Isometric Dimension mResearch Paper

Why graph dimension matters

A finite graph has distances defined by the lengths of its shortest paths. Representing those distances inside a normed vector space lets geometric language describe a combinatorial object, but the number of coordinates required can depend sharply on the graph. The isometric dimension asks for the smallest dimension of any real normed space that preserves every graph distance exactly. Linial, London, and Rabinovich study this invariant alongside metric embeddings and algorithmic uses of graph geometry in their 1995 paper. The cube is a useful test case: its vertices already have an obvious coordinate description, while the theorem must show that no different norm compresses those exact distances into fewer coordinates.

The paper's Section 5.3 relates isometric dimension to the rank of a matrix recording vertex distances in a maximum norm. It then computes the dimension of an even cycle and uses an isometric cycle inside the cube. These are known results of the paper, not an open conjecture. The mission isolates the rank characterization, the cycle calculation, and the cube calculation as reusable formal targets.

Graphs, norms, and the cube

For a finite connected simple graph G=(V,E)G=(V,E)G=(V,E), let dG(x,y)d_G(x,y)dG​(x,y) be the minimum number of edges in a path from xxx to yyy. A norm NNN on Rd\mathbb R^dRd is nonnegative, vanishes only at zero, satisfies N(av)=∣a∣N(v)N(av)=|a|N(v)N(av)=∣a∣N(v), and obeys N(u+v)≤N(u)+N(v)N(u+v)\leq N(u)+N(v)N(u+v)≤N(u)+N(v). An isometric embedding is a map φ:V→Rd\varphi:V\to\mathbb R^dφ:V→Rd such that N(φ(x)−φ(y))=dG(x,y)N(\varphi(x)-\varphi(y))=d_G(x,y)N(φ(x)−φ(y))=dG​(x,y) for every pair of vertices. The number dim⁡(G)\dim(G)dim(G) is the least ddd for which some norm and some such map exist. The paper states the more general metric-space definition in Definition 2.1 and adopts connected graphs as the standing convention in Section 5.1 (pp. 218–219, 229).

The mmm-cube has binary strings x=(x1,…,xm)x=(x_1,\ldots,x_m)x=(x1​,…,xm​) as vertices. Two strings are adjacent when exactly one coordinate differs. Its graph distance is the Hamming distance, the number of differing coordinates. For m≥2m\geq2m≥2, the even cycle C2mC_{2m}C2m​ has 2m2m2m vertices in cyclic order, each adjacent to its two neighbors. A graph JJJ is an isometric subgraph of GGG when its distances between its own vertices agree with their distances in GGG.

An ∣V∣×r|V|\times r∣V∣×r real matrix MMM implements GGG when the maximum absolute coordinate difference between rows iii and jjj is dG(i,j)d_G(i,j)dG​(i,j), for every pair. The number of columns rrr is allowed to vary; the matrix rank is its ordinary linear-algebraic rank. This is the matrix object in Theorem 5.7, p. 232.

Formalization targets

The first main intermediate target is the rank characterization

dim⁡(G)=min⁡M implements Grank⁡(M).\dim(G)=\min_{M\text{ implements }G}\operatorname{rank}(M).dim(G)=M implements Gmin​rank(M).

The next is the even-cycle result, stated for m≥2m\geq2m≥2:

dim⁡(C2m)=m.\dim(C_{2m})=m.dim(C2m​)=m.

The goal is Corollary 5.12, p. 233, for every positive integer mmm:

dim⁡(m-Cube)=m.\boxed{\dim(m\text{-Cube})=m.}dim(m-Cube)=m.​

The milestone list also records the isometric-subgraph lower bound, the nonsingularity of the distance matrix of a path, an isometric embedding of the cube into ℓ1m\ell_1^mℓ1m​, and an isometric C2mC_{2m}C2m​ inside the cube. The paper's proof of the corollary names the last two facts in consecutive sentences (p. 233).

What the result establishes

The upper bound says the familiar mmm binary coordinates suffice: the cube embeds in ℓ1m\ell_1^mℓ1m​ with all distances preserved. The lower bound is stronger than a claim about that particular norm or embedding. It rules out every real normed space of dimension below mmm, regardless of its norm. The even cycle provides a separate exact dimension calculation, while Theorem 5.7 gives a matrix-rank way to study other finite graph metrics. These statements separate the graph invariant from whichever embedding happens to be easiest to draw (Section 5.3, pp. 232–233).

The paper proves these claims mathematically. The remaining formalization work is to build machine-checked proofs of their precise statements, including the finite-dimensional norm interface, graph-distance calculations, implementing matrices, and the rank lower bound. The definitions of normed realization and implementing matrix can be reused for other graphs; the path-distance determinant can be used independently of graph embedding questions. The mission's theorem files are open proof targets, not claims that these proofs have already been checked in Lean.

Where the difficulty lies

Placing binary cube vertices in ℓ1m\ell_1^mℓ1m​ gives an immediate candidate for an upper bound, but it cannot by itself exclude embeddings into lower-dimensional spaces with a different norm. The lower bound has to control all norms. Theorem 5.7 converts that unrestricted geometric question into a rank statement for every implementing matrix, and Proposition 5.10 supplies the exact cycle dimension needed by the cube argument (pp. 232–233).

The paper's printed proof of Proposition 5.10 first obtains only rank⁡(A)≥m−1\operatorname{rank}(A)\geq m-1rank(A)≥m−1, then says a more careful analysis yields mmm without spelling it out. That final rank step is a genuine proof obligation for solvers; the stated proposition and its use in Corollary 5.12 are retained exactly (p. 233). The path-distance matrix cited in that proof is nonsingular when its size is at least two; size one would be a zero matrix.

Formalization scope

Lean represents an arbitrary ddd-dimensional real normed space by a norm function on Fin d → ℝ. This includes every finite-dimensional real normed space up to a choice of coordinates. The isoDim definition takes the least natural-number dimension admitting an isometric embedding, with equality of distances for every vertex pair. The graph metric comes from SimpleGraph.dist; connectedness is explicit where the paper assumes it. The cube is the graph on Fin m → Bool with Hamming-distance-one adjacency, and C2mC_{2m}C2m​ is Mathlib's cycleGraph (2 * m). The goal assumes m≥1m\geq1m≥1; its m=1m=1m=1 case is direct, while the cycle milestones use m≥2m\geq2m≥2. A zero-dimensional cube consists of one vertex and is covered by the auxiliary upper-bound statement, though the goal follows the paper's positive-dimensional convention.

An implementing matrix has arbitrary finite column count. Instead of taking a maximum over an empty index set, the formal definition requires all column differences to be bounded by the graph distance and a column to attain that distance for distinct rows. This agrees with the paper's maximum formula whenever columns are present and handles a one-vertex graph with zero columns. Matrix rank is taken over R\mathbb RR; the path-distance matrix has entries ∣r−s∣|r-s|∣r−s∣ for indices 0,…,m−10,\ldots,m-10,…,m−1. The infimum over achievable dimensions or ranks is a minimum, since these are nonempty subsets of N\mathbb NN for finite connected graphs. No asymptotic O(⋅)O(\cdot)O(⋅) or Ω(⋅)\Omega(\cdot)Ω(⋅) bound occurs in these targets, so there is no hidden constant to instantiate.

