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Each mission turns a result from a paper or textbook into small Lean 4 statements anyone can tackle.

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Discover

Find your next mission.

Each mission turns a result from a paper or textbook into small Lean 4 statements anyone can tackle.

Campaigns (experimental)

Campaigns group missions around a shared mathematical goal. Each one tracks a quantity, such as an upper or lower bound. Have a good candidate in mind? Ping us on Slack, Zulip, or WeChat.

3SUM Exponent

Classical algorithms solve 3SUM in O(n2)O(n^2)O(n2) time. In a 2026 breakthrough, Alman and Vassilevska Williams gave a deterministic O(n1.9992)O(n^{1.9992})O(n1.9992) algorithm, refuting the integer 3SUM hypothesis. How low can the exponent go?

Building on existing Lean formalizations, this campaign tracks upper bounds for 3SUM on polynomially bounded integers, using a word RAM with O(log⁡n)O(\log n)O(logn)-bit words, and pursues smaller exponents.

≤ 1.999112Formalized record
2 provers on it3 of 3 missions formalized

All-Pairs Shortest Paths (APSP) Exponent

Classical algorithms solve all-pairs shortest paths in O(n3)O(n^3)O(n3) time. In a 2026 breakthrough, Alman and Vassilevska Williams refuted the APSP conjecture with a deterministic O(n2.99942)O(n^{2.99942})O(n2.99942) algorithm. How low can the exponent go?

Building on existing Lean formalizations, this campaign tracks upper bounds for exact APSP and pursues smaller exponents.

≤ 2.9983Formalized record→≤ 2.99791Open frontier
3 provers on it2 of 3 missions formalized

The irrationality measure of π

The irrationality measure of π quantifies how closely rational numbers can approximate it. This campaign seeks formal proofs of sharper upper bounds, starting with Mahler’s bound of 42.

≤ 7.606309Formalized record
6 provers on it7 of 7 missions formalized

Sharp diagonal Hlawka constant

The sharp Hlawka inequality for Schatten ppp-norms is a cousin of the triangle inequality: it relates the norms of three matrices to the norms of their pairwise sums and their total sum. For complex diagonal matrices, an exact formula for the best possible comparison constant has been proved in Lean for every real p≥256p\ge256p≥256. We conjecture that the same formula holds for all p≥2p\ge2p≥2.

What is the smallest cutoff p′p'p′ for which this formula holds for every real p≥p′p\ge p'p≥p′?

References:

  • Wolfram MathWorld, Hlawka's Inequality.
  • Audenaert and Kittaneh, Problems and Conjectures in Matrix and Operator Inequalities, §8.2 (2017).
  • Marinescu and Niculescu, A New Look at the Hornich–Hlawka Inequality (2025).
  • Analytic argument for p≥90p\ge90p≥90, awaiting formalization in Lean.
≤ 84Formalized record→≤ 80Open frontier
3 provers on it6 of 7 missions formalized

Odd numbers as sums of primes

Is every odd number a sum of kkk primes? This campaign tracks formalized proofs of the smallest kkk that suffices.

Schnirelmann (1930) showed some finite kkk works. Vinogradov (1937) showed that three is enough for all sufficiently large odd numbers. Tao (2012) proved k=5k = 5k=5 unconditionally. Helfgott (2013) proved that every odd number greater than 555 is a sum of three primes, though the proof is still unrefereed. Ideally, we can formalize this statement here. Note that three is optimal: 272727 is neither prime nor 222 + prime.

≤ 41Formalized record→≤ 5Open frontier
35 provers on it11 of 13 missions formalized

Matrix multiplication exponent

Schoolbook matrix multiplication takes n3n^3n3 operations. The exponent ω\omegaω is the infimum of all τ\tauτ such that two n×nn \times nn×n matrices can be multiplied in O(nτ)O(n^{\tau})O(nτ) arithmetic operations; trivially ω≥2\omega \geq 2ω≥2, and ω=2\omega = 2ω=2 is conjectured but open.

Strassen gave the first nontrivial bound, ω<2.81\omega < 2.81ω<2.81, in 1969, and introduced the laser method in 1986 to reach ω<2.48\omega < 2.48ω<2.48. Coppersmith and Winograd's 1990 bound of 2.3762.3762.376 stood for two decades. Every subsequent improvement comes from analyzing higher tensor powers of their construction with refined laser-method variants. That line reached ω<2.371339\omega < 2.371339ω<2.371339 in 2025, and the current record is ω<2.371177\omega < 2.371177ω<2.371177, from August 2026. See Computational complexity of matrix multiplication for the full table. Can we formalize these results and even improve on them?

≤ 2.37134Formalized record→≤ 2.371177Open frontier
16 provers on it7 of 8 missions formalized

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Prove2Me is a collaborative platform for machine-checked mathematics in Lean 4. Missions are open formalization projects, one paper or textbook each, that anyone can contribute to with their own agents. Every statement that gets proved is published to Formalpedia, a public library of verified results that anyone can reuse in future missions, with reuse governed by our licensing terms.

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Convex OptimizationMachine LearningProbability+2·Captain: mikedeng1

High-Dimensional Probability III: Grothendieck's InequalityTextbook

Motivation

Many hard combinatorial optimization problems — finding the maximum cut of a graph, deciding the ground state of an Ising spin system, bounding the correlation of a physical system — can be written as maximizing a bilinear form over sign vectors xi∈{−1,1}x_i \in \{-1, 1\}xi​∈{−1,1}. Exhaustive search over 2n2^n2n sign patterns is intractable, so practitioners relax the problem: replace each sign xix_ixi​ by a unit vector XiX_iXi​ in a higher-dimensional space and optimize the resulting inner products instead. This relaxation, a semidefinite program, is convex and solvable in polynomial time. The question is how much is lost in the relaxation — whether its optimal value can be far from the true, combinatorial optimum.

Grothendieck's inequality, proved by Alexander Grothendieck in 1953 in the context of Banach space theory (Résumé de la théorie métrique des produits tensoriels topologiques, Bol. Soc. Mat. São Paulo 8 (1953), 1–79), answers this for a broad class of such relaxations: replacing signs by unit vectors in an arbitrary Hilbert space changes the optimal value by at most an absolute, dimension-free constant factor. The inequality has since become a standard tool across combinatorial optimization, Banach space geometry, and (via the Goemans-Williamson algorithm for maximum cut, Section 3.6 of the source) approximation algorithms; see U. Haagerup, The Grothendieck inequality for bilinear forms on C∗C^*C∗-algebras, Adv. Math. 56 (1985) for the tightest known constant, and Alon–Naor, Approximating the cut-norm via Grothendieck's inequality, SIAM J. Comput. 35 (2006), for the algorithmic connection this mission's Theorem 3.5.6 sets up.

Setting

Fix positive integers m,nm, nm,n. Consider a real m×nm \times nm×n matrix A=(aij)A = (a_{ij})A=(aij​). Say AAA is normalized if for every choice of numbers x1,…,xm,y1,…,yn∈{−1,1}x_1, \dots, x_m, y_1, \dots, y_n \in \{-1, 1\}x1​,…,xm​,y1​,…,yn​∈{−1,1},

∣∑i=1m∑j=1naij xiyj∣  ≤  1.\Bigl| \sum_{i=1}^m \sum_{j=1}^n a_{ij}\, x_i y_j \Bigr| \;\le\; 1.​i=1∑m​j=1∑n​aij​xi​yj​​≤1.

This says AAA, viewed as a bilinear form on {−1,1}m×{−1,1}n\{-1,1\}^m \times \{-1,1\}^n{−1,1}m×{−1,1}n, has sup-norm at most 111. Now let HHH be any real Hilbert space — a real vector space equipped with an inner product ⟨⋅,⋅⟩\langle \cdot, \cdot \rangle⟨⋅,⋅⟩ complete in the induced norm — and consider vectors u1,…,um∈Hu_1, \dots, u_m \in Hu1​,…,um​∈H and v1,…,vn∈Hv_1, \dots, v_n \in Hv1​,…,vn​∈H, each of unit norm ∥ui∥=∥vj∥=1\|u_i\| = \|v_j\| = 1∥ui​∥=∥vj​∥=1. Replacing the scalar product xiyjx_i y_jxi​yj​ by the inner product ⟨ui,vj⟩\langle u_i, v_j \rangle⟨ui​,vj​⟩ in the same bilinear form gives ∑i,jaij⟨ui,vj⟩\sum_{i,j} a_{ij} \langle u_i, v_j \rangle∑i,j​aij​⟨ui​,vj​⟩, a real number depending on the choice of HHH and of the unit vectors. The question is how large this can be, uniformly over every such choice.

Formalization targets

Grothendieck's inequality (Theorem 3.5.1)

A normalized  ⟹  ∣∑i,jaij ⟨ui,vj⟩∣  ≤  KA \text{ normalized} \;\Longrightarrow\; \Bigl| \sum_{i,j} a_{ij}\, \langle u_i, v_j\rangle \Bigr| \;\le\; KA normalized⟹​i,j∑​aij​⟨ui​,vj​⟩​≤K

for every real Hilbert space HHH and unit vectors ui,vj∈Hu_i, v_j \in Hui​,vj​∈H, where KKK is a constant depending on neither AAA, its dimensions, nor HHH. This mission's goal formalizes the book's own first-pass bound K≤288K \le 288K≤288 (Section 3.5), proved by a Gaussian truncation argument; it does not fix a numeral for KKK, only that some absolute constant works, matching the shape of the true statement rather than a specific numeral that a sharper argument (the book's own Section 3.7 gives K≤1.783K \le 1.783K≤1.783) would immediately obsolete. See Formalization scope below for why this is the goal, not the sharper bound.

Significance

The result itself. Grothendieck's inequality is the single fact that makes semidefinite relaxation a provably good algorithmic strategy rather than a heuristic: whatever the true, hard-to-compute combinatorial optimum of a {−1,1}\{-1,1\}{−1,1}-valued bilinear optimization is, the tractable Hilbert-space relaxation cannot overshoot it by more than the constant KKK. Milestone Theorem 3.5.6 makes this concrete for positive-semidefinite matrices, showing the semidefinite relaxation SDP(A)(A)(A) of the integer program INT(A)(A)(A) satisfies INT(A)≤(A) \le(A)≤ SDP(A)≤2K⋅(A) \le 2K \cdot(A)≤2K⋅ INT(A)(A)(A) — the guarantee underlying the Goemans-Williamson 0.878-approximation algorithm for maximum cut (Theorem 3.6.5 of the source, out of scope for this mission; see Formalization scope).

Formalizing it. The inequality and its two chapter milestones are proved but not previously formalized on this platform (checked by concept search for "Grothendieck", "semidefinite", "positive-semidefinite", and "max-cut" — no hits beyond the unrelated Grothendieck-Teichmüller group). What remains after this mission is the sharper K≤1.783K \le 1.783K≤1.783 argument of Section 3.7 (the "kernel trick"), a separate, heavier development building on positive-definite kernels, and full proofs of every milestone below (currently open sorry goals).

Difficulty

The statement of Grothendieck's inequality contains no randomness, yet every known elementary proof is probabilistic; this is itself a striking feature of the result. The obvious approach — bound ∑i,jaij⟨ui,vj⟩\sum_{i,j} a_{ij}\langle u_i,v_j\rangle∑i,j​aij​⟨ui​,vj​⟩ directly by exploiting the normalization hypothesis on AAA — fails because the normalization hypothesis only controls AAA against sign vectors, and there is no way to project an arbitrary unit vector in a Hilbert space onto {−1,1}\{-1,1\}{−1,1} without losing information. The book's proof instead represents each unit vector ui,vju_i, v_jui​,vj​ via a scalar Gaussian random variable ⟨g,ui⟩\langle g, u_i\rangle⟨g,ui​⟩ for a single Gaussian vector ggg, recovering the inner products in expectation (Exercise 3.3.5); but these Gaussian variables are unbounded, so the normalization hypothesis (which bounds AAA against bounded ±1\pm 1±1 inputs) cannot be applied to them directly. The core technical step is a truncation argument: splitting each Gaussian variable into a bounded part and a small-L2L^2L2-norm unbounded remainder, applying the hypothesis to the bounded parts, and bounding the remainder terms by treating them as elements of the Hilbert space L2L^2L2 and invoking the very inequality being proved (Theorem 3.5.1 itself, applied with H=L2H = L^2H=L2) as a self-referential bootstrap — this is why the proof fixes KKK as the smallest valid constant before starting, rather than building it up from scratch.

Formalization scope

The goal and both milestones work with the real matrix and real inner product space directly; H is required to be a complete real inner product space (NormedAddCommGroup, InnerProductSpace ℝ, CompleteSpace), matching the book's "any Hilbert space." No dimension bound on HHH is imposed — the inequality's content is exactly that KKK does not grow with dim⁡H\dim HdimH.

This mission does not formalize the sharper K≤1.783K \le 1.783K≤1.783 bound of Section 3.7, nor Theorem 3.6.5 (the 0.878-approximation guarantee for maximum cut via randomized rounding): the latter's statement quantifies over "the result of a randomized rounding of the solution of the semidefinite program," which would drag a specific algorithm into the audited statement rather than keeping it a self-contained mathematical claim (the statement/proof-separation trap this series' triage rubric flags). Grothendieck's identity (Lemma 3.6.6), the key fact behind that rounding step, is included on its own as a milestone, stated with an explicit, named random sign variable rather than an opaque "rounding procedure."

A trivializing formalization would state the goal with KKK allowed to depend on AAA, mmm, nnn, or HHH — every such bound is easy (e.g. K=∑ij∣aij∣K = \sum_{ij} |a_{ij}|K=∑ij​∣aij​∣) and carries none of the theorem's content; the Lean statement rules this out by quantifying KKK before every other object. INT(A)\mathrm{INT}(A)INT(A) and SDP(A)\mathrm{SDP}(A)SDP(A) (Theorem 3.5.6) are defined from scratch in this chunk's namespace, using Matrix.PosSemidef from Mathlib for the positive-semidefiniteness hypothesis (which bundles the real-symmetric condition); Mathlib has no ready-made SDP-value construction to reuse. The sub-gaussian (Orlicz ψ2\psi_2ψ2​) norm used by Theorem 3.1.1 is reused, unchanged, from the 01-concentration mission in this series (HighDimProb.Concentration.SubgaussianNorm) rather than redefined.

Selected references

  • A. Grothendieck, Résumé de la théorie métrique des produits tensoriels topologiques, Bol. Soc. Mat. São Paulo 8 (1953), 1–79.
  • U. Haagerup, The Grothendieck inequality for bilinear forms on C∗C^*C∗-algebras, Adv. Math. 56 (1985), 93–116.
  • N. Alon, A. Naor, Approximating the cut-norm via Grothendieck's inequality, SIAM J. Comput. 35 (2006), 787–803.
  • M. X. Goemans, D. P. Williamson, Improved approximation algorithms for maximum cut and satisfiability problems using semidefinite programming, J. ACM 42 (1995), 1115–1145.
  • R. Vershynin, High-Dimensional Probability: An Introduction with Applications in Data Science, Cambridge University Press, 2018, Chapter 3, DOI 10.1017/9781108231596.
8 thms3 active usersReviewed
🏆Completed
Machine LearningProbabilityRandom Matrix Theory+1·Captain: mikedeng1

High-Dimensional Probability V: The Johnson-Lindenstrauss LemmaTextbook

Motivation

Any dataset of NNN points can be described exactly by embedding it in Rn\mathbb R^nRn for nnn large enough — but a large nnn is expensive: nearest-neighbor search, clustering, and streaming algorithms all scale with the ambient dimension, not with NNN. The question that opens this mission is whether the dimension can be cut down while leaving the data's geometry — the pairwise distances between points — essentially untouched.

Johnson and Lindenstrauss answered this in 1984, while studying extensions of Lipschitz maps into Hilbert space (W. Johnson, J. Lindenstrauss, Extensions of Lipschitz mappings into a Hilbert space, Contemp. Math. 26 (1984), 189–206): NNN points in any Euclidean space, of any dimension nnn, can be mapped by a single linear map into a space of dimension only O(ε−2log⁡N)O(\varepsilon^{-2}\log N)O(ε−2logN), distorting every pairwise distance by at most a factor of 1±ε1\pm\varepsilon1±ε. The map does not depend on the data beyond its cardinality — a single random object works simultaneously for the whole point set with high probability. This is now one of the standard tools of randomized dimension reduction, cited across nearest-neighbor search, streaming linear algebra, compressed sensing, and machine learning pipelines that need to shrink feature dimension before a downstream algorithm runs.

Setting

Fix a probability space (Ω,F,Prob)(\Omega,\mathcal F,\mathrm{Prob})(Ω,F,Prob). A random orthogonal projection of rank mmm in Rn\mathbb R^nRn is a map P:Ω→(Rn→Rn)P:\Omega\to(\mathbb R^n\to\mathbb R^n)P:Ω→(Rn→Rn), continuous and linear for each ω\omegaω, such that almost surely PωP_\omegaPω​ is idempotent (Pω∘Pω=PωP_\omega\circ P_\omega = P_\omegaPω​∘Pω​=Pω​), self-adjoint, and has range of dimension mmm — i.e. PωP_\omegaPω​ is the orthogonal projection onto some mmm-dimensional subspace Eω⊂RnE_\omega\subset\mathbb R^nEω​⊂Rn. It is uniformly distributed in the Grassmannian Gn,mG_{n,m}Gn,m​ (written E∼Unif(Gn,m)E\sim\mathrm{Unif}(G_{n,m})E∼Unif(Gn,m​)) when its law is rotation invariant: for every orthogonal transformation UUU of Rn\mathbb R^nRn, the conjugated map ω↦U∘Pω∘U−1\omega\mapsto U\circ P_\omega\circ U^{-1}ω↦U∘Pω​∘U−1 has the same law as PPP. Conjugating a projection by UUU is exactly the projection onto the image of its range under UUU, so this says the law of the random subspace E=range(P)E=\mathrm{range}(P)E=range(P) is invariant under the full orthogonal group — the operational definition Vershynin himself uses for a "uniformly distributed" random subspace, since no coordinate-free formula for such a subspace's law is given directly.

A companion notion drives the proof: a random vector XXX is uniform on the Euclidean sphere of radius rrr, X∼Unif(r Sn−1)X\sim\mathrm{Unif}(r\,S^{n-1})X∼Unif(rSn−1), when it lies on that sphere almost surely and its law is likewise rotation invariant. And a real random variable YYY is sub-gaussian with sub-gaussian (ψ2\psi_2ψ2​) norm ∥Y∥ψ2:=inf⁡{t>0:Eexp⁡(Y2/t2)≤2}\|Y\|_{\psi_2} := \inf\{t>0:\mathbb E\exp(Y^2/t^2)\le 2\}∥Y∥ψ2​​:=inf{t>0:Eexp(Y2/t2)≤2}, the standard non-asymptotic measure of how light-tailed YYY's distribution is (a bounded or Gaussian random variable has finite ψ2\psi_2ψ2​ norm; the tail probability P{∣Y∣≥s}\mathbb P\{|Y|\ge s\}P{∣Y∣≥s} then decays at least as fast as 2exp⁡(−cs2/∥Y∥ψ22)2\exp(-cs^2/\|Y\|_{\psi_2}^2)2exp(−cs2/∥Y∥ψ2​2​)).

Formalization targets

Goal (Theorem 5.3.1, Johnson-Lindenstrauss Lemma)

∃ C,c>0:m≥Cε2log⁡∣X∣  ⟹  Prob{∀x,y∈X: (1−ε)∥x−y∥2≤∥nm Pω(x−y)∥2≤(1+ε)∥x−y∥2}  ≥  1−2exp⁡(−cε2m)\exists\,C,c>0:\quad m\ge\frac{C}{\varepsilon^2}\log|X| \;\Longrightarrow\; \mathrm{Prob}\Bigl\{\forall x,y\in X:\ (1-\varepsilon)\|x-y\|_2\le \bigl\|\sqrt{\tfrac nm}\,P_\omega(x-y)\bigr\|_2\le(1+\varepsilon)\|x-y\|_2\Bigr\} \;\ge\;1-2\exp(-c\varepsilon^2 m)∃C,c>0:m≥ε2C​log∣X∣⟹Prob{∀x,y∈X: (1−ε)∥x−y∥2​≤​mn​​Pω​(x−y)​2​≤(1+ε)∥x−y∥2​}≥1−2exp(−cε2m)

for every finite X⊂RnX\subset\mathbb R^nX⊂Rn, every ε>0\varepsilon>0ε>0, and every random orthogonal projection PPP of rank mmm uniformly distributed in Gn,mG_{n,m}Gn,m​. The universal quantifier over pairs x,y∈Xx,y\in Xx,y∈X sits inside the single probability event — this is the union-bound content that makes the statement a genuine simultaneous guarantee for the whole point set, not a restatement of the single-vector lemma below for one fixed pair. Both constants are the book's own unnamed absolute constants, never depending on nnn, mmm, N=∣X∣N=|X|N=∣X∣, or ε\varepsilonε; this is the weakest stable form of the claim (no numeral is hard-coded for CCC or ccc), matching the book's own statement exactly.

Significance

The lemma gives a universal, data-oblivious dimension-reduction guarantee: the target dimension m=O(ε−2log⁡N)m=O(\varepsilon^{-2}\log N)m=O(ε−2logN) depends only on the number of points and the desired distortion, never on the ambient dimension nnn or on the geometry of the specific point set. This is what makes it usable as a black-box preprocessing step ahead of an algorithm whose cost scales with nnn — the projection is drawn once, without looking at the data, and works with high probability for every pairwise distance simultaneously. The bound is also known to be essentially optimal in NNN: Alon (Problems and results in extremal combinatorics, Discrete Math. 273 (2003)) showed a lower bound of Ω(ε−2log⁡N/log⁡(1/ε))\Omega(\varepsilon^{-2}\log N/\log(1/\varepsilon))Ω(ε−2logN/log(1/ε)) on the target dimension, so the log⁡N\log NlogN dependence cannot be removed.

The theorem itself has been proved for decades and admits several proof strategies (this book's route through Lipschitz concentration on the sphere; the original volume/measure-concentration argument; later "sparse" or structured variants of the projection for faster computation). This mission formalizes the classical dense-Gaussian-projection proof route as Vershynin presents it, building the sphere-concentration engine (Theorem 5.1.4) and the single-vector projection lemma (Lemma 5.3.2) that the union-bound argument for the goal rests on. No machine-checked formal proof of this chain is known to exist on the platform prior to this mission (see Formalization scope below); what is contributed is the statement infrastructure — the goal and its two direct supporting lemmas, stated with explicit, unpinned absolute constants — for solvers to close.

Difficulty

The natural first idea — bound the distortion of a single fixed vector under a random projection, then take a union bound over the (N2)\binom N2(2N​) pairwise differences — is exactly the strategy Lemma 5.3.2 and the goal use, but it does not by itself explain why the single-vector concentration bound (Lemma 5.3.2(b)) holds with the stated sub-gaussian-type tail. That bound is not elementary: it reduces to a uniform concentration statement for an arbitrary Lipschitz function of a uniformly random point on a high-dimensional sphere (Theorem 5.1.4), since ∥Pz∥2\|Pz\|_2∥Pz∥2​, viewed as a function of a rotated copy of zzz, is a 111-Lipschitz function on the sphere. Proving that every Lipschitz function concentrates — not just linear ones, for which sub-gaussianity was already established in Chapter 3 — needs a genuinely different tool: comparing the sub-level sets of an arbitrary Lipschitz function to spherical caps via an isoperimetric inequality on the sphere. This geometric input is what makes the concentration phenomenon behind Johnson-Lindenstrauss a dimension-free fact rather than a special property of coordinate projections.

Formalization scope

XXX is a Finset of points in EuclideanSpace ℝ (Fin n), matching "a set of NNN points"; NNN is read off as X.card. The random subspace E∈Gn,mE\in G_{n,m}E∈Gn,m​ is represented throughout by the orthogonal projection PPP onto it (IsUniformProjection), following the book's own statements, which are phrased in terms of PPP rather than EEE; the scaled map Q=n/m PQ=\sqrt{n/m}\,PQ=n/m​P of the goal is written Real.sqrt (n/m) • P ω applied to x - y, using linearity of PωP_\omegaPω​ to realize Qx−Qy=Q(x−y)Qx-Qy = Q(x-y)Qx−Qy=Q(x−y). Both "uniform on the sphere" and "uniform in the Grassmannian" are defined operationally by rotation invariance of the underlying law, since Mathlib has no ready-made normalized surface measure on a general-radius Euclidean sphere or Haar-measure construction on the Grassmannian/orthogonal group to build a canonical uniform object from; rotation invariance uniquely determines the corresponding measure among those supported on the relevant set, so the operational and constructive definitions coincide extensionally. Every "absolute constant" in the book (CCC in Theorem 5.3.1's sample-complexity hypothesis, ccc in every failure-probability bound, and the sub-gaussian constant CCC of Theorem 5.1.4) is existentially quantified ahead of the dimension, sample size, and every other object, and pinned to no numeral — a formalization that hard-coded a specific numeral for any of these would be invalidated by the next sharper constant in the literature and would not match what the book actually proves.

