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Split-and-list: a CNF formula is satisfiable iff its OV instance has an orthogonal pair

Proved
WordRAM.Conjectures.Reduction.sat_iff_ov

by wurtle · Oct 28, 2026 · Mathlib 0df444a (Lean v4.33.1)

computational-complexityfine-grained-complexitysatisfiabilityword-ram

Correctness of the split-and-list reduction. Let FFF be any CNF formula, with any number n≥0n\ge0n≥0 of variables and any list of clauses, including empty clauses and the empty list. Let toOV(F)\mathrm{toOV}(F)toOV(F) be the split-and-list OV instance of Def_WordRAM_SETHOV_Reduction. Its vectors are indexed by assignments to the first ⌈n/2⌉\lceil n/2\rceil⌈n/2⌉ variables (left) and to the remaining variables (right), and it has one coordinate per clause, which is 111 iff that half-assignment satisfies no literal of the clause. Then

F is satisfiable  ⟺  ∃ a,b: ua⊥vb in toOV(F),F\ \text{is satisfiable}\iff \exists\, a,b:\ u_a\perp v_b\ \text{in}\ \mathrm{toOV}(F),F is satisfiable⟺∃a,b: ua​⊥vb​ in toOV(F),

where u⊥vu\perp vu⊥v means that no coordinate is 111 in both vectors.

This is the combinatorial content of Williams's reduction from CNF-SAT to Orthogonal Vectors. The time-bounded transfers below are built on it.

Preamble
import Definitions.Def_WordRAM_SETHOV_Reduction
open WordRAM.Conjectures
Formal statement
theorem WordRAM.Conjectures.Reduction.sat_iff_ov (f : SATInstance) :
    f.Satisfiable ↔ (Reduction.toOV f).HasOrthogonalPair := by sorry
Source
Williams, Theorem 5.1 and its proof (ECCC TR04-032, §5.1, pp. 8–9): "Partition variables into two sets P1, P2 of size n/2 each ... the set of clauses is satisfiable iff the cooperative subset query instance has a “yes” answer", restated for Orthogonal Vectors as on p. 9 (complemented right sets). Ryan Williams, A new algorithm for optimal constraint satisfaction and its implications, ECCC Report TR04-032 (2004), https://eccc.weizmann.ac.il/report/2004/032 ; ICALP 2004, pp. 1227–1237; journal version: A new algorithm for optimal 2-constraint satisfaction and its implications, Theoretical Computer Science 348(2–3):357–365, 2005. Lean source: the contributor's WordRAM project (private repository), commit 24159584b91d0e5298def8cd6491aafd480b8f2a: theorem Reduction.sat_iff_ov in WordRAM/SETHToOV.lean.
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What the Lean code literally says, in plain math · claude-opus-5-5

Statement. For every CNF formula fff (no hypotheses at all: no bound on clause width, number of clauses, or number of variables), fff is satisfiable if and only if the explicitly constructed Orthogonal Vectors instance toOV(f)\mathrm{toOV}(f)toOV(f) has an orthogonal pair.

The formula fff. fff consists of a number of variables n∈Nn \in \mathbb{N}n∈N (possibly n=0n = 0n=0) and a finite ordered list of clauses C0,…,Cm−1C_0, \dots, C_{m-1}C0​,…,Cm−1​ (m≥0m \ge 0m≥0; the list may be empty). Each clause is a finite list of literals (it may be empty, and may repeat literals). A literal ℓ\ellℓ is a pair consisting of a variable index idx(ℓ)∈{0,…,n−1}\mathrm{idx}(\ell) \in \{0, \dots, n-1\}idx(ℓ)∈{0,…,n−1} and a polarity (positive or negative). Under an assignment σ:{0,…,n−1}→{true,false}\sigma : \{0,\dots,n-1\} \to \{\mathrm{true}, \mathrm{false}\}σ:{0,…,n−1}→{true,false}, a positive literal evaluates to σ(idx(ℓ))\sigma(\mathrm{idx}(\ell))σ(idx(ℓ)) and a negative literal to ¬σ(idx(ℓ))\lnot\sigma(\mathrm{idx}(\ell))¬σ(idx(ℓ)); write ℓ(σ)\ell(\sigma)ℓ(σ) for this value.

Left side of the iff ("fff is satisfiable").

∃ σ:{0,…,n−1}→{true,false}    ∀j<m    ∃ ℓ∈Cj:  ℓ(σ)=true.\exists\, \sigma : \{0,\dots,n-1\} \to \{\mathrm{true},\mathrm{false}\} \;\; \forall j < m \;\; \exists\, \ell \in C_j : \; \ell(\sigma) = \mathrm{true}.∃σ:{0,…,n−1}→{true,false}∀j<m∃ℓ∈Cj​:ℓ(σ)=true.

Consequently: if m=0m = 0m=0 this holds (vacuously; when n=0n = 0n=0 the unique empty assignment witnesses it); if some clause is empty it fails.

The constructed OV instance toOV(f)\mathrm{toOV}(f)toOV(f). Let

h=⌊n+12⌋=⌈n/2⌉.h = \left\lfloor \tfrac{n+1}{2} \right\rfloor = \lceil n/2 \rceil .h=⌊2n+1​⌋=⌈n/2⌉.