The statements require genuine norm axioms and exact graph distances. Allowing a seminorm, assuming the desired dimension bound, or replacing the cube by a path would empty the main claim. Useful contributions include the cube-distance calculation, the path determinant, an exact even-cycle lower bound, and the general rank characterization. The paper makes no running-time claim for these particular results; no algorithmic complexity assertion is included.

Selected references

  • N. Linial, E. London, Y. Rabinovich, The geometry of graphs and some of its algorithmic applications, Combinatorica 15(2), 215–245, 1995. DOI: 10.1007/BF01200757.
  • J. H. van Lint, R. M. Wilson, A Course in Combinatorics, Cambridge University Press, 1992, pp. 64–65, cited as [44] by Linial et al. for the path distance-matrix fact. Book record.
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Markov ChainProbability·Captain: mikedeng1

Coalescents With Multiple Collisions 1: A Coalescent on Partitions of ℕ With k-Fold Merger Rates λ_{b,k} Exists Iff λ_{b,k} = ∫ x^{k−2}(1−x)^{b−k} Λ(dx)Research Paper

Motivation

A coalescent models a collection of ancestral lineages merging as time runs backward. If every event joins exactly two lineages, a single pairwise merger rate describes the finite system. Pitman’s 1999 paper asks which rates permit an event to join any number of blocks, while still giving one process on partitions of all positive integers. This matters when a sample of any finite size must be a restriction of the same population model: specifying a chain separately at every sample size is insufficient unless the chains agree when labels are removed. The paper supplies an exact answer in terms of a finite measure on the unit interval. See Pitman (1999), Theorem 1 and §3.1.

Setting

Let Pn\mathcal P_nPn​ be the partitions of [n]={1,…,n}[n]=\{1,\ldots,n\}[n]={1,…,n} and P∞\mathcal P_\inftyP∞​ the partitions of the positive integers. A partition records which labels belong to the same block. The map RnR_nRn​ restricts a partition to [n][n][n]. A partition π\piπ refines π′\pi'π′ when every block of π\piπ is contained in a block of π′\pi'π′. Thus blocks can merge as time grows, but never split.

A P∞\mathcal P_\inftyP∞​-valued process is a coalescent here when its paths refine with time and each finite restriction RnR_nRn​ has right-continuous step-function paths. For a partition of [n][n][n] with bbb blocks, each unordered choice of kkk blocks, 2≤k≤b2\le k\le b2≤k≤b, merges into one block at rate λb,k\lambda_{b,k}λb,k​. Different choices are different possible transitions, each with that rate; the rate is not multiplied by the number of choices. The finite chain’s generator QnQ_nQn​ records these transition rates, with each diagonal entry the negative sum of the other entries in its row. Its transition matrix after time ttt is exp⁡(tQn)\exp(tQ_n)exp(tQn​).

An array (λb,k)(\lambda_{b,k})(λb,k​) is consistent when, for every n<mn<mn<m and every initial partition of [m][m][m], restricting the mmm-label chain to [n][n][n] gives the same process law as the nnn-label chain started at the restricted partition. A finite nonnegative Borel measure Λ\LambdaΛ on [0,1][0,1][0,1] supplies a rate array through an integral. The point mass at zero is included: because 00=10^0=100=1 for natural powers, it gives pairwise mergers while higher-order merger rates vanish. These definitions follow Pitman (1999), pp. 1871–1872 and Lemma 18.

Formalization targets

Characterization of admissible rates

The goal is the existence-and-rates part of Theorem 1. For every nonnegative array (λb,k:2≤k≤b)(\lambda_{b,k}:2\le k\le b)(λb,k​:2≤k≤b), a coalescent with these finite-chain merger rates exists from every π∈P∞\pi\in\mathcal P_\inftyπ∈P∞​ if and only if there is a finite nonnegative measure Λ\LambdaΛ on [0,1][0,1][0,1] such that

λb,k=∫[0,1]xk−2(1−x)b−k Λ(dx)(2≤k≤b).\lambda_{b,k}=\int_{[0,1]}x^{k-2}(1-x)^{b-k}\,\Lambda(dx) \qquad(2\le k\le b).λb,k​=∫[0,1]​xk−2(1−x)b−kΛ(dx)(2≤k≤b).

The statement asks for one measure representing every rate in the infinite array, and a process from every initial partition. It fixes neither a particular measure nor a sample size. This is Theorem 1, equation (1).

Supporting claims

The milestone list follows §3.1: adjacent-size restrictions suffice to check consistency; consistency is equivalent to

λb,k=λb+1,k+λb+1,k+1(2≤k≤b);\lambda_{b,k}=\lambda_{b+1,k}+\lambda_{b+1,k+1} \qquad(2\le k\le b);λb,k​=λb+1,k​+λb+1,k+1​(2≤k≤b);

and the nonnegative normalized array relation

μi,j=μi+1,j+μi,j+1,μ0,0=1,\mu_{i,j}=\mu_{i+1,j}+\mu_{i,j+1},\qquad \mu_{0,0}=1,μi,j​=μi+1,j​+μi,j+1​,μ0,0​=1,

is equivalent to a representation μi,j=E[Xi(1−X)j]\mu_{i,j}=\mathbb E[X^i(1-X)^j]μi,j​=E[Xi(1−X)j] for X∈[0,1]X\in[0,1]X∈[0,1]. The final milestone states the uniqueness as well as the existence of the representing measure: equation (1) is a bijection between consistent arrays and finite measures. These are the claims in Lemma 18 and its proof, p. 1882.

Significance

The characterization turns an infinite family of nonnegative rates into one finite measure, and says exactly when finite chains at different sample sizes can be restrictions of a common partition process. The bijection also makes the measure identifiable from the rates. Without consistency, a chain specified at one size can change its law when an unobserved extra label is added; there would be no single process on P∞\mathcal P_\inftyP∞​ with those restrictions.

Pitman proved these results in 1999. The mission concerns machine-checking their statements and, eventually, their proofs. The current Lean items are open theorems with compiled statements; they do not yet have machine-checked proofs. The reusable part of a complete development would include finite partition generators, restriction of continuous-time Markov chains, and the moment representation for normalized nonnegative arrays. These tools also apply to other consistent families of random combinatorial structures.

Difficulty

Checking that each QnQ_nQn​ defines a finite-state chain does not by itself construct a process on partitions of all integers. Deleting one label can change which apparent merger occurs in the smaller chain, so the rates must satisfy a precise identity across adjacent sizes. Even once those identities hold, the conclusion requires one joint law whose finite restrictions agree for all sizes and times, with right-continuous paths. The representation step must recover a genuine finite measure, including possible mass at zero, and must prove uniqueness; a mere numerical fit for finitely many entries cannot establish the theorem.

