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Trace bound for fixed marks in a signed sweep step

Proved
OAI.SignedSweeps.occupied_sweep_trace_bound

by wurtle · Nov 3, 2026 · Mathlib 0df444a (Lean v4.33.1)

representation-theorysigned-sweepsthorp-shuffle

This is the bound at a fixed assignment of marks in one step of the signed sweep moment induction.

Throughout, SpS_pSp​ acts on the word space Wp=ℓ2((C⊔C)p)W_p=\ell^2\big((C\sqcup C)^p\big)Wp​=ℓ2((C⊔C)p), with C={1,…,q}C=\{1,\dots,q\}C={1,…,q} two-coloured into even and odd letters, by the signed action (ρ(g)f)(w)=ε(g,w) f(w∘g)(\rho(g)f)(w)=\varepsilon(g,w)\,f(w\circ g)(ρ(g)f)(w)=ε(g,w)f(w∘g), where ε(g,w)\varepsilon(g,w)ε(g,w) is the sign of the permutation ggg induces between the odd positions of www. For u+v=pu+v=pu+v=p and partitions α⊢u\alpha\vdash uα⊢u, β⊢v\beta\vdash vβ⊢v, the operator Pα,βP_{\alpha,\beta}Pα,β​ is the sum, over the placements of uuu even sites among the ppp sites, of the tensor product of the orthogonal projections onto the SαS^\alphaSα-isotypic part of the uuu even sites and the SβS^\betaSβ-isotypic part of the vvv odd sites. Its entropy is F(α,β)=∑a∈α∪βalog⁡u+vaF(\alpha,\beta)=\sum_{a\in\alpha\cup\beta}a\log\frac{u+v}{a}F(α,β)=∑a∈α∪β​alogau+v​, and a local type on kkk sites is such a pair of total size kkk. For an enumeration eee of the ppp sites by blocks j∈Jj\in Jj∈J with kjk_jkj​ sites each and local types t=(tj)jt=(t_j)_jt=(tj​)j​, PteP^{e}_{t}Pte​ is the corresponding tensor product of local type projections, with F(t)=∑jF(tj)F(t)=\sum_jF(t_j)F(t)=∑j​F(tj​). For a coefficient function f:G→Cf:G\to\mathbb{C}f:G→C on a finite group and a representation π\piπ, π(f)=∑gf(g)π(g)\pi(f)=\sum_gf(g)\pi(g)π(f)=∑g​f(g)π(g).

Let n=2a+bn=2^{a+b}n=2a+b, identified with the rectangle 2a×2b2^a\times2^b2a×2b through the binary coordinates, let p+l=np+l=np+l=n, let zzz be an injection of lll marks into the nnn positions and ι\iotaι an enumeration of the other ppp positions, and let 0≤η≤10\le\eta\le10≤η≤1, τ∈R\tau\in\mathbb{R}τ∈R, q>0q>0q>0, j∈Nj\in\mathbb{N}j∈N, R≥2max⁡(2a,2b)+2q+1R\ge2\max(2^a,2^b)+2q+1R≥2max(2a,2b)+2q+1. Write Jr(λ)=dim⁡SλRe⁡Tr⁡Sλ((T∗T)r)J_r(\lambda)=\dim S^\lambda\operatorname{Re}\operatorname{Tr}_{S^\lambda}\big((T^*T)^r\big)Jr​(λ)=dimSλReTrSλ​((T∗T)r) for the weighted moment of the ddd-coordinate sweep TTT, and

gτ(t,h)=max⁡{0, τhlog⁡t−hlog⁡(t/h)}.g_\tau(t,h)=\max\{0,\ \tau h\log t-h\log(t/h)\}.gτ​(t,h)=max{0, τhlogt−hlog(t/h)}.

Assume that for d∈{a,b}d\in\{a,b\}d∈{a,b} and every signed occurrence of (α,β,γ)(\alpha,\beta,\gamma)(α,β,γ) in λ⊢2d\lambda\vdash2^dλ⊢2d one has J2j(λ)≤exp⁡(ηF(α,β)+gτ(2d,∣γ∣))J_{2^j}(\lambda)\le\exp(\eta F(\alpha,\beta)+g_\tau(2^d,|\gamma|))J2j​(λ)≤exp(ηF(α,β)+gτ​(2d,∣γ∣)). Let c,c′c,c'c,c′ be the coefficients on S2a+bS_{2^{a+b}}S2a+b​ of the 2j2^j2j-th powers of the positive squares of the products of column sweeps and of row sweeps, and let cz,cz′c_z,c'_zcz​,cz′​ be their restrictions to SpS_pSp​ along ι\iotaι. Then for u+v=pu+v=pu+v=p, α⊢u\alpha\vdash uα⊢u, β⊢v\beta\vdash vβ⊢v with at most qqq rows,

Re⁡Tr⁡Wp(Pα,β ρ(cz) ρ(cz′))≤Φ(z)exp⁡(Γτ(z)+(η−1)F(α,β)+l+2bE(2a,q,R)+2aE(2b,q,R)).\operatorname{Re}\operatorname{Tr}_{W_p}\big(P_{\alpha,\beta}\,\rho(c_z)\,\rho(c'_z)\big)\le\Phi(z)\exp\Big(\Gamma_\tau(z)+(\eta-1)F(\alpha,\beta)+l+2^bE(2^a,q,R)+2^aE(2^b,q,R)\Big).ReTrWp​​(Pα,β​ρ(cz​)ρ(cz′​))≤Φ(z)exp(Γτ​(z)+(η−1)F(α,β)+l+2bE(2a,q,R)+2aE(2b,q,R)).