Variables with index i<hi < hi<h are called left variables, and those with i≥hi \ge hi≥h are right variables (there are n−h=⌊n/2⌋n - h = \lfloor n/2 \rfloorn−h=⌊n/2⌋ of them). The instance has N=2hN = 2^hN=2h left vectors L0,…,LN−1L_0, \dots, L_{N-1}L0​,…,LN−1​ and N=2hN = 2^hN=2h right vectors R0,…,RN−1R_0, \dots, R_{N-1}R0​,…,RN−1​, each a Boolean vector of dimension mmm (one coordinate per clause, in list order). For a natural number aaa write bitk(a)=⌊a/2k⌋ mod 2\mathrm{bit}_k(a) = \lfloor a / 2^k \rfloor \bmod 2bitk​(a)=⌊a/2k⌋mod2 (least-significant bit is k=0k = 0k=0). For a,b∈{0,…,2h−1}a, b \in \{0,\dots,2^h-1\}a,b∈{0,…,2h−1} define assignments

αa(i)=biti(a),βb(i)=bit i −˙ h(b)(0≤i<n),\alpha_a(i) = \mathrm{bit}_i(a), \qquad \beta_b(i) = \mathrm{bit}_{\,i \,\dot{-}\, h}(b) \qquad (0 \le i < n),αa​(i)=biti​(a),βb​(i)=biti−˙​h​(b)(0≤i<n),

where i−˙hi \mathbin{\dot{-}} hi−˙​h is truncated natural subtraction (=0= 0=0 when i<hi < hi<h). (Formally αa(i)\alpha_a(i)αa​(i) reads bit iii of aaa viewed as an hhh-bit word, returning false\mathrm{false}false if i≥hi \ge hi≥h; this agrees with biti(a)\mathrm{bit}_i(a)biti​(a) since a<2ha < 2^ha<2h. The junk values αa(i)\alpha_a(i)αa​(i) for i≥hi \ge hi≥h and βb(i)=bit0(b)\beta_b(i) = \mathrm{bit}_0(b)βb​(i)=bit0​(b) for i<hi < hi<h are never consulted below.) The coordinates are

La[j]=1  ⟺  ¬(∃ ℓ∈Cj: idx(ℓ)<h ∧ ℓ(αa)=true),L_a[j] = 1 \iff \lnot\big(\exists\, \ell \in C_j:\ \mathrm{idx}(\ell) < h \ \wedge\ \ell(\alpha_a) = \mathrm{true}\big),La​[j]=1⟺¬(∃ℓ∈Cj​: idx(ℓ)<h ∧ ℓ(αa​)=true), Rb[j]=1  ⟺  ¬(∃ ℓ∈Cj: idx(ℓ)≥h ∧ ℓ(βb)=true).R_b[j] = 1 \iff \lnot\big(\exists\, \ell \in C_j:\ \mathrm{idx}(\ell) \ge h \ \wedge\ \ell(\beta_b) = \mathrm{true}\big).Rb​[j]=1⟺¬(∃ℓ∈Cj​: idx(ℓ)≥h ∧ ℓ(βb​)=true).

That is, coordinate jjj is 111 exactly when no literal of CjC_jCj​ on that side is made true by that side's half-assignment. In particular, an empty clause gives coordinate 111 in every left and every right vector. For right variables i≥hi \ge hi≥h the bit read is i−h≤n−1−hi - h \le n - 1 - hi−h≤n−1−h; when nnn is even all hhh bits of bbb are used, and when nnn is odd bit h−1h-1h−1 of bbb is never read, so Rb=Rb′R_b = R_{b'}Rb​=Rb′​ whenever b,b′b, b'b,b′ differ only in that bit (duplicate right vectors).

Right side of the iff ("toOV(f)\mathrm{toOV}(f)toOV(f) has an orthogonal pair").

∃ a,b∈{0,…,2h−1}    ∀j<m:  La[j]=0 ∨ Rb[j]=0.\exists\, a, b \in \{0, \dots, 2^h - 1\} \;\; \forall j < m: \; L_a[j] = 0 \ \vee\ R_b[j] = 0 .∃a,b∈{0,…,2h−1}∀j<m:La​[j]=0 ∨ Rb​[j]=0.

Unfolded, this says: there exist a,b<2ha, b < 2^ha,b<2h such that every clause CjC_jCj​ contains either a literal with index <h< h<h made true by αa\alpha_aαa​, or a literal with index ≥h\ge h≥h made true by βb\beta_bβb​. The pair consists of one left and one right vector (the same index a=ba = ba=b is allowed).

Edge cases. If n=0n = 0n=0: h=0h = 0h=0, N=1N = 1N=1, there are no literals (no valid indices), so every clause is empty and every coordinate of the single left and single right vector is 111; the right side then holds iff m=0m = 0m=0. If m=0m = 0m=0 (any nnn): the dimension is 000 and the right side holds trivially (orthogonality over zero coordinates). If n=1n = 1n=1: h=1h = 1h=1, N=2N = 2N=2, the sole variable is a left variable, and right vectors do not depend on bbb.

Human review
  • Endorsed by Community (Bot) · Oct 28, 2026

  • Endorsed by wurtle · Oct 28, 2026

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

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