Formalization scope

The Lean partition type is Setoid (Fin n) at finite size and a type synonym of Setoid ℕ at infinite size. The paper’s positive labels are shifted to zero-based labels, preserving their order. The measurable structure on infinite partitions is generated by pairwise equivalence coordinates, equivalently by finite restrictions; finite partition spaces use the discrete measurable structure. The process path predicate requires refinement at every pair of ordered times and right continuity of every finite restriction. Finite-chain laws are specified at all finite collections of times through exp⁡(tQn)\exp(tQ_n)exp(tQn​), so a process cannot qualify merely by having the right initial state or a single marginal.

The measure is represented on R\mathbb RR with zero mass outside [0,1]‘;integralsareover[0,1]`; integrals are over [0,1]‘;integralsareover[0,1].Finitenessisexplicit,preventinganonintegrableBochnerintegralfromacquiringLean’sdefaultvalue.Natural−numberexponentsretain. Finiteness is explicit, preventing a nonintegrable Bochner integral from acquiring Lean’s default value. Natural-number exponents retain .Finitenessisexplicit,preventinganonintegrableBochnerintegralfromacquiringLean’sdefaultvalue.Natural−numberexponentsretainx^0=1atatatx=0.Theratearrayisreadonlyfor. The rate array is read only for .Theratearrayisreadonlyfor2\le k\le b$, and the zero measure is allowed. The Fin 0 restriction is an additional tautological boundary case introduced by Lean’s natural numbers. The process sample space is a small Lean type, and the law is a probability measure on it.

Only the characterization sentence of Theorem 1 is targeted. Its later assertions about the strong Markov property, Feller semigroup, Skorohod path-space law, and weak continuity of the law map are outside this mission. Contributions toward those properties would need further path-space infrastructure. The formalized foundations and milestones can also support the paper’s Poisson construction and its later results, but those are separate targets.

Selected references

  • Jim Pitman, Coalescents with multiple collisions, Annals of Probability 27(4), 1870–1902, 1999. DOI: 10.1214/aop/1022874819.
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Operations ResearchOptimization·Captain: mikedeng1

Application of the Branch and Bound Technique to Some Flow-Shop Scheduling Problems 2: Branch and Bound with the Two-Machine Lower Bound Finds a Sequence of Least Mean Completion TimeResearch Paper

Motivation

In a two-machine flow shop, each of nnn jobs is processed first on machine AAA and then on machine BBB, and the order of the jobs is to be chosen. For the makespan (the finishing time of the last job), Johnson (1954) gave an exact sorting rule. For the sum (equivalently, the mean) of the completion times, no such rule is known: the problem is NP-hard in the strong sense (Garey, Johnson and Sethi, 1976), and exact methods search the n!n!n! sequences implicitly.

Ignall and Schrage (1965) were among the first to apply branch and bound to sequencing. They view the n!n!n! sequences as the leaves of a tree of partial sequences, keep a list of partial sequences ranked by a lower bound, and always extend the most promising one. For the two-machine mean-completion-time problem they introduced a lower bound, built from two relaxations (one where machine AAA is the bottleneck, one where machine BBB is), that became the template for many later flow-shop bounds.

Setting

There are n≥1n\ge1n≥1 jobs; job iii has processing time aia_iai​ on machine AAA and bib_ibi​ on machine BBB. A sequence is a permutation σ\sigmaσ of the jobs, processed in that order on both machines with every operation started as early as possible. The completion time di(σ)d_i(\sigma)di​(σ) of job iii is the time machine BBB finishes it, and the objective is ∑i=1ndi(σ)\sum_{i=1}^n d_i(\sigma)∑i=1n​di​(σ).

A node JrJ_rJr​ is a partial sequence of rrr jobs; Jˉr\bar J_rJˉr​ is the set of the n−rn-rn−r jobs not in it; kkk is the last job of JrJ_rJr​ and dkd_kdk​ its completion time; did_idi​ (i∈Jri\in J_ri∈Jr​) are the completion times of the jobs of JrJ_rJr​. For an ordering (i1,…,in−r)(i_1,\dots,i_{n-r})(i1​,…,in−r​) of Jˉr\bar J_rJˉr​,

Tr=∑p=1n−r[∑j∈Jraj+(n−r−p+1)aip+bip],T_r=\sum_{p=1}^{n-r}\Big[\sum_{j\in J_r}a_j+(n-r-p+1)a_{i_p}+b_{i_p}\Big],Tr​=p=1∑n−r​[j∈Jr​∑​aj​+(n−r−p+1)aip​​+bip​​],

and for an ordering (j1,…,jn−r)(j_1,\dots,j_{n-r})(j1​,…,jn−r​) of Jˉr\bar J_rJˉr​,

Sr=∑p=1n−r[max⁡(dk,∑j∈Jraj+min⁡i∈Jˉrai)+(n−r−p+1)bjp].S_r=\sum_{p=1}^{n-r}\Big[\max\Big(d_k,\sum_{j\in J_r}a_j+\min_{i\in\bar J_r}a_i\Big)+(n-r-p+1)b_{j_p}\Big].Sr​=p=1∑n−r​[max(dk​,j∈Jr​∑​aj​+i∈Jˉr​min​ai​)+(n−r−p+1)bjp​​].

T^r\hat T_rT^r​ and S^r\hat S_rS^r​ are their minima over all orderings of Jˉr\bar J_rJˉr​, and the lower bound of the node is

LB(Jr)=∑i∈Jrdi+max⁡(T^r,S^r).LB(J_r)=\sum_{i\in J_r}d_i+\max(\hat T_r,\hat S_r).LB(Jr​)=i∈Jr​∑​di​+max(T^r​,S^r​).

The procedure starts with a list holding only the empty node. A step removes the first node, creates one child for every unscheduled job by appending it, and inserts the children into the list ranked by LBLBLB (a new node goes before old nodes with equal bound). It stops the first time the first node of the list is terminal, i.e. has scheduled n−1n-1n−1 jobs, so that its last job is forced.

Formalization targets

Goal: the procedure finds a sequence of least mean completion time

For all real data, (i) the procedure reaches a list whose first node PPP is terminal, and (ii) whenever that happens, the sequence σ∗\sigma^\astσ∗ formed by PPP and its one unscheduled job satisfies

∑i=1ndi(σ∗)≤∑i=1ndi(σ)for every sequence σ.\sum_{i=1}^n d_i(\sigma^\ast)\le\sum_{i=1}^n d_i(\sigma)\qquad\text{for every sequence }\sigma .i=1∑n​di​(σ∗)≤i=1∑n​di​(σ)for every sequence σ.