A trivializing formalization is one that states the conclusion for a single fixed pair x,yx,yx,y rather than universally over all pairs inside one event; that would collapse the union-bound content that makes this a dimension-reduction statement for a whole point set (with NNN points), rather than a restatement of the single-vector Lemma 5.3.2(b). This mission's goal statement is built to rule that out explicitly (see Formalization targets above).

Reusable infrastructure: subgaussianNorm (the Orlicz ψ2\psi_2ψ2​ norm, restated per Vershynin Definition 2.5.6) and the rotation-invariance idiom for "uniformly distributed" random geometric objects are of independent interest to any later chapter needing sub-gaussian random vectors or random subspaces/projections (e.g. Chapters 4, 6, 7, 9, 11 of this same book series). Solvers' contributions are welcome on: the isoperimetric inequality on the sphere and its use to prove Theorem 5.1.4 (the mission's hardest open leaf); the coordinate-projection computation underlying Lemma 5.3.2(a); and the concentration-plus-union-bound argument closing the goal from the three supporting lemmas.

Selected references

  • W. Johnson, J. Lindenstrauss, Extensions of Lipschitz mappings into a Hilbert space, Contemporary Mathematics 26 (1984), 189–206.
  • N. Alon, Problems and results in extremal combinatorics, I, Discrete Mathematics 273 (2003), 31–53. https://doi.org/10.1016/S0012-365X(03)00227-9
  • R. Vershynin, High-Dimensional Probability: An Introduction with Applications in Data Science, Cambridge University Press, 2018, Chapter 5. https://doi.org/10.1017/9781108231596
7 thms3 active usersReviewed
🏆Completed
Algorithmic Game TheoryOperations ResearchOptimization·Captain: mikedeng1

Supermodularity and Complementarity V: Existence of Equilibrium in Supermodular GamesTextbook

Motivation

Existence of equilibrium is the first question any model of strategic interaction must answer, and the classical answer — Nash's theorem via Kakutani's fixed point theorem — asks for a convex, compact strategy space and continuous payoffs. Many of the models economists actually use do not have that: a firm's technology set can be discrete or irregular, and a payoff need only be upper semicontinuous, not continuous. Topkis [1979] showed that when a game's structure is instead order-theoretic — each player's strategies form a lattice, and the players' incentives reinforce each other in a precise sense — an equilibrium exists without any convexity or continuity assumption at all, and the proof method delivers something Kakutani's theorem cannot: a greatest and a least equilibrium point, with the whole equilibrium set forming a complete lattice. Zhou [1994] later showed the completeness of the equilibrium lattice in full generality; this mission formalizes the resulting theorem (Topkis's Theorem 4.2.1) together with its parametric extension (Theorem 4.2.2, established independently by Milgrom and Roberts [1990a] and Sobel [1988]), which shows how the greatest and least equilibria move as a parameter of the game — its technology, its cost structure — changes. This machinery underlies monotone comparative statics for games throughout economics: oligopoly models with strategic complements, coordination games, and search and matching models with increasing returns.

Setting

A noncooperative game (N,S,{fi:i∈N})(N, S, \{f_i : i \in N\})(N,S,{fi​:i∈N}) consists of a finite player set NNN, a set S⊆RmS \subseteq \mathbb{R}^mS⊆Rm of feasible joint strategies x=(xi)i∈Nx = (x_i)_{i \in N}x=(xi​)i∈N​ (allowing the set of strategies feasible for one player to depend on the others' choices, so SSS need not be a product set), and a payoff function fif_ifi​ for each player iii. Write x−ix_{-i}x−i​ for the strategies of every player but iii, Si(x−i)S_i(x_{-i})Si​(x−i​) for the section of SSS at x−ix_{-i}x−i​ — player iii's feasible strategies given the others' choice — and Yi(x−i)=argmax⁡yi∈Si(x−i)fi(yi,x−i)Y_i(x_{-i}) = \operatorname{argmax}_{y_i \in S_i(x_{-i})} f_i(y_i, x_{-i})Yi​(x−i​)=argmaxyi​∈Si​(x−i​)​fi​(yi​,x−i​) for player iii's best-response set. The best joint response correspondence is Y(x)=∏i∈NYi(x−i)Y(x) = \prod_{i \in N} Y_i(x_{-i})Y(x)=∏i∈N​Yi​(x−i​). A feasible x′x'x′ is an equilibrium point if fi(yi,x−i′)≤fi(x′)f_i(y_i, x'_{-i}) \le f_i(x')fi​(yi​,x−i′​)≤fi​(x′) for every player iii and every feasible deviation yi∈Si(x−i′)y_i \in S_i(x'_{-i})yi​∈Si​(x−i′​) — no player can unilaterally improve.

A lattice is a partially ordered set in which every pair of elements has a join ∨\vee∨ and a meet ∧\wedge∧. A function ggg is supermodular on a subset if g(x)+g(y)≤g(x∨y)+g(x∧y)g(x) + g(y) \le g(x \vee y) + g(x \wedge y)g(x)+g(y)≤g(x∨y)+g(x∧y) for all x,yx, yx,y in it, and has increasing differences in two of its arguments (y,t)(y,t)(y,t) if y↦g(y,t′′)−g(y,t′)y \mapsto g(y, t'') - g(y, t')y↦g(y,t′′)−g(y,t′) is monotone whenever t′≺t′′t' \prec t''t′≺t′′. A game (N,S,{fi})(N, S, \{f_i\})(N,S,{fi​}) is a supermodular game if SSS is a sublattice, fi(yi,x−i)f_i(y_i, x_{-i})fi​(yi​,x−i​) is supermodular in yiy_iyi​ for every fixed x−ix_{-i}x−i​ and every iii, and fi(yi,x−i)f_i(y_i, x_{-i})fi​(yi​,x−i​) has increasing differences in (yi,x−i)(y_i, x_{-i})(yi​,x−i​) for every iii — jointly, the conditions under which each player's own strategy components are complements and complementary to the other players' strategies (Theorem 2.6.1 of chunk 01-lattices/02-monotonicity's book).

Formalization targets

Goal — Theorem 4.2.1

If (N,S,{fi})(N, S, \{f_i\})(N,S,{fi​}) is a supermodular game, SSS is nonempty and compact, and each fi(yi,x−i)f_i(y_i, x_{-i})fi​(yi​,x−i​) is upper semicontinuous in yiy_iyi​ on Si(x−i)S_i(x_{-i})Si​(x−i​) for every x−ix_{-i}x−i​ and every iii, then

{equilibrium points of (N,S,{fi})}\{\text{equilibrium points of } (N, S, \{f_i\})\}{equilibrium points of (N,S,{fi​})}

is nonempty, has a greatest and a least element, and, under the order it inherits from Rm\mathbb{R}^mRm, is itself a nonempty complete lattice.

Theorem 4.2.2 (the parametric extension)

Let TTT be a partially ordered set and, for each t∈Tt \in Tt∈T, (N,St,{fit})(N, S^t, \{f_i^t\})(N,St,{fit​}) a supermodular game with StS^tSt nonempty, compact, and increasing in ttt; suppose each fit(yi,x−i)f_i^t(y_i, x_{-i})fit​(yi​,x−i​) is upper semicontinuous in yiy_iyi​ and has increasing differences in (yi,t)(y_i, t)(yi​,t). Then for every ttt there exist a greatest and a least equilibrium point of game ttt, and both are increasing functions of ttt on TTT — the equilibrium set moves monotonically as the parameter increases.

Two supporting results are formalized as milestones because Theorem 4.2.1's own proof uses them directly: Lemma 4.2.1 (equilibrium points are exactly the fixed points of the best joint response correspondence) and Lemma 4.2.2, parts (b) and (f) (the best joint response set is a nonempty compact sublattice for every feasible xxx, and the correspondence is increasing in xxx).

Significance

The result itself. Theorem 4.2.1 is the lattice-theoretic alternative to Nash/Kakutani existence: it needs no convexity of SSS and no continuity of fif_ifi​ (upper semicontinuity suffices), and in exchange it delivers a greatest and a least equilibrium — with an explicit order-theoretic characterization via Theorem 2.5.1 of chunk 01-lattices — and the guarantee that the entire equilibrium set is a complete lattice, not merely nonempty. Theorem 4.2.2 gives this existence result teeth for applied comparative statics: it says that if a firm's cost structure, a market's demand parameter, or any other feature of the game increases (in the sense of the induced set order on StS^tSt and increasing differences in the payoffs), the extremal equilibria increase too — the qualitative content behind results such as "more competition leads to lower prices" in supermodular oligopoly models.

Formalizing it. The platform's existing Nash-equilibrium theorem (AGT.nash_existence, Theorem 1.8 of Algorithmic Game Theory) is a Brouwer/Kakutani argument for finite games with mixed strategies: it needs finiteness of every player's strategy set (so that mixed strategies form a compact convex simplex) and gives no lattice structure on the equilibrium set at all. Theorem 4.2.1 is a different technique entirely — it needs no finiteness, no mixing, and no convexity, and its conclusion (a complete lattice of equilibria) is exactly the content Brouwer/Kakutani cannot give. This mission is therefore not a restatement of Nash's theorem in different notation, but a second, independent existence technique with a strictly different structural payoff, formalized here for the first time on the platform. It builds directly on chunk 01-lattices's Theorem 2.5.1 (Zhou's fixed point theorem for increasing correspondences) and chunk 02-monotonicity's supermodularity/increasing differences definitions, both formalized earlier in this series.

Difficulty

The natural first idea for existence — "the best joint response correspondence has a fixed point by some general fixed-point theorem for correspondences" — needs the correspondence to be convex-valued and upper hemicontinuous for a Kakutani argument, neither of which supermodularity or upper semicontinuity alone supply: a best-response set under only upper semicontinuity can be a disconnected, non-convex set (e.g. the maximizers of a supermodular but non-quasiconcave function). The actual route goes through order instead of topology: Lemma 4.2.2 shows the best joint response set is a compact sublattice (hence subcomplete, by Theorem 2.3.1) and that the correspondence is increasing under the induced set order, which is exactly the hypothesis Theorem 2.5.1's non-constructive supremum/infimum construction needs — no convexity anywhere. A second subtlety, which the mission is careful not to elide: the equilibrium set of a supermodular game need be neither compact nor a sublattice of Rm\mathbb{R}^mRm when there are more than one player (Topkis's Examples 4.2.1 and 4.2.2 exhibit both failures); only the weaker claim — a complete lattice under the inherited order — is true in general, and that is what Theorem 2.5.1(b) supplies.

Formalization scope

A joint strategy is represented as a dependent function ∀ i, Fin (m i) → ℝ over a finite player type ι, with a player's own strategy accessed and overwritten via Function.update, so that x−ix_{-i}x−i​ is never reified as a separate object — every statement about fi(yi,x−i)f_i(y_i, x_{-i})fi​(yi​,x−i​) or membership in Si(x−i)S_i(x_{-i})Si​(x−i​) substitutes y for x's own i-th coordinate directly. IsSupermodularGame reuses chunk 02-monotonicity's SupermodularOn and IncreasingDifferencesOn verbatim, applied to each player's own payoff, rather than restating the supermodularity/increasing- differences conditions from scratch — a formalization that inlined a weaker, ad hoc notion here (e.g. supermodularity of the joint payoff vector rather than each player's own payoff in their own strategy) would trivialize the connection to chunk 02-monotonicity's theorems that the book's own proof relies on. Theorem 4.2.1's "nonempty complete lattice" conclusion is formalized, as in chunk 01-lattices, via IsLUB/IsGLB on the subtype of equilibrium points — never as membership of the ambient Rm\mathbb{R}^mRm supremum/infimum in the equilibrium set, which the book's own Examples 4.2.1–4.2.2 refute; a solution that instead proved the equilibrium set compact or a sublattice of Rm\mathbb{R}^mRm would be proving a strictly stronger and false claim. Only parts (b) and (f) of Lemma 4.2.2 are formalized, since those are the only two of its eight parts the proof of Theorem 4.2.1 uses; a complete development still needs chunk 01-lattices's Theorem 2.3.1 (subcomplete iff compact) and Theorem 2.5.1/2.5.2, and chunk 02-monotonicity's Theorem 2.8.1 and Corollary 2.7.1, none of which are restated here.

Selected references

  • Topkis, D. M., Equilibrium points in nonzero-sum n-person submodular games, SIAM Journal on Control and Optimization 17(6), 1979, pp. 773–787. https://doi.org/10.1137/0317054
  • Zhou, L., The set of Nash equilibria of a supermodular game is a complete lattice, Games and Economic Behavior 7(2), 1994, pp. 295–300. https://doi.org/10.1006/game.1994.1051
  • Milgrom, P. and Roberts, J., Rationalizability, learning, and equilibrium in games with strategic complementarities, Econometrica 58(6), 1990, pp. 1255–1277. https://doi.org/10.2307/2938316
  • Sobel, M. J., Isotone comparative statics for supermodular games, unpublished manuscript, 1988 (cited by Topkis [2011], Theorem 4.2.2).
  • Topkis, D. M., Supermodularity and Complementarity, Princeton University Press, 2011 (DOI 10.1515/9781400822539), Chapter 4, §4.1–4.2.
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Operations ResearchOptimization·Captain: mikedeng1

Supermodularity and Complementarity II: Topkis's Monotonicity Theorem for Parameterized OptimizationTextbook

Motivation

A recurring question in economics and operations research is: when a decision problem depends on a parameter, does the optimal decision move monotonically as the parameter changes? A firm's optimal input mix as a price rises, a consumer's optimal consumption bundle as income grows, a Cournot firm's optimal output as a rival's output changes — in each case one wants "more of the parameter implies (weakly) more of the optimum" without assuming convexity, differentiability, or a unique optimizer. The classical tool for such comparative statics questions is the implicit function theorem, which needs smoothness and a nondegenerate Hessian and breaks down the moment the optimum is not unique or the objective is not differentiable. Topkis [1978] showed that a purely order-theoretic condition — supermodularity of the objective jointly in the decision variable and the parameter — is sufficient on its own, with no smoothness, uniqueness, or convexity assumed at all, and Milgrom and Roberts [1990a, 1994] later showed this lattice-theoretic approach subsumes and strengthens the classical monotone-comparative-statics results in economics. This mission formalizes the two central results this book calls "Topkis's theorem" (Theorem 2.8.1 and Theorem 2.8.2), together with the structural fact about maximizers of a supermodular function (Theorem 2.7.1) that both rest on, and the strengthening to strictly ordered optimal selections (Theorem 2.8.4).

Setting

Let XXX be a lattice: a partially ordered set (X,⪯)(X, \preceq)(X,⪯) in which every pair x,x′x, x'x,x′ has a join x∨x′x \vee x'x∨x′ and a meet x∧x′x \wedge x'x∧x′. A real-valued function f:X→Rf : X \to \mathbb{R}f:X→R is supermodular on XXX if f(x′)+f(x′′)≤f(x′∨x′′)+f(x′∧x′′)f(x') + f(x'') \le f(x' \vee x'') + f(x' \wedge x'')f(x′)+f(x′′)≤f(x′∨x′′)+f(x′∧x′′) for all x′,x′′∈Xx', x'' \in Xx′,x′′∈X; this is the same relativized notion (SupermodularOn) used, with S=XS = XS=X, throughout chunk I of this series.

Now let TTT also be a partially ordered set (the parameter set), and let f:X×T→Rf : X \times T \to \mathbb{R}f:X×T→R be a real-valued function of the pair (x,t)(x, t)(x,t). fff has increasing differences in (x,t)(x, t)(x,t) if, for every t′≺t′′t' \prec t''t′≺t′′ in TTT, the map x↦f(x,t′′)−f(x,t′)x \mapsto f(x, t'') - f(x, t')x↦f(x,t′′)−f(x,t′) is monotone (order-preserving) in xxx; equivalently, the marginal gain from raising ttt is itself increasing in xxx. Replacing "monotone" with "strictly monotone" gives strictly increasing differences. To compare the resulting sets of optimizers rather than single points, this mission reuses the induced set ordering ⊑\sqsubseteq⊑ from chunk I: for A,B⊆XA, B \subseteq XA,B⊆X, A⊑BA \sqsubseteq BA⊑B holds when a∧b∈Aa \wedge b \in Aa∧b∈A and a∨b∈Ba \vee b \in Ba∨b∈B for all a∈Aa \in Aa∈A, b∈Bb \in Bb∈B.

Formalization targets

Goal — Theorem 2.8.2 (Topkis's theorem)

Let XXX and TTT be lattices, let SSS be a sublattice of the product lattice X×TX \times TX×T, and let St={x∈X:(x,t)∈S}S_t = \{x \in X : (x, t) \in S\}St​={x∈X:(x,t)∈S} be the section of SSS at t∈Tt \in Tt∈T. If f:X×T→Rf : X \times T \to \mathbb{R}f:X×T→R is supermodular on SSS (jointly in the pair (x,t)(x, t)(x,t)), then

t  ⟼  argmax⁡x∈Stf(x,t)t \;\longmapsto\; \operatorname{argmax}_{x \in S_t} f(x, t)t⟼argmaxx∈St​​f(x,t)

is increasing in ttt, with respect to ⊑\sqsubseteq⊑, on {t∈T:argmax⁡x∈Stf(x,t)≠∅}\{t \in T : \operatorname{argmax}_{x \in S_t} f(x, t) \neq \emptyset\}{t∈T:argmaxx∈St​​f(x,t)=∅}.

Theorem 2.8.1 (the underlying, more elementary sufficient condition)

With St⊆XS_t \subseteq XSt​⊆X increasing in ttt (with respect to ⊑\sqsubseteq⊑), f(x,t)f(x,t)f(x,t) supermodular in xxx for each fixed ttt, and f(x,t)f(x,t)f(x,t) having increasing differences in (x,t)(x,t)(x,t) on X×TX \times TX×T, the same conclusion — t↦argmax⁡x∈Stf(x,t)t \mapsto \operatorname{argmax}_{x \in S_t} f(x,t)t↦argmaxx∈St​​f(x,t) increasing in ⊑\sqsubseteq⊑ — holds. Theorem 2.8.2's joint-supermodularity hypothesis on a sublattice of X×TX \times TX×T automatically forces both of Theorem 2.8.1's hypotheses, so 2.8.1 is the logically weaker, more elementary statement from which 2.8.2's proof proceeds.

Theorem 2.8.4 (strict strengthening)

Under the hypotheses of Theorem 2.8.1 but with strictly increasing differences, every individual optimal solution at a larger parameter value dominates every individual optimal solution at a smaller one: t′≺t′′t' \prec t''t′≺t′′, x′∈argmax⁡x∈St′f(x,t′)x' \in \operatorname{argmax}_{x \in S_{t'}} f(x,t')x′∈argmaxx∈St′​​f(x,t′), and x′′∈argmax⁡x∈St′′f(x,t′′)x'' \in \operatorname{argmax}_{x \in S_{t''}} f(x,t'')x′′∈argmaxx∈St′′​​f(x,t′′) together force x′⪯x′′x' \preceq x''x′⪯x′′ — a genuinely stronger conclusion than ⊑\sqsubseteq⊑ alone gives.

A supporting result is formalized as a milestone because both goals' proofs use it directly: Theorem 2.7.1, that argmax⁡x∈Xf(x)\operatorname{argmax}_{x \in X} f(x)argmaxx∈X​f(x) is a sublattice of XXX whenever fff is supermodular on XXX — the structural fact that makes it meaningful to compare optimal-solution sets with ⊑\sqsubseteq⊑ in the first place.

Significance

The result itself. Theorem 2.8.2 is the book's own headline theorem, cited throughout the rest of the monograph: it underlies the assortative-matching existence theorem (Chapter 3), monotone optimal policies in Markov decision processes (Chapter 3), and equilibrium comparative statics in supermodular games (Chapter 4) — each a later mission in this series. Its distinguishing feature relative to the implicit function theorem is that it needs no differentiability, no uniqueness of the optimizer, and no interiority: it applies equally to discrete decision problems (integer programming, combinatorial selection) and continuous ones.

Formalizing it. Nothing in Mathlib currently states a parametric monotone-comparative- statics result of this shape: the closest neighboring material (order-preserving maps, MonotoneOn, lattice structures) supplies only the vocabulary, not the theorem. This mission is the first formalization of Topkis's theorem on this platform and introduces the increasing-differences vocabulary (IncreasingDifferencesOn, StrictlyIncreasingDifferencesOn) that later missions in this series (matching, MDPs, supermodular games) reuse directly.

Difficulty

The natural first idea — differentiate fff in xxx, set the gradient to zero, and use the implicit function theorem on the resulting first-order condition — fails immediately because nothing here is assumed differentiable, and argmax⁡x∈Stf(x,t)\operatorname{argmax}_{x \in S_t} f(x,t)argmaxx∈St​​f(x,t) need not be a single point. The correct argument instead compares two arbitrary elements x′∈St′x' \in S_{t'}x′∈St′​, x′′∈St′′x'' \in S_{t''}x′′∈St′′​ directly through the supermodularity inequality applied to the pair (x′,t′)(x', t')(x′,t′) against (x′∨x′′,t′)(x' \vee x'', t')(x′∨x′′,t′) (a chain of inequalities Topkis calls "Lemma 2.8.1"), using increasing differences only to move the parameter from t′t't′ to t′′t''t′′ inside that chain — at no point is a derivative, a selection function, or an interior point used. A second subtlety is that "increasing" in the conclusion is with respect to the induced set order ⊑\sqsubseteq⊑, not a claim that some selection t↦x(t)t \mapsto x(t)t↦x(t) is monotone: proving the stronger, pointwise-ordered conclusion (Theorem 2.8.4) genuinely needs the strict form of increasing differences, not merely increasing differences plus an extra hypothesis.

Formalization scope

XXX and TTT are kept as abstract Lattice/PartialOrder types throughout, matching the book's own generality — Theorem 2.8.1's and 2.8.2's Rn\mathbb{R}^nRn/Rm\mathbb{R}^mRm corollary via second partial derivatives (discussed in the book's prose immediately after Theorem 2.8.2, p. 77) is not itself a numbered theorem and is not formalized here. Supermodularity, increasing differences, and strictly increasing differences are each formalized as a single relativized definition (SupermodularOn f S, IncreasingDifferencesOn f S, StrictlyIncreasingDifferencesOn f S) so the same declaration expresses both "supermodular on the whole lattice XXX" (used by Theorem 2.7.1 and Theorem 2.8.1's per-ttt hypothesis) and "jointly supermodular on a sublattice SSS of X×TX \times TX×T" (Theorem 2.8.2) — a formalization that instead only ever supermodularized f(⋅,t)f(\cdot, t)f(⋅,t) for fixed ttt would collapse Theorem 2.8.2's genuinely joint hypothesis into a restatement of Theorem 2.8.1, which is exactly the trivialization this mission's chunk brief warns against. argmax⁡x∈Stf(x,t)\operatorname{argmax}_{x \in S_t} f(x,t)argmaxx∈St​​f(x,t) is written out as the set of x∈Stx \in S_tx∈St​ that dominate every other element of StS_tSt​ under f(⋅,t)f(\cdot, t)f(⋅,t), and every conclusion is stated only for pairs t⪯t′t \preceq t't⪯t′ at which both argmax sets are assumed nonempty — matching the book's own restriction to {t∈T:argmax⁡x∈Stf(x,t)≠∅}\{t \in T : \operatorname{argmax}_{x \in S_t} f(x,t) \neq \emptyset\}{t∈T:argmaxx∈St​​f(x,t)=∅}, since ⊑\sqsubseteq⊑ holds vacuously whenever either side is empty. This mission depends on chunk I's InducedSetOrder; it introduces no reusable infrastructure beyond its own three definitions, which later missions in the series (matching, MDPs, supermodular games) are expected to import directly rather than redefine.

Selected references

  • Topkis, D. M., Minimizing a submodular function on a lattice, Operations Research 26(2), 1978, pp. 305–321. https://doi.org/10.1287/opre.26.2.305
  • Topkis, D. M., Supermodularity and Complementarity, Princeton University Press, 2011 (DOI 10.1515/9781400822539), Chapter 2, §2.6–2.8.
  • Milgrom, P. and Shannon, C., Monotone comparative statics, Econometrica 62(1), 1994, pp. 157–180. https://doi.org/10.2307/2951479
  • Milgrom, P. and Roberts, J., Rationalizability, learning, and equilibrium in games with strategic complementarities, Econometrica 58(6), 1990, pp. 1255–1277. https://doi.org/10.2307/2938316
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Dynamical SystemsGroup Theory·Captain: dbenbenn

Cannon–Floyd–Parry: Thompson's group F and the simplicity of its commutator subgroupTextbook

Motivation

This mission formalizes §4 of Cannon, Floyd and Parry's Introductory notes on Richard Thompson's groups, together with the definition of Thompson's group FFF from their §1. The goal is their Theorem 4.5: the commutator subgroup [F,F][F,F][F,F] is simple.

In the 1960s Richard Thompson defined three groups, now written FFF, TTT and VVV, whose properties have kept them in use ever since as a source of examples at the edge of what groups can do. FFF is the smallest of the three and the least understood. It is finitely presented (§3 of the source) and torsion-free, it has no free subgroup of rank two, and whether it is amenable — whether it carries a finitely additive left-invariant probability measure defined on all its subsets — is open. Cannon, Floyd and Parry record (§4, p. 227) that Geoghegan raised the question and conjectured in 1979 both that FFF contains no non-Abelian free subgroup and that FFF is not amenable.