Here, with hjh_jhj​ marks in column jjj and bib_ibi​ marks in row iii, Φ(z)=∏j(2a)hj−1∏i(2b)bi−1\Phi(z)=\prod_j(2^a)_{h_j}^{-1}\prod_i(2^b)_{b_i}^{-1}Φ(z)=∏j​(2a)hj​−1​∏i​(2b)bi​−1​ is the product of inverse falling factorials, Γτ(z)=∑jgτ(2a,hj)+∑igτ(2b,bi)\Gamma_\tau(z)=\sum_jg_\tau(2^a,h_j)+\sum_ig_\tau(2^b,b_i)Γτ​(z)=∑j​gτ​(2a,hj​)+∑i​gτ​(2b,bi​), and

E(t,q,R)=Eloc(t,q,R)+(4⌊t⌋+1)log⁡R+2q2log⁡R,E(t,q,R)=E_{\mathrm{loc}}(t,q,R)+\big(4\lfloor\sqrt t\rfloor+1\big)\log R+2q^2\log R,E(t,q,R)=Eloc​(t,q,R)+(4⌊t​⌋+1)logR+2q2logR,

where Eloc(t,q,R)=(2⌊t⌋+26q2+8q+1)log⁡R+8q+1E_{\mathrm{loc}}(t,q,R)=\big(2\lfloor\sqrt t\rfloor+26q^2+8q+1\big)\log R+8q+1Eloc​(t,q,R)=(2⌊t​⌋+26q2+8q+1)logR+8q+1.

The bound is what remains to be summed over mark assignments in the induction step.

Formalization Note The upstream statement is reproduced verbatim from OccupiedSweep.lean; columns are indexed by 2b2^b2b and rows by 2a2^a2a through sweepBoard.

Preamble
import Mathlib
import Definitions.Def_SignedSweepMoment
import Definitions.Def_OAISignedSweepsProofDefs

open scoped BigOperators Classical
Formal statement
theorem OAI.SignedSweeps.occupied_sweep_trace_bound {a b j q R p l : ℕ} (hq : 0 < q)
    (hn : p+l=2^(a+b)) (z : MarkedAssignment l (2^(a+b)))
    {η τ : ℝ} (hη : 0 ≤ η) (hη' : η ≤ 1)
    (HA : ∀ (lam : Partition (2^a)) (u v l : ℕ) (h : u+v+l=2^a)
      (α : Partition u) (β : Partition v) (γ : Partition l),
      SignedOccurrence h α β γ lam → weightedMoment lam (2^j) ≤
        Real.exp (η*signedEntropy α β+clippedBudget τ (2^a) l))
    (HB : ∀ (lam : Partition (2^b)) (u v l : ℕ) (h : u+v+l=2^b)
      (α : Partition u) (β : Partition v) (γ : Partition l),
      SignedOccurrence h α β γ lam → weightedMoment lam (2^j) ≤
        Real.exp (η*signedEntropy α β+clippedBudget τ (2^b) l))
    (hR : 2*max (2^a) (2^b)+2*q+1 ≤ R)
    {u v : ℕ} (h : u+v=p) (α : Partition u) (β : Partition v)
    (hα : α.1.colLen 0 ≤ q) (hβ : β.1.colLen 0 ≤ q) :
    (LinearMap.trace ℂ (WordSpace p (Fin q ⊕ Fin q))
      (pairTypeProjection h α β (Fin q) *
        coefficientAction (signedWordRepresentation p (Fin q))
          (fun g => columnPowerCoefficient a b (2^j) (g.viaEmbedding (markedInjection hn z))) *
        coefficientAction (signedWordRepresentation p (Fin q))
          (fun g => rowPowerCoefficient a b (2^j) (g.viaEmbedding (markedInjection hn z))))).re ≤
      holePrefactor (markedBoardPlacement (sweepBoard a b) z) *
      Real.exp (holeBudget τ (markedBoardPlacement (sweepBoard a b) z).1+
        (η-1)*signedEntropy α β+l+(2^b : ℕ)*typedLineError (2^a) q R+
        (2^a : ℕ)*typedLineError (2^b) q R) := by sorry
Source
OpenAI, "Signed tensor densities and diagram budgets for the Thorp shuffle" (September 26, 2026), openai/math preprints/Signed-tensor-densities-and-diagram-budgets-for-coordinate-sweeps-September-26-2026/paper.pdf, Section 4, eqs. (21)-(26). Lean: https://github.com/openai/math/blob/adc7f1241b42e322a6451854ab7e4b4c146bf78a/lean/OAI/Probability/SignedSweeps/OccupiedSweep.lean#L79-L194

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