Milestones

  1. For 1≤r≤n−11\le r\le n-11≤r≤n−1 and every sequence σ\sigmaσ beginning with JrJ_rJr​: TrT_rTr​ of the order in which σ\sigmaσ processes Jˉr\bar J_rJˉr​ is at most ∑i∈Jˉrdi(σ)\sum_{i\in\bar J_r}d_i(\sigma)∑i∈Jˉr​​di​(σ), hence so is T^r\hat T_rT^r​ (pp. 405–406).
  2. An ordering of Jˉr\bar J_rJˉr​ by increasing aia_iai​ attains T^r\hat T_rT^r​ (p. 406).
  3. An ordering of Jˉr\bar J_rJˉr​ by increasing bjb_jbj​ attains S^r\hat S_rS^r​ (p. 406).
  4. The analogue of 1 for SrS_rSr​ and S^r\hat S_rS^r​ (p. 406).
  5. LB(Jr)≤∑idi(σ)LB(J_r)\le\sum_i d_i(\sigma)LB(Jr​)≤∑i​di​(σ) for every σ\sigmaσ beginning with JrJ_rJr​ (p. 406).
  6. At depth n−1n-1n−1, LBLBLB equals the value of the node's unique completion (labelled: what the stopping rule of p. 402 needs).
  7. Without delays, job ipi_pip​ completes at ∑Jraj+ai1+⋯+aip+bip\sum_{J_r}a_j+a_{i_1}+\dots+a_{i_p}+b_{i_p}∑Jr​​aj​+ai1​​+⋯+aip​​+bip​​ and ∑Jˉrdi=Tr\sum_{\bar J_r}d_i=T_r∑Jˉr​​di​=Tr​ (pp. 405–406).
  8. The three-job example of p. 408: 1–2 is optimal for jobs 1, 2, while 3–2–1 is optimal for all three.

Significance

The goal is the correctness of the paper's algorithm for the two-machine problem: the sequence it returns is optimal, not merely good, and it returns one for every input. The lower-bound milestones are the paper's own justification of its bound, and the sorting milestones show that the bound is computable in O(nlog⁡n)O(n\log n)O(nlogn) per node rather than by a minimization over (n−r)!(n-r)!(n−r)! orderings.

On the formal side, no item on the platform treats flow-shop lower bounds or branch and bound over sequences; the nearest is the branch-and-bound mission for jointly constrained biconvex programs (BiconvexProg.BranchBound, Al-Khayyal and Falk 1983), an unrelated algorithm over boxes. The paper's arguments are short and informal ("it should be evident"); the formalization makes explicit that the SrS_rSr​ bound holds for every order and every input, which the paper derives only by analogy with TrT_rTr​. The published definitions of Johnson's as-soon-as-possible schedule (from the Johnson 1954 missions) are reused for the completion times.

Difficulty

The two halves of the bound are relaxations of different kinds. TrT_rTr​ ignores waiting on machine BBB; SrS_rSr​ ignores idle time on machine BBB after its first job of Jˉr\bar J_rJˉr​ and replaces that job's machine-AAA time by the smallest one. The paper's description of SrS_rSr​ as "the sum of the completion times" when min⁡b≥max⁡a\min b\ge\max aminb≥maxa is not an identity, since min⁡a\min amina replaces aj1a_{j_1}aj1​​; only the inequality is true, and it has to be proved for the given order directly. The sorting claims are rearrangement inequalities, with the coefficient n−r−p+1n-r-p+1n−r−p+1 decreasing in the position.

The goal is a statement about all n!n!n! sequences, while the procedure only ever looks at the nodes on its list, whose length changes at every step. The tempting one-line justification, that the first terminal node has the smallest bound, says nothing by itself about sequences that are not descendants of nodes still on the list, nor about whether the bound of a terminal node is the value of its sequence; and termination of the search has to be shown, not assumed.

Formalization scope

  • Jobs are Fin n (the paper's 1,…,n1,\dots,n1,…,n shifted to 0,…,n−10,\dots,n-10,…,n−1); processing times are arbitrary reals, with no sign condition; all statements are true without one.
  • Completion times of a full sequence come from Johnson's asapC2 (referenced definition JohnsonFlowShop.TwoStage.asapStart2). The objective is the sum of the completion times; the paper's mean differs by the fixed factor 1/n1/n1/n.
  • A node is a list of jobs; "a sequence begins with JrJ_rJr​" means JrJ_rJr​ is a prefix of its list of jobs.
  • T^r\hat T_rT^r​ and S^r\hat S_rS^r​ are defined as minima over all orderings of Jˉr\bar J_rJˉr​, not by a sorted order; that sorting attains them is milestones 2 and 3. Defining them by sorting would make those milestones true by definition.
  • At the root (r=0r=0r=0) dkd_kdk​ is read as 000; the root is never ranked, and the lower-bound milestones are stated for 1≤r≤n−11\le r\le n-11≤r≤n−1.
  • Terminal nodes are at depth n−1n-1n−1. The paper says "a node that has scheduled all nnn jobs"; its own example stops at a node with three of four jobs, and its node counts end at level n−1n-1n−1.
  • Explicit readings: "is a lower bound" means ≤\le≤ the objective of every sequence beginning with the node; "will exceed" means ≥\ge≥; "the problem is solved: that node's sequence is an optimal one" means termination plus optimality over all n!n!n! sequences.
  • A trivializing formalization is ruled out: the bound is not taken over an unrestricted or empty set of orderings (the set of orderings of Jˉr\bar J_rJˉr​ is nonempty), optimality is over all permutations rather than over the nodes the run visits, and termination is part of the goal.
  • Not formalized: the reduction to permutation schedules (the paper's footnote on p. 401 asserts it for mean completion time without proof, and no platform item proves it), dominance discarding (pp. 403–405), the jobset generator, Tables I–III and the 9-job examples.

Proofs of any milestone, and reusable lemmas on as-soon-as-possible two-machine schedules (completion times of a prefix, monotonicity in the start time), are welcome.

Selected references

  • E. Ignall and L. Schrage, Application of the branch and bound technique to some flow-shop scheduling problems, Operations Research 13(3), 400–412, 1965. https://doi.org/10.1287/opre.13.3.400
  • S. M. Johnson, Optimal two- and three-stage production schedules with setup times included, Naval Research Logistics Quarterly 1(1), 61–68, 1954. https://doi.org/10.1002/nav.3800010110
  • M. R. Garey, D. S. Johnson and R. Sethi, The complexity of flowshop and jobshop scheduling, Mathematics of Operations Research 1(2), 117–129, 1976. https://doi.org/10.1287/moor.1.2.117
  • A. H. Land and A. G. Doig, An automatic method of solving discrete programming problems, Econometrica 28(3), 497–520, 1960. https://doi.org/10.2307/1910129
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Algorithmic Game TheoryOperations Research·Captain: mikedeng1

Potential Games 1: A Game Is an Exact Potential Game If and Only If I(γ, u) = 0 on Every Simple Closed Path of Length 4Research Paper

Why this question matters

In a strategic game, each player evaluates a change in their own strategy using that player's own payoff. These incentives need not point in a common direction. A potential game is a case in which one real-valued function records every player's payoff change under a unilateral deviation. This common function lets questions about incentives be expressed as questions about one object on the space of strategy profiles. Monderer and Shapley's 1996 paper introduced several kinds of potential and gave a local characterization of the exact kind. The characterization is the subject of this mission.

The local test matters because the defining condition appears to require finding an unknown potential on the entire profile space. Theorem 2.8 says that a condition on four-step cycles already determines whether such a function exists, even when individual strategy sets are infinite. The paper compares this characterization with the familiar idea that a conservative field has zero integral around closed curves; here the “integral” is a finite sum of payoff changes along unilateral deviations (Monderer and Shapley, pp. 130–131).