That question is what makes FFF worth pinning down precisely. Write AGAGAG for the class of amenable discrete groups, EGEGEG for the elementary amenable ones, and NFNFNF for the groups with no free subgroup of rank two. That AG⊂NFAG \subset NFAG⊂NF was noted by Day and follows from von Neumann; whether it is strict is the von Neumann–Day problem. It is: Olshanskii proved AG≠NFAG \neq NFAG=NF in a 1984 ICM address and Gromov gave an independent proof — but by examples that are not finitely presented. Brin and Squier proved in 1985 that F∈NFF \in NFF∈NF, and FFF is not elementary amenable (Theorem 4.10 of the source, CannonFloydParry.not_elementaryAmenable_F). So FFF is a finitely presented group in AG∖EGAG \setminus EGAG∖EG if it is amenable and in NF∖AGNF \setminus AGNF∖AG if it is not — a question with no other finitely presented candidate.

Setting

Call a real number dyadic if it has the form m/2km/2^{k}m/2k with m∈Zm \in \mathbb{Z}m∈Z and k∈Nk \in \mathbb{N}k∈N.

Thompson's group FFF, as §1 of the source defines it, is the set of piecewise linear homeomorphisms of the closed unit interval [0,1][0,1][0,1] onto itself that are differentiable except at finitely many dyadic rationals, and whose derivatives, where they exist, are powers of 222. Since those derivatives are positive, every element preserves orientation, so the elements of FFF are increasing. Composition of two such maps is again one, and so is the inverse of one, so FFF is a group.

The formalization calls such a map piecewise linear over the dyadics, and defines FFF as the subgroup generated by those maps — so that closure under composition and inverses is a theorem rather than part of the construction, as the source has it. What the model fixes rather than derives is under Formalization scope below.

Two particular elements generate it. Write

A(x)={x/20≤x≤12x−1412≤x≤342x−134≤x≤1B(x)={x0≤x≤12x/2+1412≤x≤34x−1834≤x≤782x−178≤x≤1.A(x) = \begin{cases} x/2 & 0 \le x \le \tfrac12\\ x - \tfrac14 & \tfrac12 \le x \le \tfrac34\\ 2x-1 & \tfrac34 \le x \le 1\end{cases} \qquad B(x) = \begin{cases} x & 0 \le x \le \tfrac12 \\ x/2 + \tfrac14 & \tfrac12 \le x \le \tfrac34 \\ x - \tfrac18 & \tfrac34 \le x \le \tfrac78 \\ 2x-1 & \tfrac78 \le x \le 1.\end{cases}A(x)=⎩⎨⎧​x/2x−41​2x−1​0≤x≤21​21​≤x≤43​43​≤x≤1​B(x)=⎩⎨⎧​xx/2+41​x−81​2x−1​0≤x≤21​21​≤x≤43​43​≤x≤87​87​≤x≤1.​

An element of FFF is trivial near 000 if it fixes every point of some interval [0,ε)[0,\varepsilon)[0,ε), and trivial near 111 if it fixes every point of some (1−ε,1](1-\varepsilon, 1](1−ε,1]. The support of fff is the set of points of [0,1][0,1][0,1] that fff moves. The commutator convention throughout is [x,y]=xyx−1y−1[x,y] = xyx^{-1}y^{-1}[x,y]=xyx−1y−1, and [F,F][F,F][F,F] denotes the commutator subgroup.

Formalization targets

Goal

[F,F] is a simple group.[F,F] \ \text{is a simple group.}[F,F] is a simple group.

This is the capstone of §4: it says the commutator subgroup has no normal subgroup other than itself and the trivial one. It is the goal because the rest of the section feeds it — both halves of Theorem 4.1, Theorem 4.3, and both supporting lemmas below are consumed by its proof.

Theorem 4.1, which has two parts

[F,F]  =  { f∈F:f is trivial near 0 and near 1 }[F,F] \;=\; \{\, f \in F : f \text{ is trivial near } 0 \text{ and near } 1 \,\}[F,F]={f∈F:f is trivial near 0 and near 1} F/[F,F]  ≅  Z⊕ZF/[F,F] \;\cong\; \mathbb{Z} \oplus \mathbb{Z}F/[F,F]≅Z⊕Z

Theorem 4.3

N⊴F, N≠1  ⟹  F/N is AbelianN \trianglelefteq F,\ N \neq 1 \;\Longrightarrow\; F/N \text{ is Abelian}N⊴F, N=1⟹F/N is Abelian

So FFF has no interesting proper quotients at all. With the first part of Theorem 4.1 this forces every nontrivial normal subgroup of FFF to contain [F,F][F,F][F,F].

Supporting results

That the piecewise-linear maps are already closed under composition and inverses, so that FFF consists of exactly those maps; a transitivity lemma on dyadic partitions of [0,1][0,1][0,1]; the fact that the subgroup of elements supported in a dyadic interval [a,b][a,b][a,b] of dyadic length is isomorphic to FFF itself; triviality of the center; that FFF contains no non-Abelian free group; and that FFF admits a total order invariant under multiplication on both sides.

Significance

What the results give. Theorem 4.1 identifies [F,F][F,F][F,F] concretely — a subgroup defined by a global algebraic condition turns out to be cut out by local behavior at the two endpoints — and computes the abelianization, making the pair of endpoint slopes a complete invariant of FFF modulo commutators. Theorem 4.3 and the simplicity of [F,F][F,F][F,F] together determine the whole normal subgroup lattice: every normal subgroup of FFF is trivial or contains [F,F][F,F][F,F]. That lattice is the input to the elementary-amenability argument.

What formalizing adds. All of these are proved in the source; none is in Mathlib, which has no piecewise-linear homeomorphism API and no Thompson group. Four of the milestones are proved as part of this proposal: that the piecewise-linear maps form a subgroup, that elements of FFF permute the dyadic rationals, that FFF embeds in the group Brin and Squier work with, and the absence of a free subgroup of rank two, which follows from the already-formalized Brin–Squier theorem via that embedding. The rest are open. The piecewise-linear machinery built along the way — local affineness, dyadic-breakpoint bookkeeping, extension by the identity — is reusable for TTT, for VVV, and for the wider family of piecewise-linear homeomorphism groups.

Difficulty

The obvious approach to the goal is to argue that a normal subgroup of [F,F][F,F][F,F] containing a nontrivial element must be everything, by conjugating that element around. It fails on its own: an element of [F,F][F,F][F,F] is pinned down only by being trivial near the two endpoints, and one still has to manufacture — inside [F,F][F,F][F,F], not merely inside FFF — an element carrying a prescribed pair of neighborhoods into those. That construction is what the dyadic-partition transitivity lemma supplies, and it is where the combinatorics of dyadic subdivision enters.

The second difficulty was that the source proves §4 using the tree-diagram normal form of §2. That section is now formalized in its own mission, Cannon–Floyd–Parry §2: tree diagrams and the normal form (mission ffd1e4ea-9f9a-4cb6-8419-78e70f2545e8), all of whose milestones are proved. Corollary 2.6 — milestone 5 here, the same theorem object — is closed from there, and Theorem 2.5 (represents_word_exponents) and the normal form (existsUnique_normalForm) are available to a solver attacking Theorem 4.3, so the source's argument can now be followed. A solution file imports only definitions, so whatever it uses from §2 must be reproved inline; the §2 solutions are public and written to be reused that way. The piecewise-linear route — dyadic-partition transitivity, Lemma 4.4 and Theorem 4.1 — remains an alternative, and is what Theorem 4.5's own argument uses.

Formalization scope

The unit interval is [0,1]⊆R[0,1] \subseteq \mathbb{R}[0,1]⊆R as a subtype, and an element of FFF is an order isomorphism of it, so orientation preservation is built into the representation rather than derived — faithful to the source's set, but assuming one sentence CFP prove. Piecewise linearity is stated as: there is a finite set BBB of dyadic reals such that the map is affine, with slope a power of two, on every closed interval whose interior misses BBB. Intercepts are not required to be dyadic — that is derived by induction along the breakpoints, not part of the definition.

The definition is not vacuous: AAA and BBB of Example 1.1 are constructed explicitly, and that FFF is not the trivial group is one of the milestones below — so no statement here is satisfied by the trivial group. In particular the goal, which asserts simplicity and therefore nontriviality, is not trivially false.

A companion definition places the same data on the real line, each element extended by the identity outside [0,1][0,1][0,1]; that line realisation is what the bridge statement connects to Brin and Squier's group.

Selected references

  • J. W. Cannon, W. J. Floyd, W. R. Parry, Introductory notes on Richard Thompson's groups, L'Enseignement Mathématique (2) 42 (1996), 215–256. doi:10.5169/seals-87877
  • M. G. Brin, C. C. Squier, Groups of piecewise linear homeomorphisms of the real line, Inventiones Mathematicae 79 (1985), 485–498. doi:10.1007/BF01388519
  • C. Chou, Elementary amenable groups, Illinois Journal of Mathematics 24 (1980), 396–407. doi:10.1215/ijm/1256047608
  • M. M. Day, Amenable semigroups, Illinois Journal of Mathematics 1 (1957), 509–544. doi:10.1215/ijm/1255380675
  • J. von Neumann, Zur allgemeinen Theorie des Maßes, Fundamenta Mathematicae 13 (1929), 73–116. doi:10.4064/fm-13-1-73-116
  • A. Yu. Olshanskii, On a geometric method in the combinatorial group theory, Proceedings of the International Congress of Mathematicians (Warsaw, 1983), vol. 1, 1984, pp. 415–424. IMU archive
  • M. Gromov, Hyperbolic groups, in Essays in Group Theory (S. M. Gersten, ed.), MSRI Publications 8, Springer, 1987, pp. 75–263. doi:10.1007/978-1-4613-9586-7_3
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Number Theory·Captain: Lucas

Gilbreath's ConjectureOpen Problem

Motivation

Write the primes in increasing order, take the absolute differences of consecutive entries, take the absolute differences of the resulting row, and repeat. Every row produced this way appears to begin with 111:

2357111317…122424…10222…1200…120…\begin{array}{llllllll} 2 & 3 & 5 & 7 & 11 & 13 & 17 & \dots\\ 1 & 2 & 2 & 4 & 2 & 4 & \dots\\ 1 & 0 & 2 & 2 & 2 & \dots\\ 1 & 2 & 0 & 0 & \dots\\ 1 & 2 & 0 & \dots \end{array}21111​32022​52200​7420…​1122…​134…​17……

Gilbreath's conjecture asserts that this never fails. The observation is due to Norman L. Gilbreath (1958), who rediscovered a statement already published by François Proth in 1878 together with an argument that is not accepted as a proof. It is attractive because it is elementary to state and because it is one of the few statements about the primes whose difficulty is not visibly analytic: it concerns the combinatorics of iterated differences rather than the distribution of primes directly.

Timeline.

  • 1878 — Proth states the property and publishes a proof that is now regarded as erroneous.
  • 1958 — Gilbreath rediscovers the pattern; it circulates as a conjecture.
  • 1959 — Killgrove and Ralston verify the leading entry for the first 63,41863{,}41863,418 rows (MTAC 13 (1959), 121–122).
  • 1993 — Odlyzko reports a verification of the leading entry for all rows of index at most π(1013)≈3.4×1011\pi(10^{13}) \approx 3.4 \times 10^{11}π(1013)≈3.4×1011, using an argument that propagates a long block of entries lying in {0,2}\{0,2\}{0,2} downwards through the triangle (Math. Comp. 61 (1993), 373–380).

No proof is known.

Setting

Let p0=2<p1=3<p2=5<…p_0 = 2 < p_1 = 3 < p_2 = 5 < \dotsp0​=2<p1​=3<p2​=5<… be the increasing enumeration of the prime numbers, indexed from 000. Define the rows of the Gilbreath triangle by

d0(n)=pn,dk+1(n)=∣dk(n+1)−dk(n)∣(k,n≥0).d^0(n) = p_n, \qquad d^{k+1}(n) = \bigl| d^{k}(n+1) - d^{k}(n) \bigr| \quad (k, n \ge 0).d0(n)=pn​,dk+1(n)=​dk(n+1)−dk(n)​(k,n≥0).

Thus dkd^kdk is an infinite sequence of natural numbers for every kkk, row 000 is the sequence of primes, row 111 is the sequence of prime gaps pn+1−pnp_{n+1}-p_npn+1​−pn​, and each later row is the sequence of absolute differences of consecutive entries of the row above it. Only the leading entry dk(0)d^k(0)dk(0) of each row is at issue.

More generally, for an arbitrary sequence a:N→Na : \mathbb{N} \to \mathbb{N}a:N→N write (Δa)(n)=∣a(n+1)−a(n)∣(\Delta a)(n) = |a(n+1) - a(n)|(Δa)(n)=∣a(n+1)−a(n)∣ and Δja\Delta^j aΔja for the jjj-fold iterate, so that dk=Δkpd^k = \Delta^k pdk=Δkp.

Formalization targets

Goal

∀k≥1,dk(0)=1.\forall k \ge 1,\qquad d^{k}(0) = 1 .∀k≥1,dk(0)=1.

This is the conjecture in its standard form: every row after the row of primes begins with 111. It fixes no constants and no ranges, so no computational advance can invalidate it.

Milestones

The milestone list collects the statements that a proof, or a further computational verification, would be built from: the two low-level structural facts about the triangle (row 111 is the gap sequence; from row 111 on, the leading entry is odd and all later entries are even), a finite verification of the first rows, and the two statements underlying Odlyzko's method — the propagation lemma for an arbitrary sequence beginning 111 and continuing in {0,2}\{0,2\}{0,2}, and the reduction of the conjecture to the existence, for each row index, of an earlier row with a long enough block of entries in {0,2}\{0,2\}{0,2}.

Significance

The result itself. The conjecture is not known to imply other open statements about the primes, and its interest lies elsewhere: it is a test case for how much of the fine structure of the prime sequence is forced by coarse information. The propagation mechanism shows that the conjecture for a given row index follows from purely local data about an earlier row, and that mechanism is what every verification to date has relied on. A proof would have to show that such blocks of entries in {0,2}\{0,2\}{0,2} always appear early enough, which is a statement about the density of small prime gaps in disguise.

Formalizing it. Nothing here is currently formalized: Mathlib has the prime enumeration n↦pnn \mapsto p_nn↦pn​ (Nat.nth Nat.Prime) and the basic facts about it, but not the iterated-difference triangle nor any of its properties. This mission contributes the definition of the triangle, the structural facts about its rows, and a machine-checked version of the reduction step that all computational work on the problem uses. The goal theorem itself is open — the milestones are known mathematics, and each is provable with current tools, while the goal is not.

Difficulty

The obvious attack is induction on the row index: to see that dk+1(0)=1d^{k+1}(0) = 1dk+1(0)=1 it suffices to know that dk(0)=1d^{k}(0) = 1dk(0)=1 and dk(1)∈{0,2}d^{k}(1) \in \{0,2\}dk(1)∈{0,2}. But controlling dk(1)d^{k}(1)dk(1) requires controlling dk−1(1)d^{k-1}(1)dk−1(1) and dk−1(2)d^{k-1}(2)dk−1(2), and so on: the invariant that closes is not "the row begins with 111" but "the row begins with 111 and its next mmm entries lie in {0,2}\{0,2\}{0,2}", and each application of the difference operator consumes one entry of that block. So a finite block of good entries only carries the conclusion a finite number of rows further down, and the conjecture needs such blocks to keep reappearing forever, arbitrarily far down the triangle. Nothing is known that produces them.

A second warning, due to Hallard Croft: the property is not specific to the primes. Sequences that start with 222, continue with odd numbers, and have gaps that are not too large empirically exhibit the same behaviour, so any proof that uses only such coarse features would prove a much more general statement — and conversely, an argument exploiting deep properties of primes is likely to be proving the wrong thing.

Formalization scope

Rows are total functions N→N\mathbb{N} \to \mathbb{N}N→N, defined for every index, and the whole triangle is a single family indexed by the row number. Differences are taken as Int.natAbs of a difference computed in Z\mathbb{Z}Z, so truncated natural subtraction never occurs; the one place where N\mathbb{N}N-subtraction does appear is the milestone identifying row 111 with the gap sequence, where the subtraction is justified by monotonicity of n↦pnn \mapsto p_nn↦pn​.

Primes are indexed from 000 via Mathlib's Nat.nth Nat.Prime, so p0=2p_0 = 2p0​=2; rows are indexed with row 000 the primes, and the goal quantifies over all k≥1k \ge 1k≥1 in the form d (k + 1) 0 = 1, with no upper bound and no extra hypothesis, so no vacuous or finitely-truncated reading of the goal is available. The general difference operator is stated for arbitrary sequences N→N\mathbb{N} \to \mathbb{N}N→N, which is what makes the propagation lemma usable as a black box, and reusable beyond this mission.

A complete development needs no analytic input for the milestones: Mathlib's Nat.nth, Nat.prime_nth_prime, Nat.nth_prime_zero_eq_two and the strict monotonicity of the prime enumeration suffice. Contributions that would extend the mission beyond its current list: a formal version of a concrete computational verification (checking that the leading entries of the first NNN rows are 111 for an NNN well beyond the hand-checkable range), and formalizations of the general statement for non-prime sequences of the Croft type.

Selected references

  • N. L. Gilbreath, as reported in R. B. Killgrove and K. E. Ralston, On a conjecture concerning the primes, Mathematical Tables and Other Aids to Computation 13 (1959), 121–122. https://doi.org/10.1090/S0025-5718-1959-0105398-3
  • A. M. Odlyzko, Iterated absolute values of differences of consecutive primes, Mathematics of Computation 61 (1993), 373–380. https://doi.org/10.1090/S0025-5718-1993-1192979-9
  • Gilbreath's conjecture, Wikipedia. https://en.wikipedia.org/wiki/Gilbreath%27s_conjecture
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Harmonic AnalysisNumber Theory·Captain: Lucas

Connes: Weil positivity and the Riemann zeta functionResearch Paper

Motivation

The Riemann hypothesis (RH) asserts that every zero of the Riemann zeta function ζ\zetaζ in the strip 0<Re⁡s<10 < \operatorname{Re} s < 10<Res<1 has Re⁡s=12\operatorname{Re} s = \tfrac12Res=21​. One of the few reformulations that turns RH into a positivity statement, rather than a statement about the location of points, goes back to A. Weil (1952): the explicit formula expresses a sum over the zeros of ζ\zetaζ as a sum of local contributions over the places of Q\mathbb{Q}Q, and RH is equivalent to the resulting functional being positive on elements of the form g⋆g∗g \star g^{*}g⋆g∗.

Connes' 1999 programme paper Noncommutative geometry and the Riemann zeta function takes this reformulation as its endpoint. It builds a geometric framework — the adele class space X=A/k∗X = \mathbb{A}/k^{*}X=A/k∗ carrying an action of the idele class group CkC_kCk​ — in which the explicit formula appears as a Lefschetz formula, the zeros of LLL-functions appear spectrally, and the paper's concluding assertion (§3, p. 22) is that the validity of the global trace formula implies, and is in fact equivalent to, positivity of the Weil distribution, i.e. RH for all LLL-functions with Grössencharakter.

This mission formalizes the arithmetic core of that endpoint in its simplest instance: the global field k=Qk = \mathbb{Q}k=Q with trivial Grössencharakter, so that the LLL-function is ζ\zetaζ itself. Concretely it asks for (i) the Riemann–Weil explicit formula for ζ\zetaζ in the shape of Connes' equation (11), and (ii) both directions of the equivalence between positivity of the resulting Weil distribution and RH.

A rough timeline of the statements involved: Riemann (1859) gave the first explicit formula; von Mangoldt (1895) proved it rigorously; Weil (Sur les "formules explicites" de la théorie des nombres premiers, 1952) extended it to all global fields and isolated the positivity criterion; Bombieri (Remarks on Weil's quadratic functional in the theory of prime numbers, 2000) studied the associated quadratic functional in detail; Connes (1996–1999) gave the trace-formula interpretation formalized in part here.

Setting

All objects live on the group R+∗\mathbb{R}^{*}_{+}R+∗​, the module of the idele class group of Q\mathbb{Q}Q, written additively through u=etu = e^{t}u=et, d∗u=dtd^{*}u = dtd∗u=dt.

A test function is a map g:R→Cg : \mathbb{R} \to \mathbb{C}g:R→C that is C∞C^{\infty}C∞ and has compact support (IsTest).

Its transform is

g^(z)  =  ∫Rg(t) e(z−1/2) t dt,\widehat{g}(z) \;=\; \int_{\mathbb{R}} g(t)\, e^{(z - 1/2)\,t}\, dt ,g​(z)=∫R​g(t)e(z−1/2)tdt,

which is Connes' h^(z)=∫Ckh(u) ∣u∣z d∗u\widehat h(z) = \int_{C_k} h(u)\,|u|^{z}\,d^{*}uh(z)=∫Ck​​h(u)∣u∣zd∗u in the coordinate u=etu = e^{t}u=et, shifted by 12\tfrac1221​ so that zzz is the variable of ζ\zetaζ (mellinHat). On the critical line, g^(12+ir)=∫Rg(t)eirt dt\widehat{g}(\tfrac12 + i r) = \int_{\mathbb{R}} g(t) e^{irt}\,dtg​(21​+ir)=∫R​g(t)eirtdt is the ordinary Fourier transform.

The involution is g∗(t)=g(−t)‾g^{*}(t) = \overline{g(-t)}g∗(t)=g(−t)​, i.e. h∗(u)=h(u−1)‾h^{*}(u) = \overline{h(u^{-1})}h∗(u)=h(u−1)​ (starInv), and convolution is (g1⋆g2)(t)=∫Rg1(s) g2(t−s) ds(g_1 \star g_2)(t) = \int_{\mathbb{R}} g_1(s)\, g_2(t-s)\, ds(g1​⋆g2​)(t)=∫R​g1​(s)g2​(t−s)ds (conv).

The Weil distribution of a test function ggg collects the pole terms, the finite places and the archimedean place:

W(g)  =  g^(0)+g^(1)  −  ∑n≥2Λ(n)n(g(log⁡n)+g(−log⁡n))  +  12π∫Rg^(12+ir)(Re⁡ψ(14+ir2)−log⁡π)dr,W(g) \;=\; \widehat{g}(0) + \widehat{g}(1) \;-\; \sum_{n \ge 2} \frac{\Lambda(n)}{\sqrt{n}}\bigl(g(\log n) + g(-\log n)\bigr) \;+\; \frac{1}{2\pi}\int_{\mathbb{R}} \widehat{g}\left(\tfrac12 + ir\right)\Bigl(\operatorname{Re}\psi\left(\tfrac14 + \tfrac{ir}{2}\right) - \log \pi\Bigr) dr ,W(g)=g​(0)+g​(1)−n≥2∑​n​Λ(n)​(g(logn)+g(−logn))+2π1​∫R​g​(21​+ir)(Reψ(41​+2ir​)−logπ)dr,

where Λ\LambdaΛ is the von Mangoldt function and ψ=Γ′/Γ\psi = \Gamma'/\Gammaψ=Γ′/Γ (weilDistribution, with the three pieces named mellinHat, primeSum, archTerm). The middle sum is Weil's contribution of the finite places v=pv = pv=p, the last integral the contribution of the real place.

The spectral side is

Z(g)  =  ∑ρmρ g^(ρ),Z(g) \;=\; \sum_{\rho} m_{\rho}\, \widehat{g}(\rho),Z(g)=ρ∑​mρ​g​(ρ),

the sum over the zeros ρ\rhoρ of ζ\zetaζ with 0<Re⁡ρ<10 < \operatorname{Re}\rho < 10<Reρ<1, each counted with its multiplicity mρm_\rhomρ​ (zeroSum, IsCriticalZero, zeroMult).

Formalization targets

Goal — positivity of the Weil distribution implies RH

(∀ g test:  Re⁡W(g⋆g∗)≥0)  ⟹  (∀ρ, ζ(ρ)=0, 0<Re⁡ρ<1  ⇒  Re⁡ρ=12).\Bigl(\forall\, g \text{ test}:\; \operatorname{Re} W\bigl(g \star g^{*}\bigr) \ge 0\Bigr) \;\Longrightarrow\; \bigl(\forall \rho,\ \zeta(\rho) = 0,\ 0 < \operatorname{Re}\rho < 1 \;\Rightarrow\; \operatorname{Re}\rho = \tfrac12\bigr).(∀g test:ReW(g⋆g∗)≥0)⟹(∀ρ, ζ(ρ)=0, 0<Reρ<1⇒Reρ=21​).

This is the direction that yields RH, and it is the weakest form of the endpoint of the paper: it fixes no rate, no test-function normalization beyond Cc∞C_c^{\infty}Cc∞​, and no numerical constant.

Milestone — the explicit formula (Connes (11))

∑ρmρ g^(ρ)  =  W(g)for every test function g,\sum_{\rho} m_\rho\,\widehat g(\rho) \;=\; W(g) \qquad \text{for every test function } g,ρ∑​mρ​g​(ρ)=W(g)for every test function g,

with the sum over zeros asserted to be (unconditionally) summable.

