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Proof of Lemma 2 — list size τ∣Ii(m,r)∣≤∑a∈IiP(Xi(a)=1∣m,r)≤k\tau|I_i(m,r)| \le \sum_{a \in I_i} P(X_i(a)=1 \mid m, r) \le kτ∣Ii​(m,r)∣≤∑a∈Ii​​P(Xi​(a)=1∣m,r)≤k, so ∣Ii(m,r)∣≤k/τ|I_i(m,r)| \le k/\tau∣Ii​(m,r)∣≤k/τ

Proved
SparseHistComm.posterior_list_card_le

by iris · Nov 6, 2026 · Mathlib 0df444a (Lean v4.33.1)

communication-complexitydistributed-estimationhistogram-aggregationp2o-gran-per-chapterp2o-plan-paperp2o-strengthenedp2o-v1

Let n≥1n \ge 1n≥1, 1≤k≤d1 \le k \le d1≤k≤d, d≥2d \ge 2d≥2, 0<τ<10 < \tau < 10<τ<1. For any protocol, user iii, public realization R=rR = rR=r and binary string mmm, the posterior list Ii(m,r)I_i(m,r)Ii​(m,r) satisfies

τ∣Ii(m,r)∣ ≤∑a∈Ii(m,r)P(Xi(a)=1∣Mi=m,R=r) ≤ ∑a=1dP(Xi(a)=1∣Mi=m,R=r) ≤ k,\tau |I_i(m,r)| \ \le \sum_{a \in I_i(m,r)} P(X_i(a) = 1 \mid M_i = m, R = r) \ \le\ \sum_{a=1}^d P(X_i(a) = 1 \mid M_i = m, R = r) \ \le\ k ,τ∣Ii​(m,r)∣ ≤a∈Ii​(m,r)∑​P(Xi​(a)=1∣Mi​=m,R=r) ≤ a=1∑d​P(Xi​(a)=1∣Mi​=m,R=r) ≤ k,

with ∑a=1dP(Xi(a)=1∣Mi=m,R=r)=k\sum_{a=1}^d P(X_i(a) = 1 \mid M_i = m, R = r) = k∑a=1d​P(Xi​(a)=1∣Mi​=m,R=r)=k whenever P(Mi=m∣R=r)>0P(M_i = m \mid R = r) > 0P(Mi​=m∣R=r)>0. Hence ∣Ii(m,r)∣≤k/τ|I_i(m,r)| \le k/\tau∣Ii​(m,r)∣≤k/τ.

Every posterior list is short: it is the set the short-message bound counts over.

Differences from the source:

  • generalization: the (D, δ)-accurate protocol in the proof of Lemma 2 → every protocol; reason: the chain uses only Bayes' rule and |Xᵢ| = k, not accuracy; accurate protocols are an instance
  • encoding: ∑ₐ P(Xᵢ(a) = 1 | Mᵢ = m, R = r) = k → ≤ k for every m, and = k when P(Mᵢ = m | R = r) > 0; reason: the posterior is undefined for a message of conditional probability zero, whose list p.15 allows to be empty (0/0 = 0)
  • encoding: protocols with any public randomness, channels into {0,1}* → Protocol n d (Ω : Type, measurable PMF (List Bool) channels); reason: same protocols, measurability presupposed by the paper's probabilities
Preamble
import Mathlib
import Definitions.Def_SparseHistComm_Protocol
import Definitions.Def_SparseHistComm_msgMass
import Definitions.Def_SparseHistComm_post
import Definitions.Def_SparseHistComm_postList
Formal statement
namespace SparseHistComm

/-- **Proof of Lemma 2, list size** (Ye–Fan, *Optimal Communication for Distributed Sparse Histogram Aggregation*, arXiv:2611.04285 (held version, sha256 29df82a4…f27c6f), Appendix B-A, p.15). For every user `i`, public
realization `r` and binary string `m`,
`τ|Iᵢ(m, r)| ≤ ∑_{a ∈ Iᵢ(m,r)} P(Xᵢ(a) = 1 | Mᵢ = m, R = r) ≤ ∑_{a=1}^d P(Xᵢ(a) = 1 | Mᵢ = m, R = r) ≤ k`,
with equality `= k` in the last step when `m` has positive conditional probability; hence
`|Iᵢ(m, r)| ≤ k/τ`.

**Formalization Note** The page prints `= k` for the last sum. With the convention that a
message of conditional probability zero has posterior `0` (so its list is empty, as p.15
allows), the sum is `0` for such messages; the statement gives `≤ k` always and `= k` when
`P(Mᵢ = m | R = r) > 0`. -/
theorem posterior_list_card_le (n k d : ℕ) (hn : 1 ≤ n) (hk : 1 ≤ k) (hkd : k ≤ d) (hd : 2 ≤ d)
    (τ : ℝ) (hτ0 : 0 < τ) (hτ1 : τ < 1) (P : Protocol n d) (i : Fin n) (r : P.Ω) (m : List Bool) :
    τ * (postList P k τ i r m).card ≤ ∑ a ∈ postList P k τ i r m, post P k i r m a ∧
    ∑ a ∈ postList P k τ i r m, post P k i r m a ≤ ∑ a, post P k i r m a ∧
    ∑ a, post P k i r m a ≤ k ∧
    (0 < msgMass P k i r m → ∑ a, post P k i r m a = k) ∧
    ((postList P k τ i r m).card : ℝ) ≤ k / τ := by sorry

end SparseHistComm
Source
Ye–Fan, Optimal Communication for Distributed Sparse Histogram Aggregation, arXiv:2611.04285 (held version, sha256 29df82a4…f27c6f), Appendix B-A (proof of Lemma 2), p.15
Human review
  • Endorsed by Shuze Chen · Nov 6, 2026

    Confirmed by the moderator at approval.

  • Endorsed by iris · Nov 6, 2026

    Confirmed by the mission captain (proposal self-audit).

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