Games, deviations, and path sums

Let NNN be a finite set of players. For each player i∈Ni\in Ni∈N, let YiY^iYi be a strategy set, and let Y=∏i∈NYiY=\prod_{i\in N}Y^iY=∏i∈N​Yi be the set of pure strategy profiles. The payoff of player iii is a function ui:Y→Ru^i:Y\to\mathbb Rui:Y→R. If y∈Yy\in Yy∈Y, the notation (y−i,x)(y^{-i},x)(y−i,x) means the profile obtained by replacing only player iii's strategy with x∈Yix\in Y^ix∈Yi. The strategy sets themselves are not required to be finite in this section of the paper (p. 127).

An exact potential is a function P:Y→RP:Y\to\mathbb RP:Y→R such that, for every iii, every opponents' profile y−iy^{-i}y−i, and every x,z∈Yix,z\in Y^ix,z∈Yi,

ui(y−i,x)−ui(y−i,z)=P(y−i,x)−P(y−i,z).u^i(y^{-i},x)-u^i(y^{-i},z) =P(y^{-i},x)-P(y^{-i},z).ui(y−i,x)−ui(y−i,z)=P(y−i,x)−P(y−i,z).

A game admitting such a function is an exact potential game. The paper uses the shorter term “potential game” for this class when the adjective is clear (pp. 127–128, equation (2.2)).

A path γ=(y0,…,yL)\gamma=(y_0,\ldots,y_L)γ=(y0​,…,yL​) is a sequence in which each step changes exactly one player's strategy to a different value. Write iki_kik​ for the unique player who moves from yk−1y_{k-1}yk−1​ to yky_kyk​. The path sum of the payoff vector uuu is

I(γ,u)=∑k=1L(uik(yk)−uik(yk−1)).I(\gamma,u)=\sum_{k=1}^{L} \bigl(u^{i_k}(y_k)-u^{i_k}(y_{k-1})\bigr).I(γ,u)=k=1∑L​(uik​(yk​)−uik​(yk−1​)).

The path is closed when y0=yLy_0=y_Ly0​=yL​. It is simple closed when, in addition, the vertices y0,…,yL−1y_0,\ldots,y_{L-1}y0​,…,yL−1​ are pairwise distinct. Its length is LLL, the number of steps and the number of vertices before the final return. These definitions follow pp. 128, 130–131.

Formalization targets

Theorem 2.8: four equivalent conditions

For a game with finitely many players, Theorem 2.8 asserts the equivalence of all four claims:

Γ has an exact potential;I(γ,u)=0for every finite closed path γ;I(γ,u)=0for every finite simple closed path γ;I(γ,u)=0for every simple closed path γ of length 4.\begin{aligned} &\Gamma\text{ has an exact potential};\\ &I(\gamma,u)=0\quad\text{for every finite closed path }\gamma;\\ &I(\gamma,u)=0\quad\text{for every finite simple closed path }\gamma;\\ &I(\gamma,u)=0\quad\text{for every simple closed path }\gamma\text{ of length }4. \end{aligned}​Γ has an exact potential;I(γ,u)=0for every finite closed path γ;I(γ,u)=0for every finite simple closed path γ;I(γ,u)=0for every simple closed path γ of length 4.​

The last condition is a local criterion, but the goal keeps the full four-way equivalence of the published theorem, p. 131. The milestone list follows five claims in its Appendix A proof: vanishing path sums from a potential, path independence, construction of a potential from vanishing closed-path sums, the local exchange of two different players' moves, and the reduction from all closed paths to length-four simple cycles (pp. 138–139).

Related results in the same development

Corollary 2.9 expresses the length-four test directly as a zero sum of payoff changes around four corners obtained by varying two players' strategies. Lemma 2.7 says that two exact potentials for the same game differ by one additive constant. Both are included as supporting statements from the same definition layer, although they are not milestones in the attack path for Theorem 2.8 (pp. 130–131).

What the result provides

Theorem 2.8 turns existence of a global function into a test on local cycles. Corollary 2.9 makes those cycles visible in payoff tables: fixing all but two players, the alternating sum around each two-player rectangle must vanish. For finite strategy sets this gives a direct finite collection of conditions; for infinite strategy sets the theorem remains a mathematical characterization without claiming a finite algorithm (Monderer and Shapley, p. 131).

The original paper proves these statements. The formalization work is to represent games, paths, path sums, and the four-way equivalence in Lean, then supply machine-checked proofs. The present mission contains compiled statements with open proofs. Its definition modules are also reusable for the paper's other results about potentials, improvement paths, and congestion games.

Where the proof is difficult

The challenging direction is that zero sums on simple length-four cycles force zero sums on every closed path. A closed path may repeat vertices and may involve more than two players. A direct appeal to the local condition does not cover such a path. The Appendix A argument uses changes to a path's sequence of deviators, and its informal treatment of adjacent moves by the same player leaves a boundary case: the two moves can cancel, so replacing them by one move would create a null step, which the definition of a path excludes. A formal proof must account for this case while preserving the paper's exact statement (pp. 138–139).

Formalization scope

Lean represents the finite player set by a finite type ι\iotaι and a profile by a dependent function y:∏i:ιYiy:\prod_{i:\iota}Y^iy:∏i:ι​Yi. Strategy sets YiY^iYi remain arbitrary types. The operation (y−i,x)(y^{-i},x)(y−i,x) is a one-coordinate update. A finite path stores L+1L+1L+1 vertices and its deviator at each of the LLL steps; the step condition determines that deviator uniquely. Closed paths of length zero are allowed and have sum zero. The paper prints nnn, the number of players, as the upper limit of the path sum on p. 130, although its summands are indexed by path steps. The Lean definition sums over all LLL steps, as the surrounding definition and later equations require.

The four-cycle hypothesis quantifies only over simple closed paths of exactly four genuine steps. It is not replaced by all four-step walks or by cycles with null or simultaneous deviations. The goal retains all four clauses rather than only its shortest equivalence. Corollary 2.9 explicitly requires the two varying players to be distinct; this is implicit in the paper's four-corner construction. No finite-strategy assumption is imposed on Theorem 2.8, Corollary 2.9, or Lemma 2.7.

The development needs ordinary finite sums, dependent functions, coordinate updates, and finite-indexed paths. Its path and potential definitions are intended as an interface for later work. Contributions proving any of the five source-backed milestones, the goal, or the two related statements are within scope.

Selected references

  • Dov Monderer and Lloyd S. Shapley, Potential Games, Games and Economic Behavior 14 (1996), 124–143. DOI: 10.1006/game.1996.0044.
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Flowshop and Jobshop Schedules: Complexity and Approximation 3: The Partition Job Shop on Two Machines Has a Schedule of Finish Time 5T, Preemptive or Not, Iff a Partition ExistsResearch Paper

Motivation

A job shop is the basic model of a factory floor in which every job follows its own route through the machines. Minimizing the time at which the last job is finished (the finish time, or makespan) is one of the central problems of deterministic scheduling theory, and the question of which special cases admit efficient algorithms has organized much of the field since the 1950s.