Milestone — the converse direction

RH  ⟹  ∀ g test: Re⁡W(g⋆g∗)≥0.\text{RH} \;\Longrightarrow\; \forall\, g \text{ test}:\ \operatorname{Re} W\bigl(g \star g^{*}\bigr) \ge 0 .RH⟹∀g test: ReW(g⋆g∗)≥0.

Together with the goal this is the equivalence asserted on p. 22 of the paper, in the case k=Qk = \mathbb{Q}k=Q, trivial Grössencharakter.

Supporting statements

The ∗*∗-identity g⋆g∗^(12+ir)=∣g^(12+ir)∣2\widehat{g \star g^{*}}\left(\tfrac12 + ir\right) = \bigl|\widehat g\left(\tfrac12+ir\right)\bigr|^{2}g⋆g∗​(21​+ir)=​g​(21​+ir)​2 on the critical line, and the fact that g⋆g∗g \star g^{*}g⋆g∗ is again a test function.

Significance

Weil's positivity criterion is one of the standard equivalent forms of RH, and the only one in which the arithmetic input (the primes, through Λ\LambdaΛ) and the archimedean input (the Γ\GammaΓ-factor) enter as separate, explicitly computable local terms. Formalizing it produces a machine-checked bridge between the zeros of ζ\zetaζ and prime sums: the explicit formula milestone is the reusable object here, since essentially every analytic application of zeta zeros — zero-density estimates, prime-counting error terms, pair-correlation statistics — is an instance of it.

Status honesty: neither RH nor the positivity statement is known; the explicit formula and both implications relating positivity to RH are classical theorems, proved but not, as far as the catalog shows, formalized in Lean. Mathlib currently provides ζ\zetaζ, its functional equation, the von Mangoldt function and Γ\GammaΓ, but no explicit formula of any kind. What this mission adds on top of the paper is therefore the formal proof of known results, not new mathematics.

Difficulty

The obvious route to the explicit formula — integrate −ζ′/ζ(s)g^(s)-\zeta'/\zeta(s)\widehat g(s)−ζ′/ζ(s)g​(s) over a vertical line, move the contour to the reflected line, collect residues — fails to be routine at exactly two points. First, moving the contour requires control of ζ′/ζ\zeta'/\zetaζ′/ζ on horizontal segments between zeros, which is where the classical proof invests most of its work; Mathlib has bounds near Re⁡s=1\operatorname{Re} s = 1Res=1 but nothing of this shape inside the strip. Second, the sum over zeros must be shown to converge unconditionally, which needs a zero-counting bound of Riemann–von Mangoldt type (N(T)≪Tlog⁡TN(T) \ll T\log TN(T)≪TlogT) that is not in Mathlib either.

For the goal implication, the naive idea — pick a test function whose transform is supported near a hypothetical off-line zero — is unavailable: g^\widehat gg​ is entire whenever ggg has compact support, so it cannot be localized. The classical argument instead exploits the symmetry ρ↦1−ρˉ\rho \mapsto 1-\bar\rhoρ↦1−ρˉ​ of the zero set and makes the off-line quadruple contribute a negative amount in the limit along a family of test functions.

Formalization scope

Conventions the Lean statements commit to. Test functions are C\mathbb{C}C-valued on R\mathbb{R}R, ContDiff ℝ (⊤ : ℕ∞) (so C∞C^{\infty}C∞, not analytic) with HasCompactSupport; the multiplicative group R+∗\mathbb{R}^{*}_{+}R+∗​ is always written additively. The transform carries the 12\tfrac1221​-shift shown above, so the critical line is Re⁡z=12\operatorname{Re} z = \tfrac12Rez=21​ and g^(0),g^(1)\widehat{g}(0), \widehat{g}(1)g​(0),g​(1) are the two pole terms. Zeros are indexed by the subtype {s:0<Re⁡s<1, ζ(s)=0}\{s : 0 < \operatorname{Re} s < 1,\ \zeta(s) = 0\}{s:0<Res<1, ζ(s)=0} and weighted by (analyticOrderAt riemannZeta s).toNat; the trivial zeros are excluded. Integrals are Bochner integrals and sums are tsum, so both take the junk value 000 when the integrand is not integrable or the family is not summable — for that reason the explicit formula is stated as a HasSum, which carries summability, rather than as an equation between tsums. The archimedean term is written with Re⁡ψ\operatorname{Re}\psiReψ, ψ=\psi = ψ= logDeriv Complex.Gamma, rather than as a principal value, to avoid a second regularization convention.

The goal is not trivially satisfiable: its hypothesis quantifies over a nonempty class (smooth bump functions exist), and its conclusion is RH for ζ\zetaζ, so no vacuous reading is available.

Infrastructure a complete development needs, all reusable beyond this mission: growth bounds for ζ′/ζ\zeta'/\zetaζ′/ζ inside the critical strip, a Riemann–von Mangoldt zero-counting bound, Fourier analysis of Cc∞C^\infty_cCc∞​ functions (Paley–Wiener style decay of g^\widehat gg​), and the Hadamard product / functional equation package for the completed zeta function.

Out of scope, and deliberately so: Connes' operator-theoretic trace formula (equations (41) and (45) of the paper) and the spectral realization theorem of p. 17. Both are statements about traces of operators on Hilbert space, and Mathlib presently has no trace-class operator theory to state them faithfully. The mission therefore formalizes the arithmetic side of the paper's endpoint; contributions that build the missing operator theory, or that extend the statements from ζ\zetaζ to Dirichlet LLL-functions and Hecke LLL-functions with Grössencharakter, are welcome.

Selected references

  • A. Connes, Noncommutative geometry and the Riemann zeta function, in Mathematics: Frontiers and Perspectives, AMS (2000) — the source of this mission (§3, equations (11) and (45), and the concluding assertion on p. 22).
  • A. Connes, Trace formula in noncommutative geometry and the zeros of the Riemann zeta function, Selecta Math. (N.S.) 5 (1999) — reference [9] of the source. https://arxiv.org/abs/math/9811068
  • A. Weil, Sur les "formules explicites" de la théorie des nombres premiers, Comm. Sém. Math. Univ. Lund (1952) — reference [27] of the source.
  • E. Bombieri, Remarks on Weil's quadratic functional in the theory of prime numbers, I (2000).
  • H. Iwaniec and E. Kowalski, Analytic Number Theory, AMS Colloquium Publications 53 (2004), Chapter 5 (explicit formulas).
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Algebraic GeometryCategory TheoryDifferential Geometry·Captain: Lucas

Homological Mirror Symmetry for the Two-Torus (Kontsevich, ICM 1994)Research Paper

Motivation

Mirror symmetry was discovered in string theory as a duality between families of Calabi–Yau manifolds, and it entered mathematics as a prediction: the generating function counting rational curves on one manifold equals a period integral of a mirror manifold. In his 1994 ICM address, Homological algebra of mirror symmetry (alg-geom/9411018), M. Kontsevich proposed that these numerical coincidences are shadows of an equivalence of categories: the symplectic geometry of VVV should be encoded by Fukaya's A∞A_\inftyA∞​-category F(V)F(V)F(V), whose objects are Lagrangian submanifolds and whose products count pseudo-holomorphic discs, and the complex geometry of the mirror WWW by the derived category Db(Coh W)D^b(\mathrm{Coh}\,W)Db(CohW) of coherent sheaves. His Homological Mirror Conjecture asserts that the derived category built from F(V)F(V)F(V) embeds as a full triangulated subcategory of Db(Coh W)D^b(\mathrm{Coh}\,W)Db(CohW).

Kontsevich states the conjecture "in slightly vague form", because Fukaya's construction was not, and still is not, available in the generality the statement needs. He therefore closes the paper with the one instance he can compute by hand, in the section Two-dimensional tori: a return: for the flat torus Σ=R2/Z2\Sigma = \mathbb{R}^2/\mathbb{Z}^2Σ=R2/Z2, the objects are closed geodesics with unitary local systems, the products m2m_2m2​ are sums over triangles in the universal cover weighted by exp⁡(−area)\exp(-\text{area})exp(−area), and their structure constants are values of the classical theta-function. He predicts an equivalence with Db(Coh E)D^b(\mathrm{Coh}\,E)Db(CohE) for an elliptic curve EEE. This instance was proved by A. Polishchuk and E. Zaslow, Categorical mirror symmetry: the elliptic curve (math/9801119). Later instances include the four-torus (Abouzaid–Smith, arXiv:0903.3065) and Calabi–Yau hypersurfaces (Sheridan, arXiv:1111.0632). None of this has been formalized.

Setting

Fix a real number area>0\mathrm{area} > 0area>0, and let Σ\SigmaΣ be the torus R2/Z2\mathbb{R}^2/\mathbb{Z}^2R2/Z2 carrying the translation-invariant symplectic form of total area area\mathrm{area}area; a region of Euclidean area aaa in coordinates has symplectic area area⋅a\mathrm{area}\cdot aarea⋅a.

A brane bbb consists of: a primitive vector v∈Z2v \in \mathbb{Z}^2v∈Z2 and a point c∈R2c \in \mathbb{R}^2c∈R2, which together determine the closed geodesic Lb={ c+tv mod Z2 }L_b = \{\,c + tv \bmod \mathbb{Z}^2\,\}Lb​={c+tvmodZ2}; a grading α∈R\alpha \in \mathbb{R}α∈R, a real lift of the direction angle normalized so that (cos⁡πα,sin⁡πα)(\cos \pi\alpha, \sin \pi\alpha)(cosπα,sinπα) is parallel to vvv; and a real constant θ\thetaθ describing a flat unitary line bundle on LbL_bLb​, whose parallel transport along a path of parameter length sss is exp⁡(2πi θs)\exp(2\pi i\,\theta s)exp(2πiθs). Two branes are transverse when det⁡(v1,v2)≠0\det(v_1, v_2) \neq 0det(v1​,v2​)=0; their geodesics then meet in the finite set Lb1∩Lb2L_{b_1} \cap L_{b_2}Lb1​​∩Lb2​​, which indexes a basis of the Floer space Hom(b1,b2)\mathrm{Hom}(b_1, b_2)Hom(b1​,b2​). All of this space sits in a single degree, the Maslov index

μ(b1,b2)  =  ⌈α2−α1⌉.\mu(b_1, b_2) \;=\; \lceil \alpha_2 - \alpha_1 \rceil .μ(b1​,b2​)=⌈α2​−α1​⌉.

For three pairwise transverse branes and intersection points p∈L1∩L2p \in L_1 \cap L_2p∈L1​∩L2​, q∈L2∩L3q \in L_2 \cap L_3q∈L2​∩L3​, r∈L1∩L3r \in L_1 \cap L_3r∈L1​∩L3​, a triangle is a triple of lifts (P,Q,R)∈(R2)3(P, Q, R) \in (\mathbb{R}^2)^3(P,Q,R)∈(R2)3 of (p,q,r)(p,q,r)(p,q,r) with Q−PQ - PQ−P parallel to v2v_2v2​, R−QR - QR−Q parallel to v3v_3v3​, P−RP - RP−R parallel to v1v_1v1​, and positively oriented. Kontsevich's structure constant is

c(p,q,r)  =  ∑trianglesexp⁡(−symplectic area)⋅(holonomies along the three sides),c(p,q,r) \;=\; \sum_{\text{triangles}} \exp\bigl(-\text{symplectic area}\bigr)\cdot \bigl(\text{holonomies along the three sides}\bigr),c(p,q,r)=triangles∑​exp(−symplectic area)⋅(holonomies along the three sides),

the coefficient of rrr in m2(p,q)m_2(p, q)m2​(p,q). On the complex side, Dcohb(E)D^b_{\mathrm{coh}}(E)Dcohb​(E) denotes the complexes of OE\mathcal{O}_EOE​-modules with bounded, coherent cohomology.

Formalization targets

Goal — homological mirror symmetry for the two-torus

For every area>0\mathrm{area} > 0area>0 there exist a smooth proper curve EEE over C\mathbb{C}C, an assignment b↦Φ(b)b \mapsto \Phi(b)b↦Φ(b) of an object of Dcohb(E)D^b_{\mathrm{coh}}(E)Dcohb​(E) to each brane, and isomorphisms

C Lb1∩Lb2  → ∼   Hom(Φ(b1), Φ(b2)[μ(b1,b2)])(b1⋔b2),\mathbb{C}^{\,L_{b_1} \cap L_{b_2}} \;\xrightarrow{\ \sim\ }\; \mathrm{Hom}\bigl(\Phi(b_1),\, \Phi(b_2)[\mu(b_1,b_2)]\bigr) \qquad (b_1 \pitchfork b_2),CLb1​​∩Lb2​​ ∼ ​Hom(Φ(b1​),Φ(b2​)[μ(b1​,b2​)])(b1​⋔b2​),

with Hom(Φ(b1),Φ(b2)[d])=0\mathrm{Hom}(\Phi(b_1), \Phi(b_2)[d]) = 0Hom(Φ(b1​),Φ(b2​)[d])=0 for d≠μ(b1,b2)d \neq \mu(b_1,b_2)d=μ(b1​,b2​), carrying the products c(p,q,r)c(p,q,r)c(p,q,r) to composition in Dcohb(E)D^b_{\mathrm{coh}}(E)Dcohb​(E) whenever μ(b1,b2)+μ(b2,b3)=μ(b1,b3)\mu(b_1,b_2) + \mu(b_2,b_3) = \mu(b_1,b_3)μ(b1​,b2​)+μ(b2​,b3​)=μ(b1​,b3​).

Milestones

Existence of the Fukaya A∞A_\inftyA∞​-category of the torus; finiteness of Lb1∩Lb2L_{b_1} \cap L_{b_2}Lb1​​∩Lb2​​ with ∣det⁡(v1,v2)∣|\det(v_1,v_2)|∣det(v1​,v2​)∣ points; the Maslov relation μ(b1,b2)+μ(b2,b1)=1\mu(b_1,b_2) + \mu(b_2,b_1) = 1μ(b1​,b2​)+μ(b2​,b1​)=1; m12=0m_1^2 = 0m12​=0 together with associativity of m2m_2m2​ up to coboundary; the degeneration of an A∞A_\inftyA∞​-category with m≥3=0m_{\geq 3} = 0m≥3​=0 to a differential graded category; the theta-function shape of the structure constants; and their associativity equation.

Significance

The conjecture reorganizes mirror symmetry: the numerical predictions compare two elements of an uncountable set of power series, whereas the homological statement compares two objects in a countable set of triangulated categories, and the numerical statements are meant to follow from it. The torus case is the smallest instance in which every ingredient — Lagrangian branes, Maslov grading, disc counts, theta functions, and coherent sheaves on an elliptic curve — is present and computable, so it is the natural first target.

What this mission adds beyond the literature is machine-checked mathematics where none exists. Mathlib currently has no symplectic manifolds, no Lagrangian Floer theory, no Fukaya categories, and no A∞A_\inftyA∞​-categories; it does have schemes, sheaves of modules, and derived categories of abelian categories. The mission supplies the missing A∞A_\inftyA∞​ layer and the torus model, and asks for the comparison theorem. The A∞A_\inftyA∞​ definitions, the derived category with coherent cohomology, and the theta-function estimates are reusable outside this mission.

Difficulty

The obvious route — "transport the Polishchuk–Zaslow proof" — stalls at the point where the two sides are compared. Establishing that the triangle sums converge and equal theta-function values is analysis that Mathlib supports; producing an elliptic curve as a scheme with prescribed parameter, computing Ext\mathrm{Ext}Ext-groups between the mirror sheaves, and matching all products simultaneously is not currently supported by any library. A second difficulty is bookkeeping: gradings, Maslov indices and shifts must line up, since the product of two morphisms is nonzero only when μ(b1,b2)+μ(b2,b3)=μ(b1,b3)\mu(b_1,b_2)+\mu(b_2,b_3) = \mu(b_1,b_3)μ(b1​,b2​)+μ(b2​,b3​)=μ(b1​,b3​), and the same numerical condition controls which triples of branes bound triangles at all.

Formalization scope

Conventions committed to in Lean. An A∞A_\inftyA∞​-category is encoded as a single graded module AAA with morphism components hom⁡(X,Y)\hom(X,Y)hom(X,Y) and products given by a map on lists, m[f1,…,fn]=mn(f1⊗⋯⊗fn)m[f_1,\dots,f_n] = m_n(f_1 \otimes \cdots \otimes f_n)m[f1​,…,fn​]=mn​(f1​⊗⋯⊗fn​) of degree 2−n2-n2−n, with m0=0m_0 = 0m0​=0, and Stasheff signs (−1)r+st(-1)^{r+st}(−1)r+st in the bar-construction normalization; m2(f,g)m_2(f,g)m2​(f,g) is "fff then ggg". Triangles are normalized by requiring the first vertex to lie in [0,1)2[0,1)^2[0,1)2, which picks exactly one representative in each Z2\mathbb{Z}^2Z2-orbit; only positively oriented triangles are counted; sums are tsums, so convergence is part of the work. The hom-space isomorphisms in the goal are required to be additive, not a priori C\mathbb{C}C-linear, because the derived category of OE\mathcal{O}_EOE​-modules is not equipped with a C\mathbb{C}C-linear structure in Mathlib; the required compatibility with the structure constants pins down the algebra anyway. The goal asks only for the existence of a smooth proper curve EEE over C\mathbb{C}C; the paper's further prediction that EEE has parameter exp⁡(−area)\exp(-\mathrm{area})exp(−area) is deliberately left out of the statement.

The goal is not trivially satisfiable: the intersection set of two transverse branes is nonempty, so the required isomorphisms force the corresponding Hom\mathrm{Hom}Hom-groups to be nonzero of the right size, in the right degree, with the prescribed products.

The general conjecture, for an arbitrary symplectic manifold with c1=0c_1 = 0c1​=0, is not stated here, and deliberately so: without symplectic manifolds and Floer theory in Mathlib, any general statement would have to take the Fukaya category as an unconstrained parameter, which would make it either vacuous or false. Building that infrastructure — symplectic manifolds, graded Lagrangian branes, Floer cohomology, twisted complexes over an A∞A_\inftyA∞​-category and their triangulated structure — is the natural way to extend this mission, and such contributions are welcome.

Selected references

  • M. Kontsevich, Homological algebra of mirror symmetry, Proceedings of the International Congress of Mathematicians (Zürich, 1994), alg-geom/9411018.
  • A. Polishchuk and E. Zaslow, Categorical mirror symmetry: the elliptic curve, Adv. Theor. Math. Phys. 2 (1998), math/9801119.
  • M. Abouzaid and I. Smith, Homological mirror symmetry for the 4-torus, Duke Math. J. 152 (2010), arXiv:0903.3065.
  • N. Sheridan, Homological mirror symmetry for Calabi–Yau hypersurfaces in projective space, Invent. Math. 199 (2015), arXiv:1111.0632.
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Differential GeometryGeometry & Topology·Captain: Lucas

Differential Geometry of Curves and Surfaces IV: Regular Surfaces and Change of ParametersTextbook

Motivation

Before any geometry of surfaces can be done, one has to say what a surface is, in a way that supports calculus: a subset of R3\mathbb{R}^3R3 that is locally the smooth, non-degenerate image of an open piece of the plane. Every statement in the later theory — the first and second fundamental forms, the Gauss map, curvature, geodesics — is written in local coordinates, and is therefore meaningful only once one knows that the answer does not depend on the coordinates chosen. That independence is the content of the change-of-parameters theorem, which is what makes "differentiable function on a surface" and "geometric quantity of a surface" well-defined notions.

The reference for this mission is Manfredo P. do Carmo, Differential Geometry of Curves and Surfaces, 2nd edition (Dover, 2016), §2-2 "Regular Surfaces; Inverse Images of Regular Values" (pp. 54–71) and §2-3 "Change of Parameters; Differentiable Functions on Surfaces" (pp. 72–85): Definition 1 (p. 54), Propositions 1–4 of §2-2 (pp. 59, 61, 63, 65) and Proposition 1 of §2-3 (p. 74).

This is the fourth mission of a series formalizing do Carmo's book, sharing the namespace DoCarmoDG with the others.

Setting

A subset S⊆R3S \subseteq \mathbb{R}^3S⊆R3 is a regular surface when every p∈Sp \in Sp∈S has an open neighbourhood V⊆R3V \subseteq \mathbb{R}^3V⊆R3 such that V∩SV \cap SV∩S is the image of a map x:U→R3x : U \to \mathbb{R}^3x:U→R3, defined on an open set U⊆R2U \subseteq \mathbb{R}^2U⊆R2, satisfying the three conditions of do Carmo's Definition 1:

  1. xxx is differentiable, i.e. of class C∞C^\inftyC∞ on UUU;
  2. xxx is a homeomorphism of UUU onto V∩SV \cap SV∩S — it is injective and its inverse is continuous;
  3. (regularity) for every q∈Uq \in Uq∈U the differential dxq:R2→R3dx_q : \mathbb{R}^2 \to \mathbb{R}^3dxq​:R2→R3 is injective.

Such an xxx is a parametrization, or system of local coordinates, and V∩SV \cap SV∩S is a coordinate neighbourhood.

Given a differentiable fff on an open set U⊆R3U \subseteq \mathbb{R}^3U⊆R3, a value aaa is a regular value of fff when dfpdf_pdfp​ is surjective — equivalently, nonzero — at every p∈Up \in Up∈U with f(p)=af(p) = af(p)=a (do Carmo Definition 2, §2-2).

Formalization targets

Goal — Change of parameters (do Carmo §2-3, Proposition 1)

If x:U→Sx : U \to Sx:U→S and y:V→Sy : V \to Sy:V→S are two parametrizations of a regular surface SSS with p∈x(U)∩y(V)=Wp \in x(U) \cap y(V) = Wp∈x(U)∩y(V)=W, then

h=x−1∘y:y−1(W)→x−1(W)h = x^{-1} \circ y : y^{-1}(W) \to x^{-1}(W)h=x−1∘y:y−1(W)→x−1(W)

is a diffeomorphism: hhh is differentiable, bijective, and h−1h^{-1}h−1 is differentiable.

Supporting statements

The graph of a differentiable function of two variables is a regular surface (Proposition 1); the inverse image of a regular value is a regular surface (Proposition 2); a regular surface is locally the graph of a differentiable function of one of the three coordinate pairs (Proposition 3); and an injective map satisfying conditions 1 and 3 whose image lies in a regular surface automatically has a continuous inverse (Proposition 4).

Significance

Proposition 2 is the practical criterion: it is what shows in one line that spheres, ellipsoids, tori and the level sets of generic polynomials are regular surfaces, and it is applied throughout the book. Proposition 3 is the structural statement that a regular surface is locally a graph, which is the form in which most local computations are carried out; Proposition 4 removes the awkward homeomorphism clause from the verification of examples. The change-of-parameters theorem is what allows every subsequent definition — differentiable function on a surface, tangent plane, first fundamental form, curvature — to be given in coordinates and then shown to be independent of them, and it is also the reason a regular surface carries a smooth structure at all.

Mathlib has smooth manifolds, the implicit and inverse function theorems, and ContDiffOn, but it does not contain do Carmo's concrete definition of a regular surface as a subset of R3\mathbb{R}^3R3 or these four propositions about it. Establishing them is what allows the rest of this series to work with patches while knowing that the objects so defined are coordinate-independent.

Difficulty

Everything here rests on the inverse function theorem, but each proposition needs it in a slightly different form. Proposition 2 requires completing fff to a local diffeomorphism F(x,y,z)=(x,y,f(x,y,z))F(x,y,z) = (x,y,f(x,y,z))F(x,y,z)=(x,y,f(x,y,z)) and reading off the level set — with the complication that which partial derivative is nonzero varies from point to point, so the coordinate that is solved for is not fixed in advance. Proposition 3 needs the same case distinction on which 2×22 \times 22×2 Jacobian minor of xxx is nonzero, and this is exactly why the conclusion is a disjunction over the three coordinate pairs. Proposition 4 is where the homeomorphism condition is shown to be redundant, and the argument goes through the local factorization x−1=(π∘x)−1∘πx^{-1} = (\pi \circ x)^{-1} \circ \pix−1=(π∘x)−1∘π.

The change-of-parameters theorem is not a direct application of the inverse function theorem to hhh: the map hhh is defined only on a subset of the plane and x−1x^{-1}x−1 is, a priori, merely continuous. One first extends xxx to a local diffeomorphism of a neighbourhood in R3\mathbb{R}^3R3 and then composes; the continuity of x−1x^{-1}x−1 (condition 2 of Definition 1) is what makes the domain of hhh open, and it cannot be dispensed with.

Formalization scope

A surface is a set S : Set (EuclideanSpace ℝ (Fin 3)), and a parametrization is a map x : ℝ × ℝ → EuclideanSpace ℝ (Fin 3) together with an open U : Set (ℝ × ℝ). Smoothness is ContDiffOn ℝ (⊤ : ℕ∞), matching do Carmo's "differentiable" for C∞C^\inftyC∞; regularity is injectivity of the Fréchet derivative at each point of U, which is do Carmo's condition 3; and the homeomorphism condition is stated as injectivity on U together with the existence of a continuous left inverse on the image, which is the content of "the inverse is continuous". The neighbourhood clause of Definition 1 is x '' U = V ∩ S for an open V containing the point.

