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Lemma 3.3 — an augmentation step never increases the potential, so the algorithm never fails

Proved
OnlineSetCover.Weighted.lemma_3_3

by mikedeng1 · Oct 4, 2026 · Mathlib 0df444a (Lean v4.33.1)

online-algorithmsp2o-batch-pfp2bp2o-gran-per-chapterp2o-plan-paperp2o-v1potential-functionset-cover

Let α>0\alpha > 0α>0 and consider the potential

Φ(w,C)=∑j∉Cn2wj+n⋅exp⁡(12α∑S∈S(cSχC(S)−3wScSlog⁡n))\Phi(w,\mathcal C) = \sum_{j \notin C} n^{2 w_j} + n \cdot \exp\Big(\frac{1}{2\alpha} \sum_{S \in \mathcal S} \big(c_S \chi_{\mathcal C}(S) - 3 w_S c_S \log n\big)\Big)Φ(w,C)=j∈/C∑​n2wj​+n⋅exp(2α1​S∈S∑​(cS​χC​(S)−3wS​cS​logn))

of the weighted online set-cover algorithm (Section 3), where n=∣X∣n = |X|n=∣X∣, wj=∑S∋jwSw_j = \sum_{S \ni j} w_Swj​=∑S∋j​wS​, and CCC is the set of elements covered by C\mathcal CC.

  1. For any weights www, any cover C\mathcal CC and any set SSS with wS≥0w_S \ge 0wS​≥0 and cS≤αc_S \le \alphacS​≤α, the per-set substep of a weight augmentation for SSS (multiply wSw_SwS​ by 1+1ncS1 + \frac{1}{n c_S}1+ncS​1​; if S∉CS \notin \mathcal CS∈/C, add SSS when this does not increase Φ\PhiΦ; FAIL if Φ\PhiΦ has increased) does not fail, and the resulting weights w′w'w′ and cover C′\mathcal C'C′ satisfy
Φ(w′,C′)≤Φ(w,C).\Phi(w', \mathcal C') \le \Phi(w, \mathcal C).Φ(w′,C′)≤Φ(w,C).
  1. In particular, if every set costs at most α\alphaα, then on every arrival sequence the algorithm never reaches FAIL.

The hypothesis cS≤αc_S \le \alphacS​≤α is the paper's footnote 1 (p. 367): the algorithm has discarded every set costing more than α≥c(COPT)\alpha \ge c(\mathcal C_{OPT})α≥c(COPT​). The proof needs it in step (5): the inequality ey−1≤3y/2e^y - 1 \le 3y/2ey−1≤3y/2 holds only for 0≤y≤1/20 \le y \le 1/20≤y≤1/2, with y=cS/(2α)y = c_S/(2\alpha)y=cS​/(2α).

This lemma is what keeps Φ\PhiΦ below n2n^2n2 for the whole run, the invariant behind both parts of Theorem 3.4.

Formalization Note Part 1 is stated for arbitrary weights with wS≥0w_S \ge 0wS​≥0 rather than only for weights the algorithm reaches; the algorithm's weights are always positive. Part 2 assumes only cS≤αc_S \le \alphacS​≤α for every set, which is how the proof uses α≥c(COPT)\alpha \ge c(\mathcal C_{OPT})α≥c(COPT​).

Preamble
import Mathlib
import Definitions.Def_OnlinePrimalDual_OnlineSetCover_SetCoverInstance
import Definitions.Def_OnlinePrimalDual_OnlineSetCover_potential
import Definitions.Def_OnlineSetCover_Weighted_Run

open OnlinePrimalDual.OnlineSetCover
Formal statement
namespace OnlineSetCover.Weighted

/-- **Lemma 3.3** (Alon, Awerbuch, Azar, Buchbinder, Naor 2009, p. 366). (1) For any weights `w`
with `w S ≥ 0`, any cover `C`, and any set `S` with `c_S ≤ α` (footnote 1, p. 367), the per-set
substep (a)–(c) for `S` does not fail, and the potential after it is at most the potential
before. (2) In particular, if every set costs at most `α`, the algorithm never reaches `FAIL`. -/
theorem lemma_3_3 {X T : Type*} [Fintype X] [Fintype T] [DecidableEq T]
    (inst : SetCoverInstance X T) (α : ℝ) (hα : 0 < α) :
    (∀ (w : T → ℝ) (C : Finset T) (S : T), 0 ≤ w S → inst.c S ≤ α →
        ∃ (w' : T → ℝ) (C' : Finset T), processSet inst α w C S = some (w', C') ∧
          potential inst w' C' α ≤ potential inst w C α) ∧
      ((∀ S, inst.c S ≤ α) → ∀ σ : List X, ¬ Reachable inst α σ (.fail : Config X T)) := by sorry

end OnlineSetCover.Weighted
Source
Alon, Awerbuch, Azar, Buchbinder, Naor, The Online Set Cover Problem, SIAM J. Comput. 39(2) (2009), p. 366, Lemma 3.3 (proof pp. 366–367, eqs. (1)–(6), footnote 1)
Human review
  • Endorsed by Shuze Chen · Oct 5, 2026

    Confirmed by the moderator at approval.

  • Endorsed by mikedeng1 · Oct 5, 2026

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

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