For two machines the picture is sharp. Jackson (1956) showed that a two-machine job shop in which every job has at most two operations is solved by a simple rule extending Johnson's flow-shop algorithm (Jackson, Naval Research Logistics Quarterly 3, 1956; Conway, Maxwell and Miller, Theory of Scheduling, 1967, p. 105). Once a single job may have three operations, the non-preemptive problem becomes NP-complete: Lenstra, Rinnooy Kan and Brucker showed this for n−1n-1n−1 jobs with one nonzero task each and one job with three (Annals of Discrete Mathematics 1, 1977; a 1975 Mathematisch Centrum report is the paper's reference [1]). Gonzalez and Sahni (Operations Research 26(1), 1978) extended this boundary to preemptive schedules, in which a task may be interrupted and resumed later: even then the two-machine problem is NP-complete, already when only two jobs have three nonzero tasks. This mission formalizes that reduction, Lemma 5 together with Corollary 2 of their paper.

Timeline:

  • 1956: Jackson, two-machine job shop with at most two operations per job, solved in O(nlog⁡n)O(n\log n)O(nlogn).
  • 1975/1977: Lenstra, Rinnooy Kan and Brucker, the non-preemptive two-machine job shop NP-complete with n−1n-1n−1 one-task jobs and one three-task job.
  • 1976: Garey, Johnson and Sethi, the non-preemptive two-machine job shop NP-complete even when problem size is measured by the sum of the task lengths (Mathematics of Operations Research 1, 1976).
  • 1978: Gonzalez and Sahni, the preemptive two-machine job shop NP-complete (Lemmas 5 and 6), and the non-preemptive case again by the same reduction (Corollary 2).

Setting

A job shop has processors P1,…,PmP_1, \dots, P_mP1​,…,Pm​ and jobs 1,…,n1, \dots, n1,…,n. Job iii is a finite sequence of tasks; task jjj of job iii must be processed on a given processor kkk for tk,i,j≥0t_{k,i,j} \ge 0tk,i,j​≥0 time units, and for every job, task j≥2j \ge 2j≥2 can begin only after task j−1j-1j−1 has been completed. Schedules start at time 000. A preemptive schedule assigns to every task a finite set of time intervals [s,f)[s, f)[s,f) on its processor, of total length tk,i,jt_{k,i,j}tk,i,j​, such that intervals on the same processor do not overlap and every interval of task jjj begins after task j−1j-1j−1 of the same job is completed. A non-preemptive schedule processes each task in a single interval. If fi(S)f_i(S)fi​(S) is the time at which job iii is completed, the finish time is FT(S)=max⁡ifi(S)\mathrm{FT}(S) = \max_i f_i(S)FT(S)=maxi​fi​(S).

PARTITION: a multiset {a1,…,an}\{a_1, \dots, a_n\}{a1​,…,an​} of nonnegative integers has a partition if some index set uuu satisfies ∑i∈uai=12∑i=1nai\sum_{i \in u} a_i = \tfrac12 \sum_{i=1}^n a_i∑i∈u​ai​=21​∑i=1n​ai​.

From a1,…,ana_1, \dots, a_na1​,…,an​, with T=∑iaiT = \sum_i a_iT=∑i​ai​, the paper builds the two-processor job shop JS\mathrm{JS}JS with n+2n+2n+2 jobs:

  • job i≤ni \le ni≤n: tasks (P2,ai)(P_2, a_i)(P2​,ai​), (P1,ai)(P_1, a_i)(P1​,ai​);
  • job n+1n+1n+1: tasks (P1,T/2)(P_1, T/2)(P1​,T/2), (P2,T/2)(P_2, T/2)(P2​,T/2), (P1,3T)(P_1, 3T)(P1​,3T);
  • job n+2n+2n+2: tasks (P2,3T)(P_2, 3T)(P2​,3T), (P1,T/2)(P_1, T/2)(P1​,T/2), (P2,T/2)(P_2, T/2)(P2​,T/2).

Each processor carries load exactly 5T5T5T. In Lean, the instance is JS a : JobShopLTAS.Core.Instance 2 (n + 2), a schedule is S : Schedule (JS a) (a finite set of pieces), and the predicates are S.IsPreemptive, S.IsNonPreemptive and S.FinishedBy (5 * T a).

Formalization targets

Goal: Lemma 5 and Corollary 2

For every nnn and every a:Fin n→Na : \mathrm{Fin}\,n \to \mathbb Na:Finn→N,

(∃ S preemptive, FT(S)≤5T)  ⟺  Partition(a)and(∃ S non-preemptive, FT(S)≤5T)  ⟺  Partition(a).\bigl(\exists\, S \text{ preemptive},\ \mathrm{FT}(S) \le 5T\bigr) \iff \mathrm{Partition}(a) \quad\text{and}\quad \bigl(\exists\, S \text{ non-preemptive},\ \mathrm{FT}(S) \le 5T\bigr) \iff \mathrm{Partition}(a).(∃S preemptive, FT(S)≤5T)⟺Partition(a)and(∃S non-preemptive, FT(S)≤5T)⟺Partition(a).

Milestones

  1. Lemma 5(a): a partition yields a non-preemptive schedule of finish time exactly 5T5T5T (the paper's Figure 3).
  2. Observations (i)–(ii) in the proof of Lemma 5(b): in any preemptive schedule with FT≤5T\mathrm{FT} \le 5TFT≤5T, task t2,n+1,2t_{2,n+1,2}t2,n+1,2​ is completed by 2T2T2T and t2,n+2,1t_{2,n+2,1}t2,n+2,1​ by 4T4T4T; no part of t1,n+1,3t_{1,n+1,3}t1,n+1,3​ runs before TTT and no part of t1,n+2,2t_{1,n+2,2}t1,n+2,2​ before 3T3T3T.
  3. Lemma 5(b): without a partition, every preemptive schedule has FT>5T\mathrm{FT} > 5TFT>5T.
  4. Lemma 5: the preemptive equivalence.
  5. Corollary 2: the non-preemptive equivalence.

Significance

The result places the boundary of tractability for two-machine job shops exactly: at most two operations per job is solvable in O(nlog⁡n)O(n\log n)O(nlogn), while two jobs with three operations make the problem NP-complete, and allowing preemption does not help. The same instance serves both schedule types, because its optimum is 5T5T5T in either model exactly when a partition exists.

The theorem is classical and fully proved on paper; no machine-checked proof is known to exist. Formalizing it requires a precise model of preemptive schedules, which the paper treats informally, and makes explicit an argument (the "no idle time" step of Lemma 5(b)) that the paper compresses into a few sentences. The schedule model built here is shared with the other job-shop missions of this series.

Difficulty

Direction (a) is a concrete schedule and is bookkeeping. Direction (b) is the substance. The tempting argument "each processor has load 5T5T5T, so a schedule of finish time 5T5T5T has no idle time, hence some set of short jobs fills exactly [0,T/2][0, T/2][0,T/2] on P2P_2P2​" is incomplete for preemptive schedules: the short jobs may be split into many pieces spread over the whole horizon, and UUU, the set of short jobs that touch P1P_1P1​ during [0,T][0, T][0,T], is defined by pieces rather than by whole tasks. Making the counting argument rigorous requires measuring idle time on each processor across arbitrary finite unions of intervals and tying the amount of processing done on P1P_1P1​ before TTT to the completed first tasks on P2P_2P2​.