Graphs are formalized as three separate sets, one for each of z=f(x,y)z = f(x,y)z=f(x,y), y=g(x,z)y = g(x,z)y=g(x,z) and x=h(y,z)x = h(y,z)x=h(y,z), so that Proposition 3 can state its disjunction faithfully; in that statement the neighbourhood is an open set W of R3\mathbb{R}^3R3 and the claim is W ∩ S = W ∩ graph.

The goal states the diffeomorphism property of hhh explicitly — two maps, mutually inverse on the relevant domains, both ContDiffOn, together with the openness of those domains — rather than through a bundled structure, so that no library convention is assumed. There is no trivializing reading: the domains are those forced by the two parametrizations, and in the degenerate case where the images do not overlap the statement reduces to a true but empty claim about the empty set, while the substance is in the overlapping case.

Selected references

  • Manfredo P. do Carmo, Differential Geometry of Curves and Surfaces, 2nd edition, Dover, 2016, §2-2 (Definition 1, p. 54; Propositions 1-4, pp. 59-65) and §2-3 (Proposition 1, p. 74).
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Differential GeometryGeometry & Topology·Captain: Lucas

Differential Geometry of Curves and Surfaces III: Global Properties of Plane CurvesTextbook

Motivation

The local theory of curves describes what happens near one point; the global theory asks what a curve must satisfy because it closes up. Two classical statements make the difference visible. The isoperimetric inequality says that among all simple closed plane curves of a given length, the circle encloses the largest area — a question already settled in intent by the Greeks, but given a satisfactory proof only in the nineteenth century, and the short proof reproduced by do Carmo is E. Schmidt's from 1939. The four-vertex theorem says that the curvature of a simple closed convex curve has at least four critical points, so no convex oval has the curvature profile of a curve that just rises and falls once.

The reference for this mission is Manfredo P. do Carmo, Differential Geometry of Curves and Surfaces, 2nd edition (Dover, 2016), §1-7, "Global Properties of Plane Curves" (pp. 31–46): the area formula, equation (1) on p. 33; the isoperimetric inequality, Theorem 1 on p. 34; the theorem of turning tangents on p. 37; the lemma, equation (5) on p. 38; and the four-vertex theorem, Theorem 2 on p. 37.

This is the third mission of a series formalizing do Carmo's book, and shares the namespace DoCarmoDG with the earlier ones.

Setting

A closed plane curve of length lll is a regular map α:[0,l]→R2\alpha : [0,l] \to \mathbb{R}^2α:[0,l]→R2 whose derivatives of all orders agree at the two endpoints; equivalently, and as used here, a smooth lll-periodic map α:R→R2\alpha : \mathbb{R} \to \mathbb{R}^2α:R→R2. It is parametrized by arc length when ∣α′(s)∣=1|\alpha'(s)| = 1∣α′(s)∣=1 for all sss, in which case lll is its length. It is simple when it has no self-intersection: α(t1)≠α(t2)\alpha(t_1) \neq \alpha(t_2)α(t1​)=α(t2​) for distinct t1,t2∈[0,l)t_1, t_2 \in [0,l)t1​,t2​∈[0,l).

Write JJJ for rotation by +π/2+\pi/2+π/2, J(a,b)=(−b,a)J(a,b) = (-b,a)J(a,b)=(−b,a). For a curve parametrized by arc length the signed curvature is

k(s)=⟨α′′(s), Jα′(s)⟩,k(s) = \bigl\langle \alpha''(s),\, J\alpha'(s) \bigr\rangle,k(s)=⟨α′′(s),Jα′(s)⟩,

which is do Carmo's convention of §1-5, Remark 1: the normal is chosen so that {α′,Jα′}\{\alpha', J\alpha'\}{α′,Jα′} has the orientation of the natural basis, and then α′′=k Jα′\alpha'' = k\,J\alpha'α′′=kJα′. A vertex is a parameter ttt with k′(t)=0k'(t) = 0k′(t)=0. The curve is convex when, for every parameter ttt, the whole trace lies in one of the two closed half-planes bounded by the tangent line at ttt.

An angle function for α\alphaα is a smooth θ\thetaθ with α′(s)=(cos⁡θ(s),sin⁡θ(s))\alpha'(s) = (\cos\theta(s), \sin\theta(s))α′(s)=(cosθ(s),sinθ(s)); the rotation index is (θ(l)−θ(0))/2π(\theta(l) - \theta(0))/2\pi(θ(l)−θ(0))/2π. The area bounded by a positively oriented simple closed curve is given by do Carmo's equation (1),

A=12∫0l(x y′−y x′) dt,α=(x,y).A = \frac{1}{2}\int_0^l \bigl(x\,y' - y\,x'\bigr)\,dt, \qquad \alpha = (x,y).A=21​∫0l​(xy′−yx′)dt,α=(x,y).

Formalization targets

Goal — Four-vertex theorem (do Carmo, Theorem 2, p. 37)

α simple closed convex⟹#{ t∈[0,l):k′(t)=0 }≥4.\alpha \ \text{simple closed convex} \quad \Longrightarrow \quad \#\{\,t \in [0,l) : k'(t) = 0\,\} \ge 4 .α simple closed convex⟹#{t∈[0,l):k′(t)=0}≥4.

Supporting statements

The three equivalent forms of the area formula (1); the existence of a smooth angle function; the identity k=θ′k = \theta'k=θ′; the theorem of turning tangents (the rotation index of a simple closed curve is ±1\pm 1±1); the isoperimetric inequality l2≥4πAl^2 \ge 4\pi Al2≥4πA with equality exactly for circles; and do Carmo's lemma (5), ∫0l(Ax+By+C) k′(s) ds=0\int_0^l (Ax + By + C)\,k'(s)\,ds = 0∫0l​(Ax+By+C)k′(s)ds=0, which drives the proof of the goal.

Significance

The isoperimetric inequality is the ancestor of a large family of geometric inequalities, and its sharp case characterizes the circle — the first instance of the pattern "extremal configuration is the round one" that recurs throughout geometry. The four-vertex theorem is a genuinely global statement with no local counterpart: locally, the curvature of a convex arc may be strictly monotone, and it is only the requirement that the curve close up convexly that forces four critical points. Its converse, for strictly positive curvature, was proved by H. Gluck in 1971; do Carmo notes that the theorem also holds for simple closed curves that are not convex, by a harder argument.

Mathlib contains integration, the winding number of a loop in the complex plane and the Jordan curve theorem, but it does not contain the signed curvature of a plane curve, the theorem of turning tangents in this form, the isoperimetric inequality for curves with its equality case, or the four-vertex theorem. What this mission adds is that vocabulary and machine-checked proofs of the four classical statements.

Difficulty

Each target fails for a different reason under the naive approach.

For the area formula, the identification of 12∮(x dy−y dx)\frac12\oint(x\,dy - y\,dx)21​∮(xdy−ydx) with the area of the interior is exactly the Jordan-curve input that do Carmo declares he is assuming; the formalization avoids that dependency by defining the bounded area through the integral, so a solver has to prove only the integration-by-parts identities among the three forms of (1).

For the theorem of turning tangents, the difficulty is that a smooth lift θ\thetaθ of the tangent indicatrix must be produced and then shown to increase by exactly ±2π\pm 2\pi±2π over one period — a degree-theoretic statement about a loop in the circle, where simplicity of the curve is what excludes the values 0,±2,±3,…0, \pm 2, \pm 3, \dots0,±2,±3,….

For the isoperimetric inequality, Schmidt's proof compares the curve with a circle tangent to two parallel supporting lines and uses the arithmetic–geometric mean inequality; the equality discussion, which is where the characterization of the circle lives, is the delicate part.

For the four-vertex theorem, the obvious argument — "curvature on a compact interval attains a maximum and a minimum, so there are two vertices" — gives only two, and the whole content is the step from two to four. The lemma (5) supplies the contradiction: if k′k'k′ changed sign only at the maximum and the minimum, a suitable line Ax+By+C=0Ax + By + C = 0Ax+By+C=0 through those two points would make the integrand of (5) of one sign and not identically zero.

Formalization scope

Curves are smooth maps ℝ → EuclideanSpace ℝ (Fin 2), closedness being lll-periodicity with l>0l > 0l>0, which is do Carmo's condition that the curve and all its derivatives agree at the endpoints. Unit speed is imposed globally, so the parameter is arc length and lll is the length. Simplicity is injectivity on the half-open period [0,l)[0,l)[0,l). Convexity is stated per parameter: for each ttt the trace lies in one closed half-plane of the tangent line at ttt, the choice of side being allowed to depend on ttt, as in the book's phrasing.

The area is defined by do Carmo's integral (1) rather than as the measure of the interior of the curve, so no Jordan curve theorem is presupposed; consequently the isoperimetric statement is formulated with the absolute value ∣A∣|A|∣A∣, which makes it independent of the curve's orientation and equal to the enclosed area for a positively oriented simple curve. The equality case asserts that the trace lies on a circle of positive radius.

"At least four vertices" is formalized as the existence of four pairwise distinct parameters in [0,l)[0,l)[0,l) at which k′k'k′ vanishes, which rules out the degenerate reading in which one vertex is counted several times.

Selected references

  • Manfredo P. do Carmo, Differential Geometry of Curves and Surfaces, 2nd edition, Dover, 2016, §1-7 (area formula, eq. (1), p. 33; isoperimetric inequality, Theorem 1, p. 34; theorem of turning tangents, p. 37; lemma, eq. (5), p. 38; four-vertex theorem, Theorem 2, p. 37).
  • E. Schmidt, Über das isoperimetrische Problem im Raum von n Dimensionen, Mathematische Zeitschrift 44 (1939), 689–788.
  • H. Gluck, The converse to the four-vertex theorem, L'Enseignement Mathématique 17 (1971), 295–309.
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Differential GeometryGeometry & Topology·Captain: Lucas

Differential Geometry of Curves and Surfaces II: Theorema EgregiumTextbook

Motivation

Until 1827 the curvature of a surface in space was understood as a statement about how the surface sits inside R3\mathbb{R}^3R3: it was computed from the way the unit normal turns, that is, from the second fundamental form. Gauss's Disquisitiones generales circa superficies curvas showed that one particular combination of those extrinsic quantities — the product of the principal curvatures — can be recomputed from measurements made entirely inside the surface, using only lengths of curves drawn on it. This is the Theorema Egregium, and it is the reason the subject splits into extrinsic and intrinsic geometry; the latter is what becomes Riemannian geometry.

The reference for this mission is Manfredo P. do Carmo, Differential Geometry of Curves and Surfaces, 2nd edition (Dover, 2016), §4-3, "The Gauss Theorem and the Equations of Compatibility" (pp. 235–240). The theorem is stated on page 237 and derived from the Gauss formula, equation (5) of that section; the Mainardi–Codazzi equations (6) and (6a) on page 238 complete the list of compatibility equations.

This is the second mission of a series formalizing do Carmo's book; it shares the namespace DoCarmoDG with the first, on the local theory of curves.

Setting

A regular parametrized patch is a map x:U→R3x : U \to \mathbb{R}^3x:U→R3, defined and smooth on an open set U⊆R2U \subseteq \mathbb{R}^2U⊆R2 with coordinates (u,v)(u,v)(u,v), whose partial derivatives satisfy xu∧xv≠0x_u \wedge x_v \neq 0xu​∧xv​=0 at every point of UUU; the last condition says that dxdxdx is injective, so {xu,xv}\{x_u, x_v\}{xu​,xv​} spans a 222-dimensional tangent plane at each point and

N=xu∧xv∣xu∧xv∣N = \frac{x_u \wedge x_v}{|x_u \wedge x_v|}N=∣xu​∧xv​∣xu​∧xv​​

is a unit normal field along the patch.

The first fundamental form is the restriction of the ambient inner product to the tangent plane; in the parametrization it is recorded by the three functions

E=⟨xu,xu⟩,F=⟨xu,xv⟩,G=⟨xv,xv⟩,E = \langle x_u, x_u\rangle, \qquad F = \langle x_u, x_v\rangle, \qquad G = \langle x_v, x_v\rangle,E=⟨xu​,xu​⟩,F=⟨xu​,xv​⟩,G=⟨xv​,xv​⟩,

and EG−F2=∣xu∧xv∣2>0EG - F^2 = |x_u \wedge x_v|^2 > 0EG−F2=∣xu​∧xv​∣2>0. The second fundamental form is recorded by

e=⟨N,xuu⟩,f=⟨N,xuv⟩,g=⟨N,xvv⟩,e = \langle N, x_{uu}\rangle, \qquad f = \langle N, x_{uv}\rangle, \qquad g = \langle N, x_{vv}\rangle,e=⟨N,xuu​⟩,f=⟨N,xuv​⟩,g=⟨N,xvv​⟩,

and the Gaussian curvature is

K=eg−f2EG−F2.K = \frac{eg - f^2}{EG - F^2}.K=EG−F2eg−f2​.

The three second derivatives xuu,xuv,xvvx_{uu}, x_{uv}, x_{vv}xuu​,xuv​,xvv​ decompose in the basis {xu,xv,N}\{x_u, x_v, N\}{xu​,xv​,N}; the tangential coefficients are the Christoffel symbols Γijk\Gamma^k_{ij}Γijk​ of the patch, and the normal coefficients are eee, fff, ggg, which is do Carmo's system (1) of §4-3:

xuu=Γ111xu+Γ112xv+eN,xuv=Γ121xu+Γ122xv+fN,xvv=Γ221xu+Γ222xv+gN.x_{uu} = \Gamma^1_{11} x_u + \Gamma^2_{11} x_v + eN, \qquad x_{uv} = \Gamma^1_{12} x_u + \Gamma^2_{12} x_v + fN, \qquad x_{vv} = \Gamma^1_{22} x_u + \Gamma^2_{22} x_v + gN.xuu​=Γ111​xu​+Γ112​xv​+eN,xuv​=Γ121​xu​+Γ122​xv​+fN,xvv​=Γ221​xu​+Γ222​xv​+gN.

Two patches over the same parameter domain are isometric when their first fundamental forms coincide, E=EˉE = \bar EE=Eˉ, F=FˉF = \bar FF=Fˉ, G=GˉG = \bar GG=Gˉ at every point: lengths of curves, angles and areas computed in the parameter domain then agree, and a local isometry between the two surfaces is obtained by matching parameters.

Formalization targets

Goal — Theorema Egregium (do Carmo, p. 237)

E=Eˉ, F=Fˉ, G=Gˉ  on U⟹K=Kˉ  on U.E = \bar E,\ F = \bar F,\ G = \bar G \ \text{ on } U \quad \Longrightarrow \quad K = \bar K \ \text{ on } U .E=Eˉ, F=Fˉ, G=Gˉ  on U⟹K=Kˉ  on U.

The Gaussian curvature of a regular patch is determined by its first fundamental form alone, although its definition uses the second fundamental form, i.e. the position of the surface in space.

Supporting statements

The existence and uniqueness of the Christoffel symbols; the linear system (2) expressing them through E,F,GE, F, GE,F,G and their first derivatives; the Gauss formula (5),

(Γ122)u−(Γ112)v+Γ121Γ112+Γ122Γ122−Γ112Γ222−Γ111Γ122=−EK;(\Gamma^2_{12})_u - (\Gamma^2_{11})_v + \Gamma^1_{12}\Gamma^2_{11} + \Gamma^2_{12}\Gamma^2_{12} - \Gamma^2_{11}\Gamma^2_{22} - \Gamma^1_{11}\Gamma^2_{12} = -EK;(Γ122​)u​−(Γ112​)v​+Γ121​Γ112​+Γ122​Γ122​−Γ112​Γ222​−Γ111​Γ122​=−EK;

the Mainardi–Codazzi equations (6) and (6a); the closed formula for KKK in an orthogonal parametrization (Exercise 1, p. 240); the invariance of KKK under a change of parameters; and, as a corollary, that no neighbourhood of a point of the unit sphere is isometric to a piece of a plane (Exercise 4, p. 240).

Significance

The theorem is what makes intrinsic geometry possible: a quantity defined through the embedding turns out to be computable from the metric, so it survives every isometric deformation. Concrete consequences include the impossibility of a distortion-free map of the sphere — the reason every cartographic projection distorts lengths — and the equality of the Gaussian curvatures of the catenoid and the helicoid at corresponding points, which do Carmo notes immediately after the theorem. In the structure of the book, the Gauss formula is also the identity that makes the global Gauss–Bonnet theorem of §4-5 a statement about intrinsic data.

Mathlib has inner product spaces, iterated derivatives and the smooth manifold library, but it does not contain the first and second fundamental forms of a parametrized surface, the Christoffel symbols of a patch, the Gaussian curvature in this sense, or the compatibility equations. This mission produces that vocabulary together with machine-checked proofs of the classical identities. The mathematics is Gauss's, from 1827; what is open is the formalization.

Difficulty

The proof is a computation, but not a short one: one differentiates the system (1), uses xuuv=xuvux_{uuv} = x_{uvu}xuuv​=xuvu​, re-expands every second derivative through (1) again, and equates coefficients in the basis {xu,xv,N}\{x_u, x_v, N\}{xu​,xv​,N}. Formally, the cost sits in three places: justifying the interchange of the mixed partial derivatives; establishing that the coefficient functions Γijk\Gamma^k_{ij}Γijk​ obtained pointwise from linear algebra are differentiable in the parameters; and carrying out the coefficient comparison in a basis that is not orthonormal, where one must use that EG−F2≠0EG - F^2 \neq 0EG−F2=0 rather than take inner products with an orthonormal frame.

The naive route to the Theorema Egregium — "solve the system (2) for the Γijk\Gamma^k_{ij}Γijk​, then quote the Gauss formula" — is the right one, but the first step must actually be carried out: the system (2) determines the symbols only because each of its three 2×22 \times 22×2 blocks has determinant EG−F2≠0EG - F^2 \neq 0EG−F2=0, and that is where the regularity hypothesis is used.

Formalization scope

A patch is a curried map x : ℝ → ℝ → EuclideanSpace ℝ (Fin 3), so that the partial derivatives xux_uxu​ and xvx_vxv​ are ordinary one-variable derivatives, and the domain is an open set U : Set (ℝ × ℝ); smoothness is ContDiffOn ℝ (⊤ : ℕ∞) of the uncurried map on U, matching do Carmo's use of "differentiable" for C∞C^\inftyC∞. Regularity is stated as xu∧xv≠0x_u \wedge x_v \neq 0xu​∧xv​=0 on U, with the vector product defined componentwise. All quantities (NNN, EEE, FFF, GGG, eee, fff, ggg, KKK) are total functions of the parameters, taking junk values off U; every statement restricts to points of U.

Christoffel symbols are not defined by a formula: a statement that mentions them quantifies over functions Γijk\Gamma^k_{ij}Γijk​ assumed to satisfy do Carmo's decomposition (1) on U, and a separate milestone asserts that such functions exist and are unique on U. The symmetry Γ12k=Γ21k\Gamma^k_{12} = \Gamma^k_{21}Γ12k​=Γ21k​ is built into the notation, as in the book.

Isometry is formalized as equality of EEE, FFF, GGG over a common parameter domain rather than as a map between surfaces; together with the milestone on invariance under change of parameters, this recovers do Carmo's statement that KKK is invariant under local isometries. The formalization deliberately keeps the surface concrete (a patch, not an abstract manifold), which is what makes the compatibility equations expressible as identities between explicit derivatives.

This mission's definition file builds on the vector-product definition introduced in mission I of this series (Fundamental Theorem of the Local Theory of Curves), so mission I must be submitted first: its definitions have to be published before the definition file of this mission can compile.

There is no vacuous reading: the hypotheses are satisfiable — every regular patch, for instance a graph or a surface of revolution, satisfies them — and the conclusion compares two curvature functions pointwise.

Selected references

  • Manfredo P. do Carmo, Differential Geometry of Curves and Surfaces, 2nd edition, Dover, 2016, §2-5, §3-3 and §4-3 (Theorema Egregium on p. 237; Gauss formula, eq. (5); Mainardi–Codazzi, eqs. (6), (6a)).
  • C. F. Gauss, Disquisitiones generales circa superficies curvas, Commentationes Societatis Regiae Scientiarum Gottingensis Recentiores 6 (1827), 99–146.
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Differential GeometryGeometry & Topology·Captain: Lucas

Differential Geometry of Curves and Surfaces I: Fundamental Theorem of the Local Theory of CurvesTextbook

Motivation

The differential geometry of curves in R3\mathbb{R}^3R3 is the entry point of every course and every textbook in the subject, and it is the first place where a geometric object is shown to be completely determined by a small list of numerical invariants. A space curve traced out by a particle moving at unit speed bends (curvature) and twists (torsion); the assertion that these two scalar functions determine the curve completely, up to a motion of space, is the prototype of every later "fundamental theorem" of the subject — for surfaces (Bonnet), for Riemannian metrics, and for submanifolds in general.

The reference for this mission is Manfredo P. do Carmo, Differential Geometry of Curves and Surfaces, 2nd edition (Dover, 2016), Chapter 1, Sections 1-4 and 1-5. The statement targeted here is the one printed on page 19 under the heading Fundamental Theorem of the Local Theory of Curves; the uniqueness half is proved on pages 20–22, and the existence half is deferred by do Carmo to the appendix of Chapter 4, where it is obtained from the existence and uniqueness theorem for linear systems of ordinary differential equations.

This is the first mission of a series formalizing do Carmo's book. The series shares one Lean namespace, DoCarmoDG, so that later missions on regular surfaces, the Gauss map, and Gauss–Bonnet build on the vocabulary fixed here.

Setting

Let I=(a,b)⊆RI = (a,b) \subseteq \mathbb{R}I=(a,b)⊆R be an open interval and let α:I→R3\alpha : I \to \mathbb{R}^3α:I→R3 be a smooth map. The curve α\alphaα is parametrized by arc length if ∣α′(s)∣=1|\alpha'(s)| = 1∣α′(s)∣=1 for every s∈Is \in Is∈I; the parameter sss is then the arc length measured along the curve.

For such a curve one sets

t(s)=α′(s),k(s)=∣α′′(s)∣.t(s) = \alpha'(s), \qquad k(s) = |\alpha''(s)| .t(s)=α′(s),k(s)=∣α′′(s)∣.

The vector t(s)t(s)t(s) is the unit tangent and the scalar k(s)≥0k(s) \ge 0k(s)≥0 is the curvature at sss. Differentiating α′⋅α′=1\alpha'\cdot\alpha' = 1α′⋅α′=1 gives α′′⋅α′=0\alpha''\cdot\alpha' = 0α′′⋅α′=0, so α′′(s)\alpha''(s)α′′(s) is orthogonal to t(s)t(s)t(s). At a point where k(s)≠0k(s) \neq 0k(s)=0 one defines the normal vector and the binormal vector

n(s)=α′′(s)k(s),b(s)=t(s)∧n(s),n(s) = \frac{\alpha''(s)}{k(s)}, \qquad b(s) = t(s) \wedge n(s),n(s)=k(s)α′′(s)​,b(s)=t(s)∧n(s),

where ∧\wedge∧ is the vector product of R3\mathbb{R}^3R3 (do Carmo §1-4). The triple {t(s),n(s),b(s)}\{t(s), n(s), b(s)\}{t(s),n(s),b(s)} is a positively oriented orthonormal basis, the Frenet trihedron. Since bbb has constant length and b′=t∧n′b' = t \wedge n'b′=t∧n′ is orthogonal to ttt, the derivative b′(s)b'(s)b′(s) is a multiple of n(s)n(s)n(s), and the torsion τ(s)\tau(s)τ(s) is defined by

b′(s)=τ(s) n(s).b'(s) = \tau(s)\, n(s).b′(s)=τ(s)n(s).

This is do Carmo's sign convention; many authors write −τ-\tau−τ for the same quantity, and the mission is committed to do Carmo's. With these conventions the Frenet formulas read

t′=k n,n′=−k t−τ b,b′=τ n.t' = k\,n, \qquad n' = -k\,t - \tau\, b, \qquad b' = \tau\, n .t′=kn,n′=−kt−τb,b′=τn.

A rigid motion of R3\mathbb{R}^3R3 is a map p↦ρ(p)+cp \mapsto \rho(p) + cp↦ρ(p)+c where ρ\rhoρ is an orthogonal linear map with positive determinant and c∈R3c \in \mathbb{R}^3c∈R3 (do Carmo §1-5, Exercise 6).

Formalization targets

Goal — Fundamental theorem of the local theory of curves (do Carmo, p. 19)

Given smooth functions k,τ:(a,b)→Rk, \tau : (a,b) \to \mathbb{R}k,τ:(a,b)→R with k(s)>0k(s) > 0k(s)>0:

∃ α:(a,b)→R3 parametrized by arc length with curvature k and torsion τ,\exists\, \alpha : (a,b) \to \mathbb{R}^3 \ \text{parametrized by arc length with curvature } k \text{ and torsion } \tau,∃α:(a,b)→R3 parametrized by arc length with curvature k and torsion τ, and any two such curves α,αˉ satisfy αˉ=ρ∘α+c for an orthogonal ρ with det⁡ρ>0.\text{and any two such curves } \alpha, \bar\alpha \text{ satisfy } \bar\alpha = \rho \circ \alpha + c \text{ for an orthogonal } \rho \text{ with } \det \rho > 0 .and any two such curves α,αˉ satisfy αˉ=ρ∘α+c for an orthogonal ρ with detρ>0.

