A Polynomial-Time 2-Approximation for Shortest Common SuperstringResearch Paper
Motivation: approximating the shortest common superstring
Given a finite collection of strings, the shortest common superstring (SCS) problem asks for a shortest string that contains every member of as a contiguous substring. It is a basic model of sequence assembly (reconstructing a long DNA sequence from overlapping fragments) and of data compression, and it is a standard test problem for approximation algorithms. Computing the optimum exactly is hard — Blum, Jiang, Li, Tromp and Yannakakis showed the problem is MAX SNP-hard, so it has no polynomial-time approximation scheme unless P = NP (Blum et al., J. ACM 1994) — so the natural question is the best constant factor achievable in polynomial time. For decades the target has been factor : the classical Greedy conjecture asserts that repeatedly merging the pair with maximum overlap achieves it.
Timeline
- 1988 — Tarhio and Ukkonen propose the factor- conjecture for the maximum-overlap Greedy procedure (Theor. Comput. Sci. 1988).
- 1994 — Blum, Jiang, Li, Tromp and Yannakakis give the first constant-factor algorithm a polynomial-time -approximation (J. ACM 1994).
- 1997 — Breslauer, Jiang and Jiang use rotations of periodic strings to control overlaps (J. Algorithms 1997).
- 1999 — Sweedyk obtains factor (SIAM J. Comput. 1999).
- 2013 — Mucha obtains via Lyndon words (SODA 2013).
- 2019/2020 — Golovnev, Kulikov, Logunov, Mihajlin and Nikolaev introduce the all-substrings hierarchical graph and the Collapsing conjecture (APPROX/RANDOM 2019; arXiv:1809.08669).
- 2023 — Englert, Matsakis and Veselý obtain (ISAAC 2023).
- 2026 — Chukhin, Kulikov, Mihajlin and Smal report a -approximation (ECCC TR26-157); Shibata reports a counterexample to the Greedy conjecture with ratio at least (arXiv:2609.01365).
- 2026 — An OpenAI preprint, A Polynomial-Time 2-Approximation for Shortest Common Superstring (OpenAI Math Release, September 24, 2026), claims a deterministic polynomial-time algorithm with ratio . The preprint has not been peer reviewed and its theorem is not formally verified.
Setting
A string is a finite list of symbols; a string is a substring of if for some strings (the empty string is a substring of everything). For a finite list of strings, a common superstring is a string having every as a substring, and
where counts symbols. The alphabet is unbounded: each symbol is given by an explicit binary label, and the input is measured by its total encoded bit length . An algorithm runs in polynomial time if its running time on a bit-level machine is bounded by a polynomial in .
In Lean (namespace OAI.Superstring), a symbol is List Bool, a word is a list of symbols, and an instance is a list of words. Substring containment is Mathlib's infix relation <:+:, opt S is the infimum of lengths of common superstrings, and HasPolynomialImplementation f asks for a Mathlib Turing.TM2ComputableInPolyTime certificate for f with respect to an explicit self-delimiting binary encoding of instances and outputs, with every stack alphabet finite.
Formalization targets
Goal: a polynomial-time 2-approximation (Theorem 1.1)
There is a function from instances to words, computable in polynomial time in the encoded input length, such that for every instance
The goal is published on the platform with status Open.
Significance
The result itself. Factor has been the conjectured benchmark for SCS since 1988, and the best proved polynomial-time ratio before this preprint was (reported in 2026). Theorem 1.1 reaches factor with a new algorithm rather than with Greedy, which a 2026 preprint reports does not achieve factor .
Formalizing it. The statement mixes three components that are each easy to get subtly wrong on paper: the correctness of the output (contiguous coverage of every input), the ratio against the unrestricted optimum, and a running-time bound measured in bits, with symbols of arbitrary label length. The formal statement pins down all three with an explicit machine model. A complete formalization requires both the combinatorial ratio proof and a verified polynomial-time implementation on Mathlib's stack-machine model, which is substantial reusable infrastructure for complexity statements in Lean.
Difficulty
The classical approach builds the overlap (distance) graph, takes a minimum-weight cycle cover as a lower bound, and then opens and concatenates the cycles; the cost of joining cycles is what has kept ratios above . Greedy, the natural candidate for factor , is reported to fail. Any factor- algorithm needs a lower bound on that is tight enough that the cost of connecting all the pieces can be charged to the lower bound a second time without double-counting, uniformly over periodic and highly repetitive inputs. The polynomial running time must also be established at the bit level, with symbols of unbounded encoded length.
Formalization scope
- Instances are
List (List (List Bool)): duplicates and empty strings are allowed, and symbols are arbitrary bit lists, so the alphabet is unbounded. - Coverage is contiguous substring containment (
List.IsInfix), not subsequence containment. optis a natural-numbersInf; the set is nonempty because the concatenation of all inputs is a common superstring, so the junk value is never used. The ratio is measured in symbols.- Polynomial time uses Mathlib's
Turing.TM2ComputableInPolyTimefor the encodingsencodeInstanceandencodeWord(prefix markers for list structure), together with finiteness of every stack alphabet, so the time bound is in input bits on a finite-alphabet machine. A function that is merely computable, or polynomial only in the number of symbols, does not satisfy the goal. - Needed infrastructure: the all-substrings graph and Euler tours, periodicity lemmas (Fine–Wilf), and a verified implementation on Mathlib's TM2 model. Contributions of reusable TM2 programming libraries are welcome.
Selected references
- J. Tarhio and E. Ukkonen, A greedy approximation algorithm for constructing shortest common superstrings, Theor. Comput. Sci. 57 (1988), 131–145. https://doi.org/10.1016/0304-3975(88)90167-3
- A. Blum, T. Jiang, M. Li, J. Tromp and M. Yannakakis, Linear approximation of shortest superstrings, J. ACM 41 (1994), 630–647. https://doi.org/10.1145/179812.179818
- D. Breslauer, T. Jiang and Z. Jiang, Rotations of periodic strings and short superstrings, J. Algorithms 24 (1997), 340–353. https://doi.org/10.1006/jagm.1997.0861
- Z. Sweedyk, A 2.5-approximation algorithm for shortest superstring, SIAM J. Comput. 29 (1999), 954–986. https://doi.org/10.1137/S0097539796324661
- M. Mucha, Lyndon words and short superstrings, SODA 2013, 958–972. https://doi.org/10.1137/1.9781611973105.69
- A. Golovnev, A. S. Kulikov, A. Logunov, I. Mihajlin and M. Nikolaev, Collapsing superstring conjecture, APPROX/RANDOM 2019. https://doi.org/10.4230/LIPIcs.APPROX-RANDOM.2019.26
- M. Englert, N. Matsakis and P. Veselý, Approximation guarantees for shortest superstrings: simpler and better, ISAAC 2023. https://doi.org/10.4230/LIPIcs.ISAAC.2023.29
- N. Chukhin, A. S. Kulikov, I. Mihajlin and A. Smal, A tight cycle-cover inequality for shortest common superstring, ECCC TR26-157, 2026. https://eccc.weizmann.ac.il/report/2026/157/
- H. Shibata, Disproving the greedy superstring conjecture, arXiv:2609.01365, 2026. https://arxiv.org/abs/2609.01365v1
- OpenAI, A Polynomial-Time 2-Approximation for Shortest Common Superstring, OpenAI Math Release preprint, September 24, 2026 (Theorem 1.1, p. 1). https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/preprints/A-Polynomial-Time-2-Approximation-for-Shortest-Common-Superstring-September-24-2026/paper.pdf