Formalization scope

  • Processing times are real numbers; the PARTITION data are natural numbers cast to R\mathbb RR; TTT is the real sum. Processors are Fin 2 with P1=0P_1 = 0P1​=0, P2=1P_2 = 1P2​=1; jobs and tasks are 0-based, so the paper's job n+1n+1n+1 is job n and job n+2n+2n+2 is job n + 1.
  • Job-shop data reuse the published JobShopLTAS.Core.Instance. Schedules are finite sets of pieces (task, start, end) with positive length, following the paper's footnote 1 (p. 40). A task of length zero has no pieces and is completed when its predecessor is; it never blocks a processor.
  • A non-preemptive schedule is a preemptive one with at most one piece per task. "Finish time ≤τ\le \tau≤τ" is ∀ j, S.jobFinish j ≤ τ; "finish time >5T> 5T>5T" is the existence of a job finishing after 5T5T5T; "finish time 5T5T5T" in Lemma 5(a) is ≤5T\le 5T≤5T together with a job finishing at exactly 5T5T5T.
  • Complexity wording not formalized. "Partition α\alphaα preemptive JOFT" and "Partition α\alphaα nonpreemptive JOFT" (polynomial reducibility), "NP-complete", and Lemma 6 ("JOFT is in NP") are not stated. What is stated is the equivalence that the paper's proofs establish for the instance they construct, with the explicit constant τ=5T\tau = 5Tτ=5T.
  • The PARTITION condition is written 2∑i∈uai=∑iai2\sum_{i\in u} a_i = \sum_i a_i2∑i∈u​ai​=∑i​ai​ in N\mathbb NN, avoiding truncated division.
  • A trivializing formalization is ruled out: the schedule notion requires every task to receive its full processing time, so the empty schedule is feasible only when T=0T = 0T=0 (and then the empty index set is a partition), and the finish-time bound is over every job, so no statement holds by an unattained supremum or a default value.
  • Welcome contributions: a proof of Lemma 5(a) by an explicit piece schedule; infrastructure for measuring busy and idle time of a processor in a finite piece schedule, reusable for Lemma 7 (mission 4) and the preemptive flow-shop missions; the proof of Lemma 5(b).

Selected references

  • T. Gonzalez, S. Sahni, Flowshop and Jobshop Schedules: Complexity and Approximation, Operations Research 26(1), 36–52, 1978. https://doi.org/10.1287/opre.26.1.36
  • J. K. Lenstra, A. H. G. Rinnooy Kan, P. Brucker, Complexity of Machine Scheduling Problems, Annals of Discrete Mathematics 1, 343–362, 1977. https://doi.org/10.1016/S0167-5060(08)70743-X
  • M. R. Garey, D. S. Johnson, R. Sethi, Complexity of Flow Shop and Job Shop Scheduling, Mathematics of Operations Research 1(2), 117–129, 1976. https://doi.org/10.1287/moor.1.2.117
  • J. R. Jackson, An Extension of Johnson's Results on Job Lot Scheduling, Naval Research Logistics Quarterly 3(3), 201–203, 1956. https://doi.org/10.1002/nav.3800030307
  • R. W. Conway, W. L. Maxwell, L. W. Miller, Theory of Scheduling, Addison-Wesley, 1967.
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Graph TheoryTheoretical Computer Science·Captain: mikedeng1

Multicommodity Max-Flow Min-Cut Theorems and Their Use in Designing Approximation Algorithms V: On a 3-Regular c-Expander the Uniform Max-Flow Is at Most 6𝒮/(c(⌊log n⌋ − 2))Research Paper

Motivation

A multicommodity flow problem asks to route many source–sink demands through one capacitated network at the same time. Its min-cut (sparsest cut) is the smallest ratio, over all cuts, of the capacity crossing the cut to the demand separated by it. Routing is always limited by every cut, so the max-flow never exceeds the min-cut. For a single commodity the two are equal (Ford–Fulkerson); for many commodities they are not, and the size of the gap governs a large family of approximation algorithms for graph partitioning, layout and routing problems.

Leighton and Rao (J. ACM 46 (1999), extended abstract FOCS 1988) proved that for uniform problems, where every pair of nodes demands one unit, the gap is at most O(log⁡n)O(\log n)O(logn) (their Theorem 2). This mission formalizes the other half: Section 2.1 of the paper, A bad example, which shows that the log⁡n\log nlogn is necessary. On a 3-regular expander graph the max-flow is a Θ(log⁡n)\Theta(\log n)Θ(logn) factor smaller than the min-cut, so Theorem 2 cannot be improved beyond the constant.

Timeline. Ford and Fulkerson (1956) and Elias–Feinstein–Shannon (1956): single-commodity max-flow equals min-cut. Hu (1963): equality for two commodities. Leighton and Rao (1988, journal 1999): uniform and product problems have an O(log⁡n)O(\log n)O(logn) gap, and expanders show it is tight. Klein, Agrawal, Ravi and Rao (1990) and later Linial–London–Rabinovich (Combinatorica 1995) and Aumann–Rabani (1998): an O(log⁡k)O(\log k)O(logk) gap for general demands with kkk commodities, tight by the same expander example.

Setting

Let VVV be a finite set of nnn nodes. A network assigns a capacity C(u,v)≥0C(u,v)\ge0C(u,v)≥0 to every pair, symmetric and zero on the diagonal. For U⊆VU\subseteq VU⊆V with complement Uˉ\bar UUˉ, the cut capacity C(U,Uˉ)C(U,\bar U)C(U,Uˉ) is the total capacity of the pairs with one end in UUU and the other in Uˉ\bar UUˉ.

In the uniform multicommodity flow problem (UMFP) every pair of distinct nodes is a commodity with unit demand. Its max-flow fff is the largest fraction such that fff units of every commodity can be routed simultaneously without exceeding any capacity (concurrent flow). Its min-cut is

S=min⁡∅≠U⊊VC(U,Uˉ)∣U∣ ∣Uˉ∣.\mathcal S=\min_{\emptyset\ne U\subsetneq V}\frac{C(U,\bar U)}{|U|\,|\bar U|}.S=∅=U⊊Vmin​∣U∣∣Uˉ∣C(U,Uˉ)​.

Section 2.1 takes a 3-regular nnn-node graph GGG with unit edge capacities, so that C(U,Uˉ)=∣⟨U,Uˉ⟩∣C(U,\bar U)=|\langle U,\bar U\rangle|C(U,Uˉ)=∣⟨U,Uˉ⟩∣ is the number of edges between UUU and Uˉ\bar UUˉ, and assumes that GGG is a ccc-edge-expander:

∣⟨U,Uˉ⟩∣ ≥ c min⁡{∣U∣,∣Uˉ∣}for all U⊆V,|\langle U,\bar U\rangle|\ \ge\ c\,\min\{|U|,|\bar U|\}\qquad\text{for all }U\subseteq V,∣⟨U,Uˉ⟩∣ ≥ cmin{∣U∣,∣Uˉ∣}for all U⊆V,

for a constant c>0c>0c>0. Families of such graphs exist for a sufficiently small ccc (Margulis 1973; a random 3-regular graph has the property with high probability). Throughout, log⁡\loglog is log⁡2\log_2log2​.