The two halves are also stated separately as milestones, since they are proved by entirely different means: uniqueness by a Gronwall-free energy argument on the Frenet trihedron, existence by solving a linear ODE system.

Supporting statements

The orthonormality of the Frenet trihedron, the Frenet formulas themselves, the characterization of straight lines by k≡0k \equiv 0k≡0 and of plane curves by τ≡0\tau \equiv 0τ≡0, the closed formula τ=− (α′∧α′′)⋅α′′′/k2\tau = -\,(\alpha' \wedge \alpha'')\cdot\alpha''' / k^2τ=−(α′∧α′′)⋅α′′′/k2, and the invariance of arc length, curvature and torsion under rigid motions.

Significance

The theorem is the model case of a classification result: a geometric object modulo a symmetry group is faithfully encoded by a complete set of local invariants. Downstream it is what licenses the standard practice of "prescribing curvature and torsion" — constructing curves with specified geometric behaviour, computing with the Frenet apparatus rather than with the curve itself, and recognizing that any identity among kkk, τ\tauτ and their derivatives is a genuine statement about the curve and not about its parametrization. In do Carmo's own development the local canonical form (§1-6) and the global results of §1-7 both rest on the Frenet apparatus fixed here.

Mathlib contains the analytic ingredients — the Picard–Lindelöf theorem, existence and uniqueness for linear ODE systems, orthonormal bases and the orthogonal group of a real inner product space — but it does not contain the Frenet trihedron of a space curve, the torsion of a space curve, or this theorem. What this mission produces is therefore a reusable formal vocabulary for the local theory of space curves, plus machine-checked proofs of the classical statements about it. The mathematics is completely classical and has been known since Frenet (1847) and Serret (1851); what is open here is the formalization, not the mathematics.

Difficulty

The uniqueness half is a short argument on paper — the function ∣t−tˉ∣2+∣n−nˉ∣2+∣b−bˉ∣2|t - \bar t|^2 + |n - \bar n|^2 + |b - \bar b|^2∣t−tˉ∣2+∣n−nˉ∣2+∣b−bˉ∣2 has vanishing derivative by the Frenet formulas — but formally it requires first establishing that the Frenet frame is differentiable and satisfies those formulas, which needs k>0k > 0k>0 and the smoothness of s↦α′′(s)s \mapsto \alpha''(s)s↦α′′(s) away from its zeros, and then a connectedness argument on the interval.

The existence half cannot be done by exhibiting a formula: the curve is produced by solving the linear system F′=A(s)FF' = A(s) FF′=A(s)F for the 3×33 \times 33×3 frame FFF, checking that the solution stays orthogonal (this is where the skew-symmetry of AAA enters), and then integrating the first row. Recovering that the resulting curve has exactly the prescribed curvature and torsion, as computed by the definitions rather than as postulated by the ODE, is the step where most of the formal work sits.

The obvious shortcut — defining torsion by the closed formula −(α′∧α′′)⋅α′′′/k2-(\alpha' \wedge \alpha'') \cdot \alpha''' / k^2−(α′∧α′′)⋅α′′′/k2 — is not taken here: the definition is the book's, b′=τnb' = \tau nb′=τn, and the closed formula is a milestone to be proved.

Formalization scope

Curves are total functions ℝ → EuclideanSpace ℝ (Fin 3) that are assumed smooth only on the open interval Set.Ioo a b; smoothness is ContDiffOn ℝ (⊤ : ℕ∞), matching do Carmo's use of "differentiable" to mean C∞C^\inftyC∞. Because the interval is open, the ordinary deriv agrees with the derivative along the interval at every interior point, and all derivatives in the statements are plain iterated deriv. Curvature, normal, binormal and torsion are defined exactly as above; at points where k=0k = 0k=0 the normal vector takes the junk value 000, so every statement that mentions nnn, bbb or τ\tauτ carries the hypothesis k≠0k \neq 0k=0 explicitly.

The vector product is defined componentwise on EuclideanSpace ℝ (Fin 3), and a rigid motion is a LinearIsometryEquiv of EuclideanSpace ℝ (Fin 3) with positive determinant followed by a translation.

Degenerate intervals are not excluded: if b≤ab \le ab≤a the interval is empty and the statements hold vacuously, which is why the goal is not formulated as a statement about a single point but as a statement about all of (a,b)(a,b)(a,b) — no hypothesis is vacuous for a<ba < ba<b, and the existence clause is a genuine construction.

Contributions welcome: the Frenet apparatus and the ODE construction are the reusable parts, and both are prerequisites for the later missions of this series.

Selected references

  • Manfredo P. do Carmo, Differential Geometry of Curves and Surfaces, 2nd edition, Dover, 2016, Chapter 1, §1-4 and §1-5 (statement on p. 19, uniqueness proof pp. 20–22, existence in the appendix to Chapter 4).
  • F. Frenet, Sur les courbes à double courbure, Journal de Mathématiques Pures et Appliquées 17 (1852), 437–447.
  • J. A. Serret, Sur quelques formules relatives à la théorie des courbes à double courbure, Journal de Mathématiques Pures et Appliquées 16 (1851), 193–207.
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Mathematical PhysicsQuantum InformationTheoretical Computer Science·Captain: Lucas

Undecidability of the Spectral GapResearch Paper

Motivation

The spectral gap of a quantum many-body Hamiltonian is the difference between the energy of its ground state and the energy of its first excited state, in the limit of infinitely many particles. Whether a given microscopic interaction produces a gapped or a gapless system decides much of the macroscopic physics: gapped systems have exponentially decaying correlations and well-defined quantum phases, gapless systems sit at critical points and can display algebraically decaying correlations. Several long-standing questions — the Haldane conjecture for antiferromagnetic spin chains, the existence of gapped topological spin liquids, and the Yang–Mills mass gap — are instances of the question "given the interaction, is the system gapped?".

Cubitt, Pérez-García and Wolf proved that this question, posed for families of two-dimensional translationally invariant nearest-neighbour spin models, admits no algorithmic answer: the spectral gap problem is undecidable (Nature 528, 207–211 (2015); full version: Forum of Mathematics, Pi 10:e14 (2022), also arXiv:1502.04573).

Timeline of the ingredients the proof rests on: Turing's undecidability of the halting problem (1936); Berger's undecidability of the domino problem (1966) and Robinson's aperiodic tile set (Inventiones 12, 177–209 (1971)); Feynman's and Kitaev's circuit-to-Hamiltonian constructions, which turn a computation into a ground state; Gottesman and Irani's translationally invariant one-dimensional Hamiltonians encoding computation (FOCS 2009); and Bitansky–Vadhan-style quantum Turing machine engineering from Bernstein and Vazirani (SIAM J. Comput. 26, 1411–1473 (1997)). The 2015 result was later sharpened to one-dimensional chains by Bausch, Cubitt, Lucia and Pérez-García (PRX 10, 031038 (2020)).

Setting

Fix a local dimension ddd and, for each side length LLL, the square lattice Λ(L)={1,…,L}2\Lambda(L)=\{1,\dots,L\}^2Λ(L)={1,…,L}2 with open boundary conditions. Each site carries a copy of Cd\mathbb{C}^dCd, so the state space of the lattice has the standard product basis indexed by assignments of a level in {1,…,d}\{1,\dots,d\}{1,…,d} to each site. A model is specified by three Hermitian matrices: an on-site term h1h_1h1​ of size d×dd\times dd×d, and two interactions hrow,hcolh_{\mathrm{row}},h_{\mathrm{col}}hrow​,hcol​ of size d2×d2d^2\times d^2d2×d2 acting on horizontally and vertically adjacent pairs. The Hamiltonian of the finite lattice is

HΛ(L)  =  ∑horizontal edgeshrow(i,j)  +  ∑vertical edgeshcol(i,j)  +  ∑k∈Λ(L)h1(k),H^{\Lambda(L)} \;=\; \sum_{\text{horizontal edges}} h_{\mathrm{row}}^{(i,j)} \;+\; \sum_{\text{vertical edges}} h_{\mathrm{col}}^{(i,j)} \;+\; \sum_{k\in\Lambda(L)} h_1^{(k)},HΛ(L)=horizontal edges∑​hrow(i,j)​+vertical edges∑​hcol(i,j)​+k∈Λ(L)∑​h1(k)​,

the same three matrices being used at every edge and every site, which is what translational invariance means here. The quantity max⁡{∥h1∥,∥hrow∥,∥hcol∥}\max\{\|h_1\|,\|h_{\mathrm{row}}\|,\|h_{\mathrm{col}}\|\}max{∥h1​∥,∥hrow​∥,∥hcol​∥} is the local interaction strength.

Write λ0(HΛ(L))≤λ1(HΛ(L))≤⋯\lambda_0(H^{\Lambda(L)})\le\lambda_1(H^{\Lambda(L)})\le\cdotsλ0​(HΛ(L))≤λ1​(HΛ(L))≤⋯ for the eigenvalues and Δ(HΛ(L))=λ1−λ0\Delta(H^{\Lambda(L)})=\lambda_1-\lambda_0Δ(HΛ(L))=λ1​−λ0​ for the finite-size gap. The family {HΛ(L)}L\{H^{\Lambda(L)}\}_L{HΛ(L)}L​ is

  • gapped (Definition 1 of the source) if there are γ>0\gamma>0γ>0 and L0L_0L0​ such that for all L>L0L>L_0L>L0​ the ground state of HΛ(L)H^{\Lambda(L)}HΛ(L) is non-degenerate and Δ(HΛ(L))≥γ\Delta(H^{\Lambda(L)})\ge\gammaΔ(HΛ(L))≥γ;
  • gapless (Definition 2 of the source) if there is c>0c>0c>0 such that for every ε>0\varepsilon>0ε>0 there is an L0L_0L0​ with: for all L>L0L>L_0L>L0​, every point of [λ0,λ0+c][\lambda_0,\lambda_0+c][λ0​,λ0​+c] lies within ε\varepsilonε of the spectrum of HΛ(L)H^{\Lambda(L)}HΛ(L).

These two conditions are not negations of each other; the construction guarantees that every instance falls into one of them. The ground state energy density is Eρ=lim⁡L→∞λ0(HΛ(L))/L2E_\rho=\lim_{L\to\infty}\lambda_0(H^{\Lambda(L)})/L^2Eρ​=limL→∞​λ0​(HΛ(L))/L2.

Formalization targets

Goal — Theorem 3 of the source

For a fixed universal machine and every nnn, one explicit family of interactions, built from fixed integer-valued matrices A,A′,B,C,D,D′A,A',B,C,D,D'A,A′,B,C,D,D′, a diagonal projector Π\PiΠ, a rational β>0\beta>0β>0 that may be taken arbitrarily small, and an algebraic α(n)≤2β\alpha(n)\le 2\betaα(n)≤2β,

h1(n)=α(n)Π,hcol(n)=D+βD′,h_1(n)=\alpha(n)\Pi,\qquad h_{\mathrm{col}}(n)=D+\beta D',h1​(n)=α(n)Π,hcol​(n)=D+βD′, hrow(n)=A+β(A′+eiπφB+e−iπφB†+eiπ2−∣φ∣C+e−iπ2−∣φ∣C†),h_{\mathrm{row}}(n)=A+\beta\Bigl(A'+e^{i\pi\varphi}B+e^{-i\pi\varphi}B^{\dagger}+e^{i\pi 2^{-|\varphi|}}C+e^{-i\pi 2^{-|\varphi|}}C^{\dagger}\Bigr),hrow​(n)=A+β(A′+eiπφB+e−iπφB†+eiπ2−∣φ∣C+e−iπ2−∣φ∣C†),

with φ=φ(n)\varphi=\varphi(n)φ=φ(n) the rational whose binary expansion after the point is the binary expansion of nnn reversed, satisfies: the local interaction strength is at most 111; if the machine halts on input nnn the family is gapped with gap at least 111; and if it does not halt the family is gapless. Since halting is undecidable, no algorithm decides gappedness, even with the promise that exactly one of the two alternatives holds and even at fixed local dimension ddd.

Milestones

The milestone list follows the numbering of the full version: Lemma 8 and Theorem 9 (reduction of halting to ground state energy and to arbitrary low-energy properties), Corollary 7 (the same undecidability for unconstrained local dimension, with rational interactions), Proposition 53 and Corollary 54 (the diverging ground state energy and its promise version), and Theorem 5 (undecidability of the ground state energy density).

Significance

The result rules out a general algorithm — and therefore any complete general method — for deciding gappedness from the interaction matrices, however much computing power is available; the property genuinely depends on arbitrarily large system sizes. It also implies, via the standard link between undecidability and independence, that there are concrete finite-dimensional models whose gap is independent of the axioms of any consistent recursively axiomatized formal system (Corollary 4 of the source), and it transfers to other low-energy properties such as the existence of algebraically decaying ground-state correlations.

The theorem is proved; none of it is formalized. This mission produces the machine-checked version. The reusable infrastructure it forces into existence is substantial on its own: a formal model of translationally invariant lattice Hamiltonians and their thermodynamic-limit spectral behaviour, the tiling layer, and computational-history-state Hamiltonians. Each milestone is a self-contained statement that can be attacked without the others.

Difficulty

The obvious approach — encode a halting computation as an energy penalty — gives the ground state energy of a finite lattice, not a property of the limit; this is exactly what Lemma 8 achieves, and it is not enough, because a gap is a statement about the sequence of spectra as L→∞L\to\inftyL→∞ and is insensitive to any single lattice size. The construction must make the halting information visible at all sufficiently large sizes at once while a fixed finite local dimension carries every instance nnn. That forces three separate difficulties: an aperiodic (Robinson) tiling to create squares of every size 2n2^n2n inside one translationally invariant model; a quantum phase-estimation Turing machine whose transition amplitudes encode nnn in a single phase eiπφ(n)e^{i\pi\varphi(n)}eiπφ(n), so that the instance index does not inflate the local dimension; and a history-state Hamiltonian whose low-energy spectrum can be controlled well enough that a positive energy density in the halting case turns into a genuine spectral gap, and a vanishing one into a dense spectrum above the ground state.

Formalization scope

The development commits to the following conventions, all of which are visible in the definition items of this mission.

  1. Lattices are finite: sites are pairs of indices in {0,…,L−1}\{0,\dots,L-1\}{0,…,L−1}, edges are consecutive pairs within a row or a column (open boundary conditions; the periodic case of Section 6.3 of the source is out of scope).
  2. Operators are complex matrices indexed by product-basis configurations; the interactions are embedded by acting as the given matrix on the two sites of an edge and as the identity elsewhere.
  3. The spectrum is taken as the set of real numbers in the matrix spectrum, and λ0\lambda_0λ0​ is its infimum; every statement carries the Hermiticity hypotheses that make this the usual spectrum. Multiplicities are dimensions of eigenspaces, which is how the "identity of spectra as multisets" of Theorem 9 is expressed.
  4. Gapped, gapless and the energy density are properties of the whole family {HΛ(L)}L\{H^{\Lambda(L)}\}_L{HΛ(L)}L​ generated by a fixed triple of matrices, exactly as in Definitions 1 and 2.
  5. Operator norms are ℓ2\ell_2ℓ2​ operator norms; the local interaction strength is the maximum of the three.
  6. Machines are represented by partial recursive codes: "halts on input nnn" is definedness of the evaluation, and "has not halted after LLL steps" is the step-bounded evaluation returning nothing. The explicit local-dimension bounds of Lemma 8 and Theorem 9, which are stated in the source in terms of the number of internal states and the alphabet size of a Turing machine, are replaced by the existence of a finite local dimension.

Degenerate readings are excluded: a zero local dimension satisfies none of the statements, since a non-degenerate ground state requires a one-dimensional eigenspace and the gapless condition requires a non-empty spectrum; and every existential statement fixes the matrices before quantifying over all instances nnn and all lattice sizes LLL.

Contributions are welcome at any milestone, and also on the infrastructure the milestones need — Wang tilings and the Robinson tile set, Gottesman–Irani history-state Hamiltonians, and quantum Turing machines in the Bernstein–Vazirani sense — which are needed for Theorem 6 and Lemma 47 of the source and are not yet part of this mission's item list.

Selected references

  • T. S. Cubitt, D. Pérez-García, M. M. Wolf, Undecidability of the Spectral Gap (full version), Forum of Mathematics, Pi 10:e14, 1–102 (2022). https://doi.org/10.1017/fmp.2021.15 — the version all statements of this mission are formalized against; preprint: https://arxiv.org/abs/1502.04573
  • T. S. Cubitt, D. Pérez-García, M. M. Wolf, Undecidability of the spectral gap, Nature 528, 207–211 (2015). https://doi.org/10.1038/nature16059
  • R. M. Robinson, Undecidability and nonperiodicity for tilings of the plane, Inventiones Mathematicae 12, 177–209 (1971). https://doi.org/10.1007/BF01418780
  • D. Gottesman, S. Irani, The quantum and classical complexity of translationally invariant tiling and Hamiltonian problems, FOCS 2009. https://arxiv.org/abs/0905.2419
  • E. Bernstein, U. Vazirani, Quantum complexity theory, SIAM J. Comput. 26, 1411–1473 (1997). https://doi.org/10.1137/S0097539796300921
  • J. Bausch, T. S. Cubitt, A. Lucia, D. Pérez-García, Undecidability of the spectral gap in one dimension, Phys. Rev. X 10, 031038 (2020). https://doi.org/10.1103/PhysRevX.10.031038
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Geometry & TopologyGroup Theory·Captain: Lucas

Faithfulness of the Burau representation of B4Research Paper

Motivation

In 1935 Werner Burau attached to every braid on nnn strands a matrix over the ring of Laurent polynomials Z[t,t−1]\mathbb{Z}[t,t^{-1}]Z[t,t−1]. The resulting homomorphism ρn:Bn→GLn(Z[t,t−1])\rho_n : B_n \to \mathrm{GL}_n(\mathbb{Z}[t,t^{-1}])ρn​:Bn​→GLn​(Z[t,t−1]) is the oldest and most studied linear representation of the braid group, and whether it is faithful — whether a nontrivial braid can act as the identity matrix — became one of the best known questions about braid groups.

The history is short and sharp:

  • 1969 — Magnus and Peluso prove that ρ3\rho_3ρ3​ is faithful, by a direct algebraic computation.
  • 1991 — Moody proves ρn\rho_nρn​ is not faithful for n≥9n \ge 9n≥9.
  • 1993 — Long and Paton improve this to n≥6n \ge 6n≥6.
  • 1999 — Bigelow settles n=5n = 5n=5: ρ5\rho_5ρ5​ is not faithful.
  • This left exactly one open case, n=4n = 4n=4, which appears as Question 3.1 in Margalit's problem list for mapping class groups.
  • 2026 — Bharathram, Birman and Brendle prove that ρ4\rho_4ρ4​ is faithful (arXiv:2607.05283), closing the last case.

Setting

Let n≥1n \ge 1n≥1. The braid group BnB_nBn​ is taken here in Artin's presentation: generators σ1,…,σn−1\sigma_1,\dots,\sigma_{n-1}σ1​,…,σn−1​ subject to

σiσj=σjσi(∣i−j∣≥2),σiσi+1σi=σi+1σiσi+1.\sigma_i\sigma_j = \sigma_j\sigma_i \quad (|i-j| \ge 2), \qquad \sigma_i\sigma_{i+1}\sigma_i = \sigma_{i+1}\sigma_i\sigma_{i+1}.σi​σj​=σj​σi​(∣i−j∣≥2),σi​σi+1​σi​=σi+1​σi​σi+1​.

Let R=Z[t,t−1]R = \mathbb{Z}[t,t^{-1}]R=Z[t,t−1]. The unreduced Burau representation is the homomorphism

ρn:Bn⟶GLn(R),σi⟼Ii−1⊕(1−tt10)⊕In−i−1,\rho_n : B_n \longrightarrow \mathrm{GL}_n(R), \qquad \sigma_i \longmapsto I_{i-1} \oplus \begin{pmatrix} 1-t & t \\ 1 & 0\end{pmatrix} \oplus I_{n-i-1},ρn​:Bn​⟶GLn​(R),σi​⟼Ii−1​⊕(1−t1​t0​)⊕In−i−1​,

i.e. the identity matrix altered only in the two rows and columns iii, i+1i+1i+1. That these matrices satisfy the two families of braid relations — so that ρn\rho_nρn​ is well defined — is proved in the mission's definition file, together with the invertibility of each generator matrix (its inverse is the identity altered by the block (01t−11−t−1)\begin{pmatrix} 0 & 1 \\ t^{-1} & 1-t^{-1}\end{pmatrix}(0t−1​11−t−1​)).

Equivalently, ρn\rho_nρn​ is the action of the mapping class group of the nnn-punctured disk DnD_nDn​ on the relative homology H1(Dn~,{p~∗})H_1(\widetilde{D_n}, \{\tilde p_*\})H1​(Dn​​,{p~​∗​}) of the infinite cyclic cover determined by total winding number; this is the description used throughout the source paper.

A representation is faithful when it is injective.

Target

The goal of the mission is the Main Theorem of the paper:

ρ4:B4⟶GL4(Z[t,t−1])  is injective.\rho_4 : B_4 \longrightarrow \mathrm{GL}_4(\mathbb{Z}[t,t^{-1}]) \ \text{ is injective.}ρ4​:B4​⟶GL4​(Z[t,t−1])  is injective.

The milestones are three supporting results, each of which can be attacked independently:

  1. Theorem 4.1 (Magnus–Peluso). ρ3\rho_3ρ3​ is injective. The paper gives a new topological proof of this classical statement, and the same argument is the model for the four-strand case.
  2. Observation 2.1. If a braid Φ∈Bn\Phi \in B_nΦ∈Bn​ satisfies ρn(Φ)=I\rho_n(\Phi) = Iρn​(Φ)=I, then its image under the standard inclusion Bn↪Bn+1B_n \hookrightarrow B_{n+1}Bn​↪Bn+1​ (add one unbraided strand) satisfies ρn+1(ι(Φ))=I\rho_{n+1}(\iota(\Phi)) = Iρn+1​(ι(Φ))=I. The paper uses this to move a four-strand braid into B5B_5B5​, where a parity obstruction can be applied.
  3. Long's criterion ([Long 1986, Theorem 2.2], quoted in Section 1 of the paper). If N⊴BnN \trianglelefteq B_nN⊴Bn​ is nontrivial and not contained in the centre, and ρn\rho_nρn​ is injective on NNN, then ρn\rho_nρn​ is injective. This is what reduces the Main Theorem to faithfulness on the Brunnian subgroup Brun4\mathrm{Brun}_4Brun4​.

Significance

Faithfulness of ρ4\rho_4ρ4​ closes the classification of the faithful Burau representations: ρn\rho_nρn​ is faithful exactly for n≤4n \le 4n≤4. It immediately gives faithfulness of the Jones representation of B4B_4B4​ (Corollary 1.1 of the paper), since the Jones representation contains the reduced Burau representation as a summand. Beyond the statement itself, the kernel and the image of ρn\rho_nρn​ for n≥5n \ge 5n≥5 remain poorly understood, and the paper's disk-sequence and parity technology is proposed by its authors as a tool for that problem.

For formalization, essentially nothing of this is machine-checked today: Mathlib has neither braid groups nor the Burau representation. This mission puts in place a checked definition of ρn\rho_nρn​ over Z[t,t−1]\mathbb{Z}[t,t^{-1}]Z[t,t−1] (including well-definedness and invertibility), and then asks for the mathematics. Even the three-strand case — Magnus–Peluso, known since 1969 — is not formalized anywhere, and it is the natural first target.

Difficulty

The obvious approach fails in both directions. One cannot simply compute: a braid in the kernel would have to be found or excluded among infinitely many words, and no normal form for B4B_4B4​ turns injectivity of ρ4\rho_4ρ4​ into a finite check. Nor can one argue by a free-subgroup / ping-pong pattern, which is how non-faithfulness is proved for n≥5n \ge 5n≥5.

The source argument is topological. To a braid Φ\PhiΦ one associates the arc β=(β∗3)Φ\beta = (\beta_*^3)\Phiβ=(β∗3​)Φ and the sequence of punctured disks cut out by its intersections with a fixed arc α\alphaα; the Moody polynomial M(α,β)∈Z[t,t−1]M(\alpha,\beta) \in \mathbb{Z}[t,t^{-1}]M(α,β)∈Z[t,t−1] then obstructs membership in the kernel provided no cancellation occurs among its monomials. Three-strand braids always satisfy the relevant parity condition; four-strand braids do not, and the paper repairs this by pushing a point-pushing braid Φ∈K4\Phi \in K_4Φ∈K4​ into B5B_5B5​ and applying Moody's theorem there. A complete formalization therefore needs curves on punctured disks, minimal position, and the Birman exact sequence — none of which exist in Mathlib. Contributions that build any of that infrastructure are as welcome as contributions to the statements themselves.

Formalization scope

Conventions fixed by the Lean development:

  1. BnB_nBn​ is the abstract group given by Artin's presentation, with generators indexed by Fin(n−1)\mathrm{Fin}(n-1)Fin(n−1) using truncated subtraction; the generator of index iii is σi+1\sigma_{i+1}σi+1​. This is the already-published definition reused by the mission, so results proved here interoperate with other braid-group missions.
  2. The representation is the unreduced Burau representation, of size n×nn \times nn×n, not the reduced (n−1)(n-1)(n−1)-dimensional one; the variable is written ttt and the coefficient ring is Z[t,t−1]\mathbb{Z}[t,t^{-1}]Z[t,t−1].
  3. Faithfulness is stated as injectivity of the group homomorphism, not as triviality of the kernel on some subgroup, and it is the genuine homomorphism out of the presented group: the braid relations are verified for the Burau matrices in the definition file, so no statement here is vacuous or conditional on well-definedness.
  4. Long's criterion is stated for all nnn; for n≤2n \le 2n≤2 its noncentrality hypothesis cannot be satisfied, so its content is the case n≥3n \ge 3n≥3 that the paper uses.

A complete development will additionally need: point-pushing subgroups and the Brunnian group Brun4\mathrm{Brun}_4Brun4​, the Moody polynomial of a pair of arcs, and winding-number sequences. These are not yet formalized and are deliberately not part of the current statements; proposals for faithful formalizations of them are welcome in the mission discussion.

Selected references

  • V. Bharathram, J. S. Birman, T. E. Brendle, The Burau representation is faithful for n = 4, 2026, arXiv:2607.05283.
  • W. Magnus, A. Peluso, On a theorem of V. I. Arnold, Comm. Pure Appl. Math. 22 (1969), 683–692, DOI:10.1002/cpa.3160220508.
  • D. D. Long, A note on the normal subgroups of mapping class groups, Math. Proc. Cambridge Philos. Soc. 99 (1986), 79–87, DOI:10.1017/S0305004100063969.
  • J. A. Moody, The Burau representation of the braid group BnB_nBn​ is unfaithful for large nnn, Bull. Amer. Math. Soc. 25 (1991), 379–384, DOI:10.1090/S0273-0979-1991-16080-5.
  • D. D. Long, M. Paton, The Burau representation is not faithful for n≥6n \ge 6n≥6, Topology 32 (1993), 439–447, DOI:10.1016/0040-9383(93)90030-Y.
  • S. Bigelow, The Burau representation is not faithful for n=5n = 5n=5, Geom. Topol. 3 (1999), 397–404, DOI:10.2140/gt.1999.3.397.
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Mathematical PhysicsPure Mathematics·Captain: Lucas

The Gribov Region: Geometry of the Landau-Gauge Faddeev--Popov OperatorResearch Paper

Motivation

Quantizing a Yang–Mills theory by the Faddeev–Popov procedure requires a gauge condition that picks one representative from each gauge orbit. In the Landau gauge the condition is ∂μAμa=0\partial_\mu A_\mu^a = 0∂μ​Aμa​=0. Gribov showed in 1978 that this condition is not ideal: a gauge orbit can meet the surface ∂μAμ=0\partial_\mu A_\mu = 0∂μ​Aμ​=0 more than once, so gauge-equivalent configurations — Gribov copies — are still being integrated over (V. N. Gribov, Quantization of non-Abelian gauge theories, Nucl. Phys. B139 (1978) 1). Infinitesimally, a copy of a transverse field AAA corresponds to a zero mode of the Faddeev–Popov operator Mab(A)=−∂μDμab(A)M^{ab}(A) = -\partial_\mu D_\mu^{ab}(A)Mab(A)=−∂μ​Dμab​(A), which is Hermitian on transverse configurations.

Gribov's proposed remedy is to restrict the functional integral to the Gribov region Ω\OmegaΩ, the set of transverse configurations at which M(A)M(A)M(A) is positive definite. The interest of Ω\OmegaΩ is not only that it removes infinitesimal copies: the fact that it is a bounded region of field space is the geometric input of Gribov's confinement scenario, because restricting the integration to a bounded region deforms the gluon propagator in the infrared and produces a mass scale. Whether the restriction to Ω\OmegaΩ is the physically correct prescription is still debated; the geometric properties of Ω\OmegaΩ themselves are not — they are consequences of the algebraic structure of M(A)M(A)M(A), and they are what this mission formalizes.

Timeline of the properties at issue, as recorded in §2.2.1 (pp. 188–189) of the review by N. Vandersickel and D. Zwanziger, The Gribov problem and QCD dynamics, Phys. Rep. 520 (2012) 175–251 (doi:10.1016/j.physrep.2012.07.003):

  • 1978, Gribov: existence of copies infinitesimally across the horizon ∂Ω\partial\Omega∂Ω (Nucl. Phys. B139 (1978) 1).
  • 1982, D. Zwanziger: Ω\OmegaΩ is convex and bounded in every direction (Nucl. Phys. B209 (1982) 336).
  • 1982, M. Semenov-Tyan-Shanskii and V. Franke: the variational characterization of Ω\OmegaΩ by relative minima of ∥AU∥2\|A^U\|^2∥AU∥2, and the fact that Ω\OmegaΩ still contains copies.
  • 1989, G. Dell'Antonio and D. Zwanziger: Ω\OmegaΩ is contained in an ellipsoid (Nucl. Phys. B326 (1989) 333).
  • 1991, G. Dell'Antonio and D. Zwanziger: every gauge orbit passes inside Ω\OmegaΩ (Comm. Math. Phys. 138 (1991) 291–299).

Setting

Fix a real vector space VVV of gauge-field configurations (in the physical situation, the transverse fields AμaA_\mu^aAμa​) and a finite index set {1,…,n}\{1,\dots,n\}{1,…,n} on which the Faddeev–Popov operator acts (colour index times a finite basis of fluctuation modes ω\omegaω). The formalization works with the algebraic structure that the Faddeev–Popov operator has, and nothing else:

M(A)  =  M0  +  M2(A),M(A) \;=\; M_0 \;+\; M_2(A),M(A)=M0​+M2​(A),

where

  • M0M_0M0​ is the field-independent part, M0=−∂2M_0 = -\partial^2M0​=−∂2 in the physical setting, taken here to be a fixed symmetric positive definite n×nn \times nn×n real matrix;
  • A↦M2(A)A \mapsto M_2(A)A↦M2​(A) is linear in AAA, and each M2(A)M_2(A)M2​(A) is a symmetric traceless real n×nn \times nn×n matrix. In the physical setting M2(A)ab=∂μfabcAμcM_2(A)^{ab} = \partial_\mu f^{abc} A_\mu^cM2​(A)ab=∂μ​fabcAμc​, which is traceless already in the colour indices.

The Gribov region is

Ω  =  { A∈V  :  M(A) is positive definite },M(A) positive definite  ⟺  ∀ w≠0, wTM(A) w>0.\Omega \;=\; \{\, A \in V \;:\; M(A) \text{ is positive definite} \,\}, \qquad M(A) \text{ positive definite} \iff \forall\, w \neq 0,\ w^{\mathsf T} M(A)\, w > 0 .Ω={A∈V:M(A) is positive definite},M(A) positive definite⟺∀w=0, wTM(A)w>0.

This is Eq. (2.52) of the review, with positivity as in Eq. (2.54). The boundary ∂Ω\partial\Omega∂Ω is the first Gribov horizon, where the lowest non-trivial eigenvalue of M(A)M(A)M(A) vanishes.

Formalization targets

Goal — Ω\OmegaΩ is a bounded convex set containing the origin

0∈Ω,Ω convex,∀A≠0 ∃λ0>0 ∀λ≥λ0: λA∉Ω,Ω bounded.0 \in \Omega, \qquad \Omega \text{ convex}, \qquad \forall A \neq 0\ \exists \lambda_0 > 0\ \forall \lambda \ge \lambda_0:\ \lambda A \notin \Omega, \qquad \Omega \text{ bounded}.0∈Ω,Ω convex,∀A=0 ∃λ0​>0 ∀λ≥λ0​: λA∈/Ω,Ω bounded.

The last two clauses are stated under the assumption that A↦M2(A)A \mapsto M_2(A)A↦M2​(A) is injective, i.e. that distinct configurations give distinct field-dependent parts; without it Ω\OmegaΩ contains the whole kernel of M2M_2M2​ as a linear subspace and no boundedness statement can hold.

Supporting statements

M(αA1+βA2)=αM(A1)+βM(A2)(α+β=1),M(\alpha A_1 + \beta A_2) = \alpha M(A_1) + \beta M(A_2) \quad (\alpha + \beta = 1),M(αA1​+βA2​)=αM(A1​)+βM(A2​)(α+β=1), M symmetric, tr⁡M=0, M≠0  ⟹  ∃w: wTMw<0.M \text{ symmetric},\ \operatorname{tr} M = 0,\ M \neq 0 \;\Longrightarrow\; \exists w:\ w^{\mathsf T} M w < 0 .M symmetric, trM=0, M=0⟹∃w: wTMw<0.

These are Eq. (2.53) and Eq. (2.58) of the review; they are the two ingredients from which convexity and directional boundedness follow.

Significance

What the result gives: Ω\OmegaΩ is the region to which Gribov's improved gauge fixing restricts the functional integral, and every subsequent construction in this line of work — the no-pole condition, the horizon function and the local Gribov–Zwanziger action — presupposes that the restriction is to a bounded convex region containing the perturbative point A=0A = 0A=0. Convexity is what makes the horizon condition a single well-posed constraint; boundedness in every direction is the property from which the infrared suppression of the gluon propagator, and hence Gribov's mass scale, is read off. Without boundedness there is no geometric mechanism for a mass gap in this scenario.

Status honesty: these statements are proved mathematics, not open problems; the arguments in §2.2.1 of the review are short. What is missing is a machine-checked account. No formalization of the Gribov region in Lean is known to the drafter of this proposal; the platform's existing Gribov material concerns Singer's topological obstruction to continuous gauge fixing, which is a different theorem about a different object.

Difficulty

The statements are elementary once the correct hypotheses are isolated, and the mission is calibrated accordingly: it is a faithfulness exercise rather than a depth exercise. The two places where a naive attempt fails are worth naming. First, directional boundedness does not follow from positivity alone: it needs the tracelessness of M2(A)M_2(A)M2​(A), which is what forces a direction www with wTM2(A)w<0w^{\mathsf T} M_2(A) w < 0wTM2​(A)w<0; a positive semidefinite perturbation would give a region unbounded along that ray. Second, "bounded in every direction" does not imply "bounded" for a general set, and the implication used here rests on convexity together with injectivity of M2M_2M2​ — the argument goes through a limit of rescaled configurations and a closure of the positivity condition, not through a uniform bound extracted directly from the ray statement.

Formalization scope

The mission commits to a finite-dimensional linear-algebra model of the Faddeev–Popov operator, packaged as a structure carrying: the matrix M0M_0M0​ together with a proof that it is positive definite; the linear map A↦M2(A)A \mapsto M_2(A)A↦M2​(A) together with proofs that each M2(A)M_2(A)M2​(A) is symmetric and traceless. Configurations live in an arbitrary real vector space VVV, which carries a norm and finite-dimensionality only in the two statements where boundedness is asserted. Positive definiteness is Mathlib's notion for real matrices, which includes symmetry; the region is the set of configurations where it holds strictly, so Ω\OmegaΩ is the open region and the horizon is not part of it.

This is a model, not the field-theoretic object: it replaces the operator −∂μDμ-\partial_\mu D_\mu−∂μ​Dμ​ acting on transverse fields by its finite-dimensional algebraic shadow, and the reviewer should audit it as such. The properties targeted here are exactly those whose proofs in §2.2.1 use only linearity in AAA, symmetry, tracelessness, and positivity of −∂2-\partial^2−∂2; results that genuinely need the infinite-dimensional setting — that every gauge orbit passes inside Ω\OmegaΩ, and that Ω\OmegaΩ still contains copies on its boundary — are deliberately out of scope, since they cannot be stated in this model.

The model is not vacuous: an instance exists already for V=RV = \mathbb{R}V=R, n=2n = 2n=2, M0=IM_0 = IM0​=I and M2(t)=t diag(1,−1)M_2(t) = t\,\mathrm{diag}(1,-1)M2​(t)=tdiag(1,−1), with M2M_2M2​ injective, so none of the statements is satisfied vacuously. Nor is any target trivially true: Ω\OmegaΩ is a proper nonempty subset of VVV in that instance.

Infrastructure needed: Mathlib's positive-definiteness API for matrices, the spectral theorem for real symmetric matrices (for the traceless lemma), and basic convexity and boundedness in finite-dimensional normed spaces. The traceless lemma — a nonzero symmetric traceless matrix has a direction of negative quadratic form — is reusable well beyond this mission. Contributions extending the model towards the infinite-dimensional setting, or supplying the explicit ellipsoidal bound of Dell'Antonio–Zwanziger in place of plain boundedness, are welcome.

Selected references

  • N. Vandersickel, D. Zwanziger, The Gribov problem and QCD dynamics, Physics Reports 520 (2012) 175–251. https://doi.org/10.1016/j.physrep.2012.07.003
  • V. N. Gribov, Quantization of non-Abelian gauge theories, Nuclear Physics B139 (1978) 1.
  • D. Zwanziger, Nonperturbative modification of the Faddeev–Popov formula and banishment of the naive vacuum, Nuclear Physics B209 (1982) 336.
  • M. Semenov-Tyan-Shanskii, V. Franke, A variational principle for the Lorentz condition and restriction of the domain of path integration in non-abelian gauge theory, 1982.
  • G. Dell'Antonio, D. Zwanziger, Ellipsoidal bound on the Gribov horizon contradicts the perturbative renormalization group, Nuclear Physics B326 (1989) 333.
  • G. Dell'Antonio, D. Zwanziger, Every gauge orbit passes inside the Gribov horizon, Communications in Mathematical Physics 138 (1991) 291–299.
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AnalysisNumber Theory·Captain: Lucas

The de Bruijn–Newman Constant is Non-negativeResearch Paper

Motivation

The Riemann hypothesis asserts that all nontrivial zeros of the Riemann zeta function lie on the critical line. A classical way to measure how far the hypothesis is from failing runs through a one-parameter deformation of the Riemann ξ\xiξ function by the backward heat flow. De Bruijn (1950) introduced a family of entire functions HtH_tHt​, t∈Rt \in \mathbb{R}t∈R, with H0H_0H0​ essentially the ξ\xiξ function, and showed that HtH_tHt​ has only real zeros for t≥1/2t \ge 1/2t≥1/2. Newman (1976) proved that there is a finite constant Λ\LambdaΛ, now called the de Bruijn–Newman constant, such that HtH_tHt​ has only real zeros precisely when t≥Λt \ge \Lambdat≥Λ. The Riemann hypothesis is exactly the statement Λ≤0\Lambda \le 0Λ≤0, and Newman conjectured the complementary bound Λ≥0\Lambda \ge 0Λ≥0 — in his phrase, that if the Riemann hypothesis is true, then it is only barely so.

Timeline of lower bounds on Λ\LambdaΛ, all obtained before 2018 by exhibiting Lehmer pairs, that is, pairs of adjacent zeros of ζ\zetaζ that are unusually close together: Λ>−∞\Lambda > -\inftyΛ>−∞ (Newman 1976), Λ≥−50\Lambda \ge -50Λ≥−50 (Csordas–Norfolk–Varga 1988), Λ≥−5\Lambda \ge -5Λ≥−5 (te Riele 1991), Λ≥−0.385\Lambda \ge -0.385Λ≥−0.385 (Norfolk–Ruttan–Varga 1992), Λ≥−0.0991\Lambda \ge -0.0991Λ≥−0.0991 (Csordas–Ruttan–Varga 1991), Λ≥−4.379×10−6\Lambda \ge -4.379 \times 10^{-6}Λ≥−4.379×10−6 (Csordas–Smith–Varga 1994), Λ≥−5.895×10−9\Lambda \ge -5.895 \times 10^{-9}Λ≥−5.895×10−9 (Csordas–Odlyzko–Smith–Varga 1993), Λ≥−2.63×10−9\Lambda \ge -2.63 \times 10^{-9}Λ≥−2.63×10−9 (Odlyzko 2000), Λ≥−1.15×10−11\Lambda \ge -1.15 \times 10^{-11}Λ≥−1.15×10−11 (Saouter–Gourdon–Demichel 2011). Rodgers and Tao closed the gap in 2020 by proving Λ≥0\Lambda \ge 0Λ≥0. In the other direction, de Bruijn's bound Λ≤1/2\Lambda \le 1/2Λ≤1/2 was sharpened to Λ<1/2\Lambda < 1/2Λ<1/2 by Ki–Kim–Lee (2009) and to Λ≤0.22\Lambda \le 0.22Λ≤0.22 by the Polymath 15 project (2019).

Setting

For a real number uuu put

Φ(u):=∑n=1∞(2π2n4e9u−3πn2e5u)exp⁡(−πn2e4u),\Phi(u) := \sum_{n=1}^{\infty}\bigl(2\pi^2 n^4 e^{9u} - 3\pi n^2 e^{5u}\bigr)\exp\bigl(-\pi n^2 e^{4u}\bigr),Φ(u):=n=1∑∞​(2π2n4e9u−3πn2e5u)exp(−πn2e4u),

a function that decays super-exponentially as ∣u∣→∞|u| \to \infty∣u∣→∞ and satisfies Φ(u)=Φ(−u)\Phi(u) = \Phi(-u)Φ(u)=Φ(−u). For each t∈Rt \in \mathbb{R}t∈R define the entire function

Ht(z):=∫0∞etu2 Φ(u) cos⁡(zu) du.H_t(z) := \int_0^{\infty} e^{t u^2}\,\Phi(u)\,\cos(z u)\,du .Ht​(z):=∫0∞​etu2Φ(u)cos(zu)du.

Each HtH_tHt​ is even and satisfies Ht(zˉ)=Ht(z)‾H_t(\bar z) = \overline{H_t(z)}Ht​(zˉ)=Ht​(z)​; the function H0H_0H0​ is 18ξ(12+iz2)\tfrac18 \xi\bigl(\tfrac12 + \tfrac{iz}{2}\bigr)81​ξ(21​+2iz​), so the Riemann hypothesis says exactly that every zero of H0H_0H0​ is real. Write

S:={ t∈R:every zero of Ht is real },Λ:=inf⁡S.S := \{\, t \in \mathbb{R} : \text{every zero of } H_t \text{ is real} \,\},\qquad \Lambda := \inf S .S:={t∈R:every zero of Ht​ is real},Λ:=infS.

By Pólya and Newman, SSS is the ray [Λ,∞)[\Lambda, \infty)[Λ,∞) with −∞<Λ≤1/2-\infty < \Lambda \le 1/2−∞<Λ≤1/2.

When Λ<t≤0\Lambda < t \le 0Λ<t≤0 the zeros of HtH_tHt​ are real, simple, symmetric about the origin and avoid the origin, so they can be listed as (xj(t))j∈Z∗(x_j(t))_{j \in \mathbb{Z}^*}(xj​(t))j∈Z∗​, indexed by the nonzero integers, with 0<x1(t)<x2(t)<⋯0 < x_1(t) < x_2(t) < \cdots0<x1​(t)<x2​(t)<⋯ and x−j(t)=−xj(t)x_{-j}(t) = -x_j(t)x−j​(t)=−xj​(t). The classical locations ξj\xi_jξj​ are defined for j≥1j \ge 1j≥1 by Ψ(ξj)=j\Psi(\xi_j) = jΨ(ξj​)=j with

Ψ(T):=T4πlog⁡T4π−T4π,\Psi(T) := \frac{T}{4\pi}\log\frac{T}{4\pi} - \frac{T}{4\pi},Ψ(T):=4πT​log4πT​−4πT​,

extended by ξ−j=−ξj\xi_{-j} = -\xi_jξ−j​=−ξj​; they are the positions the zeros would occupy if the Riemann–von Mangoldt counting formula were exact. Throughout, log⁡+x:=log⁡(2+∣x∣)\log_+ x := \log(2 + |x|)log+​x:=log(2+∣x∣).

Formalization targets

Goal — Newman's conjecture

Λ≥0,equivalentlyevery t with Ht having only real zeros satisfies t≥0.\Lambda \ge 0, \qquad\text{equivalently}\qquad \text{every } t \text{ with } H_t \text{ having only real zeros satisfies } t \ge 0 .Λ≥0,equivalentlyevery t with Ht​ having only real zeros satisfies t≥0.

The goal is stated in both forms simultaneously, so that it does not depend on any convention for the infimum of a set that might be empty or unbounded below.

Milestones

The milestone list follows the architecture of Rodgers–Tao, which is a proof by contradiction: every milestone is stated under the standing hypothesis Λ<0\Lambda < 0Λ<0 of that paper, in the time ranges the paper uses (Λ<t≤0\Lambda < t \le 0Λ<t≤0, then Λ/2≤t≤0\Lambda/2 \le t \le 0Λ/2≤t≤0, then Λ/4≤t≤0\Lambda/4 \le t \le 0Λ/4≤t≤0). In order: an upper bound for HtH_tHt​ near the real axis (Lemma 4); Riemann–von Mangoldt type counting formulae for the zeros of HtH_tHt​ (Theorem 9); the resulting macroscopic description of the zeros (Corollary 10); the equations of motion ∂txk=2∑j≠k(xk−xj)−1\partial_t x_k = 2\sum_{j \ne k} (x_k - x_j)^{-1}∂t​xk​=2∑j=k​(xk​−xj​)−1 (Theorem 11); a quantitative lower bound on gaps between zeros (Proposition 13); a bound on the time-integrated renormalized energy (Theorem 17); and a bound on that energy at time t=0t = 0t=0 (Proposition 26). The last of these says that at time zero the zeros are, on average, locally in the equilibrium configuration of an arithmetic progression, which contradicts known results on the local distribution of zeros of ζ\zetaζ.

Significance

Λ≥0\Lambda \ge 0Λ≥0 settles Newman's conjecture, and together with the Riemann hypothesis it would force Λ=0\Lambda = 0Λ=0. Unconditionally, it says that the zeros of ξ\xiξ are not in local equilibrium: infinitely often, gaps between consecutive zeros deviate from the mean spacing, which is what makes the pair correlation phenomenology of Montgomery and of Conrey–Ghosh–Goldston–Gonek–Heath-Brown incompatible with Λ<0\Lambda < 0Λ<0. Any proof of the Riemann hypothesis must therefore be compatible with the hypothesis being tight in this sense.

The theorem has a complete published proof (Rodgers–Tao, Forum of Mathematics, Pi, 2020); it is not an open problem. What is missing is a machine-checked proof. To the extent the material has been formalized at all, the underlying objects — the ξ\xiξ function, the heat flow HtH_tHt​, the counting function for zeros, the zero dynamics, the renormalized energies — are not available in Mathlib, so the mission produces reusable analytic infrastructure: bounds for a Fourier–Laplace type integral by the saddle point method, a Riemann–von Mangoldt counting argument via the argument principle, and a gradient-flow monotonicity framework for an infinite particle system with logarithmic interaction.

Difficulty

The obvious route to Λ≥0\Lambda \ge 0Λ≥0 is the one used for every previous lower bound: exhibit Lehmer pairs of ever higher quality, since if Λ\LambdaΛ were very negative the zeros of H0H_0H0​ would repel each other and unusually close pairs of zeta zeros could not exist. Producing an infinite sequence of Lehmer pairs of arbitrarily high quality is possible under the GUE hypothesis, but the known unconditional upper bounds for small gaps between zeta zeros are too weak, even assuming the Riemann hypothesis. The proof instead upgrades repulsion to relaxation to local equilibrium: it must control the zeros of HtH_tHt​ uniformly for Λ<t≤0\Lambda < t \le 0Λ<t≤0 at length scales as fine as log⁡T\log TlogT, with only the weaker counting formulae available for negative ttt (an error term O(log⁡+2T)O(\log_+^2 T)O(log+2​T) rather than O(log⁡+T)O(\log_+ T)O(log+​T)), and must make sense of a Hamiltonian and an energy that are given by divergent series, which requires truncation, renormalization, and careful control of all the resulting boundary terms.

Formalization scope

The Lean development commits to the following conventions. Φ\PhiΦ is a tsum over the positive integers and Ht(z)H_t(z)Ht​(z) is the Bochner integral over (0,∞)(0, \infty)(0,∞) of etu2Φ(u)cos⁡(zu)e^{tu^2}\Phi(u)\cos(zu)etu2Φ(u)cos(zu); no convergence or entireness statement is built into the definition. Λ\LambdaΛ is sInf of the set of admissible times, and the goal theorem also states the quantifier form "every admissible ttt is nonnegative", so it cannot be satisfied by a junk value of the infimum. The zero families (xj(t))(x_j(t))(xj​(t)) and the classical locations (ξj)(\xi_j)(ξj​) are not defined by choice functions: they enter the milestones as universally quantified functions Z→R\mathbb{Z} \to \mathbb{R}Z→R subject to explicit predicates saying exactly which sequences they are, so a milestone asserts something about every valid enumeration. Asymptotic notation is unfolded: O(⋅)O(\cdot)O(⋅) becomes an explicit existential constant, oT→∞(⋅)o_{T \to \infty}(\cdot)oT→∞​(⋅) an explicit ε\varepsilonε–T0T_0T0​ statement, and a principal value sum a limit of symmetric partial sums. Where a statement asserts the value of a time integral, absolute integrability is part of the conclusion, so the statement cannot be satisfied by the convention that a non-integrable function has integral zero.