Formalization targets

Goal: the gap on an expander

For a 3-regular ccc-edge-expander with unit capacities and n≥8n\ge 8n≥8,

f ≤ 6 Sc (⌊log⁡n⌋−2).f\ \le\ \frac{6\,\mathcal S}{c\,\bigl(\lfloor\log n\rfloor-2\bigr)} .f ≤ c(⌊logn⌋−2)6S​.

This is the final display of §2.1 (pp. 794–795), with the floor that the argument actually supports (see Formalization scope). It leaves the expander family unspecified: it holds for every graph with the two properties.

Milestones, in the order the argument uses them

  1. S≥c/(n−1)\mathcal S\ge c/(n-1)S≥c/(n−1) for the expander (p. 794).
  2. In a 3-regular graph, at most n/2n/2n/2 nodes lie within distance ⌊log⁡n⌋−3\lfloor\log n\rfloor-3⌊logn⌋−3 of any node.
  3. Hence at least half of the source–sink pairs are at distance at least ⌊log⁡n⌋−2\lfloor\log n\rfloor-2⌊logn⌋−2.
  4. A uniform flow of fraction fff uses capacity at least 12(n2)f(⌊log⁡n⌋−2)\tfrac12\binom n2 f(\lfloor\log n\rfloor-2)21​(2n​)f(⌊logn⌋−2), and the total capacity is 3n/23n/23n/2.
  5. Hence f≤3n/((n2)(⌊log⁡n⌋−2))=6/((n−1)(⌊log⁡n⌋−2))f\le 3n/\bigl(\binom n2(\lfloor\log n\rfloor-2)\bigr)=6/\bigl((n-1)(\lfloor\log n\rfloor-2)\bigr)f≤3n/((2n​)(⌊logn⌋−2))=6/((n−1)(⌊logn⌋−2)).

Companions: Theorem 1

Theorem 1 (p. 795) states that for any nnn there is an nnn-node UMFP with f≤O(S/log⁡n)f\le O(\mathcal S/\log n)f≤O(S/logn). It is stated twice: conditionally on a family of 3-regular ccc-expanders (the form §2.1 proves), and unconditionally, with one constant KKK for all n≥2n\ge2n≥2.

Significance

The result shows that the O(log⁡n)O(\log n)O(logn) max-flow min-cut gap of Leighton and Rao's Theorem 2 is tight up to the constant, and, through the same example, that the O(log⁡k)O(\log k)O(logk) bound for general demands is tight. Every approximation algorithm that rounds a multicommodity flow, or its dual, to a cut loses a Θ(log⁡n)\Theta(\log n)Θ(logn) factor in the worst case for this reason; improving on it, as Arora, Rao and Vazirani did (J. ACM 2009) with an O(log⁡n)O(\sqrt{\log n})O(logn​) approximation for sparsest cut, requires a stronger relaxation than the flow LP.

The result is classical and proved. To our knowledge it has no machine-checked proof. Formalizing it requires the concurrent-flow LP, the uniform sparsest cut, graph distance balls in bounded-degree graphs and a counting argument that converts path lengths into capacity usage; each of these is reusable. The unconditional Theorem 1 additionally needs the existence of bounded-degree expanders on every number of nodes, which is a substantial formalization project in its own right.

Difficulty

The min-cut bound and the ball bound are elementary. The central step is milestone 4: turning "the shortest path of a commodity has at least ℓ\ellℓ edges" into "the commodity uses at least fℓf\ellfℓ units of capacity". In an arc-flow formulation a commodity is a conservation-respecting function on arcs, not a set of paths, so the step needs either a path decomposition of each commodity's flow or a weak-duality argument with unit edge lengths. The obvious attempt, summing the conservation equations directly, gives only the net flow across one cut and loses the factor ℓ\ellℓ.

The unconditional Theorem 1 is hard for a different reason: the paper cites the existence of 3-regular expanders and does not prove it, and the theorem asks for every nnn, including odd nnn, where no 3-regular graph exists.

Formalization scope

Nodes are a Fintype VVV with decidable equality and n=∣V∣n=|V|n=∣V∣. A network is a symmetric nonnegative real capacity function with zero diagonal; the unit-capacity network of a simple graph GGG has C(u,v)=1C(u,v)=1C(u,v)=1 on edges and 000 elsewhere. Commodities are ordered pairs (s,t)(s,t)(s,t), s≠ts\ne ts=t, each with demand 12\tfrac1221​ (the paper's footnote 2), so each unordered pair carries one unit; a flow is a nonnegative arc flow per commodity, and both directions of an edge share its capacity. The max-flow is the supremum of feasible fractions. The min-cut ranges over nonempty proper UUU only: at U=∅U=\emptysetU=∅ or VVV the ratio is 0/00/00/0, which Lean reads as 000 and which would make S=0\mathcal S=0S=0.

Conventions and added hypotheses:

  • The floor. The page writes log⁡n−2\log n-2logn−2. Its argument shows that far pairs have distance at least ⌊log⁡n⌋−2\lfloor\log n\rfloor-2⌊logn⌋−2, which differs from log⁡n−2\log n-2logn−2 for non-integer log⁡n\log nlogn. The goal and milestones state ⌊log⁡n⌋−2\lfloor\log n\rfloor-2⌊logn⌋−2 (Nat.log 2 n), a different constant in the same Θ(log⁡n)\Theta(\log n)Θ(logn).
  • n≥8n\ge 8n≥8 makes ⌊log⁡n⌋−2≥1\lfloor\log n\rfloor-2\ge1⌊logn⌋−2≥1, so the bound divides by a positive number.
  • Graph distance is the extended distance, ∞\infty∞ between components, never Lean's junk value 000.
  • Regularity is SimpleGraph.IsRegularOfDegree 3.
  • Theorem 1 requires the network to be connected (the paper's standing assumption, p. 789); a disconnected network has f=S=0f=\mathcal S=0f=S=0 and would make the statement empty. Its constant is quantified before nnn.
  • Polynomial-time claims are not formalized.

The hypotheses of the goal are satisfiable: the 3-cube Q3Q_3Q3​ (n=8n=8n=8) is 3-regular and a 111-edge-expander. Contributions welcome: the arc-flow path-length lemma, the ball bound for bounded-degree graphs, and an existence theorem for 3-regular expanders.

Selected references

  • T. Leighton and S. Rao, Multicommodity max-flow min-cut theorems and their use in designing approximation algorithms, J. ACM 46(6):787–832, 1999. https://doi.org/10.1145/331524.331526
  • G. A. Margulis, Explicit constructions of concentrators, Problems of Information Transmission 9(4):325–332, 1973.
  • N. Linial, E. London and Y. Rabinovich, The geometry of graphs and some of its algorithmic applications, Combinatorica 15(2):215–245, 1995. https://doi.org/10.1007/BF01200757
  • S. Arora, S. Rao and U. Vazirani, Expander flows, geometric embeddings and graph partitioning, J. ACM 56(2):5, 2009. https://doi.org/10.1145/1502793.1502794
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