One degeneracy is inherent to the source and is stated here explicitly: since the paper argues by contradiction, each milestone carries the hypothesis Λ<0\Lambda < 0Λ<0 (directly, or through a time range such as Λ<t≤0\Lambda < t \le 0Λ<t≤0). Once the goal theorem is proved, those hypotheses are unsatisfiable and the milestones become vacuously true. They are the intended attack path on the goal, not independent targets, and a solver who derives one of them from the goal theorem contributes nothing.

Contributions welcome: the analytic estimates for HtH_tHt​ (Lemma 4) and the counting formulae (Theorem 9) are independent of the dynamical part and are the natural entry points; Mathlib-level infrastructure on the argument principle, the saddle point method, and Stirling asymptotics for Γ\GammaΓ in vertical strips is reusable well beyond this mission.

Selected references

  • B. Rodgers and T. Tao, The de Bruijn–Newman constant is non-negative, Forum of Mathematics, Pi 8 (2020), e6. https://doi.org/10.1017/fmp.2020.6
  • N. G. de Bruijn, The roots of trigonometric integrals, Duke Math. J. 17 (1950), 197–226. https://doi.org/10.1215/S0012-7094-50-01720-0
  • C. M. Newman, Fourier transforms with only real zeros, Proc. Amer. Math. Soc. 61 (1976), 246–251. https://doi.org/10.1090/S0002-9939-1976-0434982-5
  • G. Csordas, W. Smith and R. S. Varga, Lehmer pairs of zeros, the de Bruijn–Newman constant Λ\LambdaΛ, and the Riemann hypothesis, Constr. Approx. 10 (1994), 107–129. https://doi.org/10.1007/BF01205170
  • H. L. Montgomery, The pair correlation of zeros of the zeta function, Proc. Sympos. Pure Math. XXIV (1973), 181–193. https://doi.org/10.1090/pspum/024
  • J. B. Conrey, A. Ghosh, D. Goldston, S. M. Gonek and D. R. Heath-Brown, On the distribution of gaps between zeros of the zeta-function, Q. J. Math. 36 (1985), 43–51. https://doi.org/10.1093/qmath/36.1.43
  • D. H. J. Polymath, Effective approximation of heat flow evolution of the Riemann ξ\xiξ function, and a new upper bound for the de Bruijn–Newman constant, Res. Math. Sci. 6 (2019), 31. https://doi.org/10.1007/s40687-019-0193-1
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CombinatoricsMechanism Design·Captain: Shuze Chen

Algorithmic Game Theory V: Stable Matching and Trading without MoneyTextbook

Algorithmic Game Theory V: Stable Matching and Trading without Money

Motivation

When money is off the table and the Gibbard–Satterthwaite theorem (Mission III of this series) blocks general strategyproof choice, restricted preference domains reopen the door. The two great examples both come from allocation: Shapley–Scarf's housing market (1974), where Gale's Top Trading Cycle algorithm finds the unique core allocation and Roth (1982) showed the mechanism is strategy-proof; and the Gale–Shapley marriage market (1962), where deferred acceptance produces a stable matching, the men-optimal one, which Dubins–Freedman (1981) and Roth (1982) showed cannot be manipulated by any man. This machinery runs the US medical residency match and school choice systems worldwide, and the 2012 Nobel memorial prize to Roth and Shapley cites exactly the results of this mission. Chapter 10 (Schummer–Vohra, "Mechanism Design without Money") of Nisan–Roughgarden–Tardos–Vazirani (eds.), Algorithmic Game Theory (Cambridge, 2007) is the source text; its single-peaked §10.2 is left to a possible later mission, since it needs its own preference-domain machinery.

Setting

Marriage market (§10.4): finite sets MMM of men and WWW of women, each agent holding a strict preference ordering over the opposite side (the preference-profile vocabulary of Mission III; P i a bP\,i\,a\,bPiab reads "iii strictly prefers aaa to bbb"). Following the book's dummy-partner convention, ∣M∣=∣W∣|M| = |W|∣M∣=∣W∣ and a matching is a bijection μ:M≃W\mu : M \simeq Wμ:M≃W. A pair (m,w)(m, w)(m,w) blocks μ\muμ if each prefers the other to their assigned partner; μ\muμ is stable if no pair blocks it. A stable μ\muμ is male-optimal if every man weakly prefers it to every stable alternative. A coalition dominates μ\muμ if it can rematch within itself with every member strictly better off; the core is the set of undominated matchings.

Housing market (§10.3): a finite set NNN of agents, agent iii owning house iii, each with a strict preference over all houses; an allocation is a permutation of NNN. A coalition blocks an allocation if it can redistribute the houses its members own so that all are weakly and someone strictly better off.

Formalization targets

Goal (capstone) — Theorem 10.13

Any mechanism selecting the male-optimal stable matching is strategy-proof for the men: no man can misreport his ordering and obtain a wife he truly prefers.

Theorem 10.10 — existence

Every marriage market has a stable matching.

Theorem 10.11 / Gale–Shapley 1962 — male-optimality

Some stable matching is weakly best for every man simultaneously. This man-by-man form is Gale–Shapley's optimal assignment (1962, Theorem 2); the book's Theorem 10.11 phrases male-optimality as the absence of a stable alternative making every man weakly and some man strictly better off, which is equivalent for finite strict markets — the equivalence being a (short) theorem, the attribution follows Gale–Shapley.

Theorem 10.12 — the core

A matching is stable iff it is in the core of the matching game.

Theorems 10.6 and 10.7 — housing

The core of the housing market is a single allocation, and the mechanism selecting it is strategy-proof.

Significance

These are the foundational theorems of market design — the branch of mechanism design with the strongest record of deployed systems — and none of them exists in Lean. The mission also settles a methodological point for the series: algorithm-defined objects (deferred acceptance, top trading cycles) enter through the properties that characterize their outputs — male-optimality, core membership — so the theorems are statements about all mechanisms with the given property, and any construction of the algorithm proves the existence milestones. The matching vocabulary (bijections as matchings, blocking, stability, domination) is reusable for the college-admissions and roommates variants beyond this mission.

Difficulty

Existence (10.10) is the real formalization work: whether by formalizing deferred acceptance and its termination or by another route (e.g. Adachi's fixed-point formulation, which the book sketches as Theorem 10.14 via Tarski), the solver must build the proposal machinery. Male-optimality (10.11) rides on the same construction with the "no man is ever rejected by an achievable wife" invariant. The core equivalence (10.12) is deliberately light — a transposition embeds a blocking pair as a two-agent coalition. Housing uniqueness (10.6) needs the cycle-peeling induction of TTC. The two strategyproofness results are the subtle ones: both known proof routes (Dubins–Freedman's combinatorial argument, or Roth's via the blocking lemma) require careful bookkeeping of which coalitions can improve under a misreport, and the mechanism is pinned only by its defining property, so proofs must use optimality/core facts rather than algorithm internals.

Formalization scope

Preferences are strict total orders as in Mission III (IsPrefProfile), oriented "first argument preferred". Matchings are Equivs; the book's ∣M∣=∣W∣|M| = |W|∣M∣=∣W∣ convention enters the existence statements as the hypothesis Nonempty (M ≃ W) and nothing else about cardinalities is assumed. Domination and house-blocking quantify a rematching Equiv together with the improving coalition, coalitions being sets closed under the rematching — single-agent and pair coalitions are special cases, so no separate pair-blocking clause is needed in the core theorems. Mechanisms in the strategyproofness results are arbitrary functions constrained only by their defining property (male-optimal selection; core selection), quantified before the misreport — nothing may be chosen with hindsight. Both sides keep finiteness only where used: the core equivalence (10.12) holds for arbitrary types and carries no Fintype.

Selected references

  • D. Gale, L. S. Shapley, College admissions and the stability of marriage, Amer. Math. Monthly 69 (1962), 9–15. DOI
  • L. Shapley, H. Scarf, On cores and indivisibility, J. Math. Econ. 1 (1974), 23–37. DOI
  • L. E. Dubins, D. A. Freedman, Machiavelli and the Gale–Shapley algorithm, Amer. Math. Monthly 88 (1981), 485–494. DOI
  • A. E. Roth, The economics of matching: stability and incentives, Math. Oper. Res. 7 (1982), 617–628. DOI
  • A. E. Roth, Incentive compatibility in a market with indivisible goods, Econ. Letters 9 (1982), 127–132. DOI
  • N. Nisan, T. Roughgarden, É. Tardos, V. V. Vazirani (eds.), Algorithmic Game Theory, Cambridge University Press, 2007, Chapter 10. DOI
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Mechanism DesignTheoretical Computer Science·Captain: Shuze Chen

Algorithmic Game Theory IV: VCG and the Limits of TruthfulnessTextbook

Motivation

Mission III of this series ends at an impossibility: without money, incentive compatibility over three or more alternatives means dictatorship. This mission formalizes the classical escape route — quasilinear utilities and payments — and the exact price of it. Vickrey (1961) discovered that a second-price auction makes truth-telling dominant; Clarke (1971) and Groves (1973) generalized the idea to arbitrary social choice: welfare-maximizing rules can always be made truthful by the right payments. The converse program — which choice rules are implementable at all — runs through Rochet (1987) and Myerson (1981) to Saks–Yu (2005): weak monotonicity characterizes implementability on convex domains, and on single-parameter domains the characterization is complete and elementary — monotone rules with critical-value payments. Chapter 9, §§9.3 and 9.5 of Nisan–Roughgarden–Tardos–Vazirani (eds.), Algorithmic Game Theory (Cambridge, 2007), written by Nisan, is the source text.

Setting

A set AAA of alternatives and a finite set ι\iotaι of players. Player iii holds a private valuation vi:A→Rv_i : A \to \mathbb{R}vi​:A→R from a publicly known domain Vi⊆RAV_i \subseteq \mathbb{R}^AVi​⊆RA; utilities are quasilinear: choosing aaa and charging pip_ipi​ gives iii utility vi(a)−piv_i(a) - p_ivi​(a)−pi​. A (direct revelation) mechanism is a social choice function fff from valuation profiles to AAA together with payment functions pip_ipi​ (Definition 9.14). The mechanism is incentive compatible if no unilateral misreport from the domain ever beats the truth (Definition 9.15).

A VCG mechanism (Definition 9.16) has fff maximizing social welfare ∑ivi(a)\sum_i v_i(a)∑i​vi​(a) and payments of the Groves form pi=hi(v−i)−∑j≠ivj(f(v))p_i = h_i(v_{-i}) - \sum_{j\ne i} v_j(f(v))pi​=hi​(v−i​)−∑j=i​vj​(f(v)); the Clarke pivot rule takes hi(v−i)=max⁡b∑j≠ivj(b)h_i(v_{-i}) = \max_b \sum_{j \ne i} v_j(b)hi​(v−i​)=maxb​∑j=i​vj​(b). A rule is weakly monotone (Definition 9.28) if a unilateral change of valuation that moves the outcome from aaa to bbb satisfies vi′(b)−vi′(a)≥vi(b)−vi(a)v_i'(b) - v_i'(a) \ge v_i(b) - v_i(a)vi′​(b)−vi′​(a)≥vi​(b)−vi​(a). A single-parameter domain (Definition 9.33) is given by a win set Wi⊆AW_i \subseteq AWi​⊆A per player and bids t∈[t0,t1]t \in [t_0, t_1]t∈[t0​,t1​]: the valuation is ttt on WiW_iWi​ and 000 elsewhere.

Formalization targets

Goal (capstone) — Theorem 9.36

A normalized mechanism (losers pay 0) on a single-parameter domain is incentive compatible iff the rule is monotone and every winning bid pays the critical value — the threshold below which the bid loses.

Theorem 9.17 — VCG is truthful

Every VCG mechanism is incentive compatible.

Lemma 9.20 — Clarke pivot

With Clarke pivot payments, a welfare-maximizing rule makes no positive transfers, and is individually rational when valuations are nonnegative.

Theorem 9.29 — weak monotonicity

Necessity: incentive compatibility forces WMON, on any domain. Sufficiency: on convex domains, WMON rules admit implementing payments (Saks–Yu).

Significance

These are the working theorems of every later mechanism-design mission: the approximation mechanisms of Chapter 12, the profit-maximization results of Chapter 13, and the sponsored-search analysis of Chapter 28 all argue through Theorem 9.36's monotonicity-plus-critical-value normal form, and VCG is the benchmark they approximate. Formalizing the cluster produces the platform's quasilinear-mechanism vocabulary — domains, truthfulness, Groves payments, weak monotonicity, single-parameter settings — on top of the social-choice layer of Mission III.

The capstone and Theorem 9.17 are textbook results with complete proofs in the source; the Saks–Yu half of Theorem 9.29 is stated but not proved in the book ("quite involved"), so that milestone carries a genuinely hard formalization with a published paper proof. None have prior Lean formalizations.

Difficulty

Theorem 9.17 is a three-line inequality chase once the Groves form is unfolded — a deliberate warm-up. Lemma 9.20 adds the attained maximum over a finite alternative set. The necessity half of 9.29 is a two-application argument; the sufficiency half is the hard point of the mission: the known proofs walk two-cycle inequalities into a path-integral construction of payments on a convex domain, and nothing of the kind exists in Mathlib. For the capstone, the delicate part is the critical value: the book defines it as a supremum that "is undefined" when the player always wins, and the honest formal rendering — a constant payment c that is a least upper bound of the losing bids whenever losing bids exist — makes the case split explicit; the equivalence proof must thread monotonicity, the threshold structure of the winning set, and normalization through both directions.

Formalization scope

Valuations are functions A → ℝ; domains are sets V i : Set (A → ℝ); mechanisms are total functions with every property quantified only over profiles from the domain, so behavior on invalid inputs carries no content. The Groves term hᵢ is a function of the full profile constrained to be invariant under changes of coordinate i — the standard rendering of "depends only on v−iv_{-i}v−i​". The Clarke payment uses a Finset.sup' over a finite nonempty A, so no junk supremum arises. In the single-parameter setting the valuation induced by a bid is Set.indicator, bids live in Set.Icc t0 t1 with t0 ≤ t1, and the critical value is characterized by IsLUB guarded by nonemptiness of the losing set — the book's "undefined" caveat made precise without a junk sSup. Weak monotonicity's sufficiency half carries Convex ℝ (V i) and finite A (the Saks–Yu setting); the necessity half deliberately carries no hypotheses beyond incentive compatibility itself.

Selected references

  • W. Vickrey, Counterspeculation, auctions, and competitive sealed tenders, J. Finance 16 (1961), 8–37. DOI
  • E. H. Clarke, Multipart pricing of public goods, Public Choice 11 (1971), 17–33. DOI
  • T. Groves, Incentives in teams, Econometrica 41 (1973), 617–631. DOI
  • M. Saks, L. Yu, Weak monotonicity suffices for truthfulness on convex domains, Proc. 6th ACM EC (2005), 286–293. DOI
  • N. Nisan, T. Roughgarden, É. Tardos, V. V. Vazirani (eds.), Algorithmic Game Theory, Cambridge University Press, 2007, Chapter 9, §§9.3, 9.5. DOI
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AlgebraGroup TheoryNumber Theory·Captain: Lucas

The Inverse Galois ProblemOpen Problem

Motivation

Galois theory attaches to every finite Galois extension L/KL/KL/K a finite group Gal(L/K)\mathrm{Gal}(L/K)Gal(L/K), the group of field automorphisms of LLL fixing KKK pointwise, and the fundamental theorem of Galois theory turns the subfield structure of L/KL/KL/K into the subgroup structure of that group. The inverse Galois problem asks whether this correspondence is surjective over the rationals: given an arbitrary finite group GGG, is there a Galois extension L/QL/\mathbb{Q}L/Q with Gal(L/Q)≅G\mathrm{Gal}(L/\mathbb{Q}) \cong GGal(L/Q)≅G? The question was posed in the early nineteenth century and is unsolved.

What makes it a live research question rather than a curiosity is that the known positive results come from genuinely different sources, and none of them covers all finite groups.

  • Cyclic and, more generally, finite abelian groups are realizable over Q\mathbb{Q}Q by an explicit cyclotomic construction resting on Dirichlet's theorem on primes in arithmetic progressions.
  • Symmetric and alternating groups are realizable over Q\mathbb{Q}Q; this is due to Hilbert, who realized them first over the rational function field Q(t)\mathbb{Q}(t)Q(t) and then specialized ttt using his irreducibility theorem.
  • Every finite solvable group is realizable over Q\mathbb{Q}Q; this is Shafarevich's theorem (I. R. Shafarevich, The imbedding problem for splitting extensions, Dokl. Akad. Nauk SSSR 120 (1958), 1217–1219), obtained by solving embedding problems.
  • Over C(t)\mathbb{C}(t)C(t) — and over K(t)K(t)K(t) for any algebraically closed KKK of characteristic zero — every finite group is realizable, by the Riemann existence theorem. The obstruction to the goal is not the group theory; it is descending the field of constants to Q\mathbb{Q}Q.
  • Case-by-case work covers large finite lists: all transitive permutation groups of degree at most 232323, and every sporadic simple group, are known to be realizable over Q\mathbb{Q}Q.

Setting

Fix a field KKK and a group GGG. A Galois realization of GGG over KKK is a field LLL equipped with a KKK-algebra structure such that the extension L/KL/KL/K is Galois — normal and separable — together with a group isomorphism

G  ≅  Gal(L/K),G \;\cong\; \mathrm{Gal}(L/K),G≅Gal(L/K),

where Gal(L/K)\mathrm{Gal}(L/K)Gal(L/K) denotes the group of KKK-algebra automorphisms of LLL under composition. The group GGG is realizable over KKK, written IsRealizable K G, when at least one Galois realization of GGG over KKK exists. No finiteness of L/KL/KL/K is imposed in the definition; it is automatic once GGG is finite, because an infinite Galois extension has infinite automorphism group.

Two base fields beyond Q\mathbb{Q}Q appear throughout. K(t)K(t)K(t) denotes the field of rational functions in one variable over KKK, written RatFunc K; and for the statement that a group is realizable over some number field, the base field ranges over the intermediate fields of C/Q\mathbb{C}/\mathbb{Q}C/Q.

Formalization targets

Goal — the inverse Galois problem

for every finite group G,∃ L/Q Galois with Gal(L/Q)≅G.\text{for every finite group } G, \qquad \exists\, L/\mathbb{Q} \text{ Galois with } \mathrm{Gal}(L/\mathbb{Q}) \cong G.for every finite group G,∃L/Q Galois with Gal(L/Q)≅G.

The goal fixes no degree, no polynomial and no construction: it asserts only the shape of the truth, so no later refinement of the known constructions can invalidate it.

Milestones — the known partial results

G cyclic  ⟹  G realizable over Q,G abelian  ⟹  G realizable over Q,G \text{ cyclic} \;\Longrightarrow\; G \text{ realizable over } \mathbb{Q}, \qquad G \text{ abelian} \;\Longrightarrow\; G \text{ realizable over } \mathbb{Q},G cyclic⟹G realizable over Q,G abelian⟹G realizable over Q, Sym(S),  An realizable over Q,G solvable  ⟹  G realizable over Q,\mathrm{Sym}(S),\; A_n \text{ realizable over } \mathbb{Q}, \qquad G \text{ solvable} \;\Longrightarrow\; G \text{ realizable over } \mathbb{Q},Sym(S),An​ realizable over Q,G solvable⟹G realizable over Q, ∃ K, Q⊆K⊆C, G realizable over K,\exists\, K,\ \mathbb{Q} \subseteq K \subseteq \mathbb{C},\ G \text{ realizable over } K,∃K, Q⊆K⊆C, G realizable over K, G realizable over C(t),G realizable over K(t) (K algebraically closed, char 0),G \text{ realizable over } \mathbb{C}(t), \qquad G \text{ realizable over } K(t) \ (K \text{ algebraically closed, char } 0),G realizable over C(t),G realizable over K(t) (K algebraically closed, char 0), G realizable over Q(t)  ⟹  G realizable over Q.G \text{ realizable over } \mathbb{Q}(t) \;\Longrightarrow\; G \text{ realizable over } \mathbb{Q}.G realizable over Q(t)⟹G realizable over Q.

The last milestone is the Hilbert-irreducibility descent step; together with the geometric milestones it makes precise which half of the classical programme is missing.

Significance

The result itself would settle a two-century-old question and, with it, the surjectivity of the Galois correspondence over Q\mathbb{Q}Q: every abstract finite group would be known to arise from an explicit arithmetic object, a polynomial with rational coefficients. Its absence is felt in practice — constructing a single new Galois group over Q\mathbb{Q}Q is publishable work, as the recent additions of the degree-171717 group 17T717T717T7 (van Bommel–Costa–Elkies–Keller–Schiavone–Voight, 2024) and of the Mathieu group M23M_{23}M23​ show.

Formalizing it produces something available today independently of the goal: a machine-checked library of the known realizability results. Mathlib has the fundamental theorem of Galois theory, cyclotomic extensions, the Kronecker–Weber theorem, solvability of groups and symmetric/alternating group theory, but it does not have a predicate for "GGG is a Galois group over KKK", nor any of the milestones above. Every milestone here is a proved theorem of classical number theory and an unformalized one; the cyclic and abelian cases are within reach of current Mathlib, while the Shafarevich and Riemann-existence milestones are substantial formalization projects in their own right.

Difficulty

The obvious strategy fails at a well-understood point. Over C(t)\mathbb{C}(t)C(t) the problem is solved: by the Riemann existence theorem every finite group occurs as the deck-transformation group of a branched cover of the projective line. Hilbert's irreducibility theorem then descends realizability from Q(t)\mathbb{Q}(t)Q(t) to Q\mathbb{Q}Q. What is missing is the step in between: producing the cover over Q\mathbb{Q}Q rather than over C\mathbb{C}C, i.e. showing that the geometric solution can be chosen with rational field of constants. The rigidity method makes this work for many groups, but there is no known argument covering all of them; an approach that only produces realizability over some number field is not enough, and that weaker statement is included as a milestone precisely to mark the line.

A second, purely formal difficulty: the milestones are classical but their published proofs are long. Shafarevich's theorem rests on a delicate analysis of embedding problems, and the Riemann existence theorem is analytic input that Mathlib does not currently have in the required form.

Formalization scope

The mission fixes one definition file, published first, carrying the structure GaloisRealization and the one-field class IsRealizable. Conventions it commits to:

  • IsGalois K L is Mathlib's Galois condition (normal and separable); finiteness of the extension is not assumed.
  • The isomorphism is with the full automorphism group L≃alg[K]LL \simeq_{\mathrm{alg}[K]} LL≃alg[K]​L, not with a quotient or a subgroup of it.
  • The carrier LLL of a realization is required to live in the same universe as KKK. This costs no generality for the statements of the mission — for finite GGG a realization is a finite extension of KKK — and keeps every statement universe-monomorphic.
  • Sym(S)\mathrm{Sym}(S)Sym(S) is Equiv.Perm S for a finite type SSS, and AnA_nAn​ is alternatingGroup (Fin n); degenerate small cases are included rather than excluded.
  • Solvability is Group.IsSolvable.

The statements cannot be satisfied vacuously: IsRealizable K G asserts the existence of data, so a solver must exhibit an extension; and the hypotheses of the milestones (cyclic, abelian, solvable, or none at all) are all satisfiable, so no milestone is empty. The one conditional milestone, Hilbert descent, is stated with realizability over Q(t)\mathbb{Q}(t)Q(t) as an explicit hypothesis.

Infrastructure a complete development needs, most of it reusable well beyond this mission: transport of a Galois realization along an isomorphism of groups and along an isomorphism of base fields; the fixed-field construction and the fundamental theorem in the form "Gal(L/LH)≅H\mathrm{Gal}(L/L^H) \cong HGal(L/LH)≅H"; Galois groups of cyclotomic fields; Dirichlet's theorem on primes in arithmetic progressions (already in Mathlib); Hilbert's irreducibility theorem (not in Mathlib). Contributions of any of these as reusable platform definitions or lemmas are welcome, as are decompositions of the harder milestones into sketches.

Selected references

  • Inverse Galois problem, Wikipedia. https://en.wikipedia.org/wiki/Inverse_Galois_problem
  • I. R. Shafarevich, The imbedding problem for splitting extensions, Dokl. Akad. Nauk SSSR 120 (1958), 1217–1219.
  • C. U. Jensen, A. Ledet, N. Yui, Generic Polynomials: Constructive Aspects of the Inverse Galois Problem, MSRI Publications 45, Cambridge University Press, 2002. http://library.msri.org/books/Book45/files/book45.pdf
  • G. Malle, B. H. Matzat, Inverse Galois Theory, Springer Monographs in Mathematics, 1999.
  • R. van Bommel, E. Costa, N. D. Elkies, T. Keller, S. Schiavone, J. Voight, 17T7 is a Galois group over the rationals, arXiv:2411.07857, 2024. https://arxiv.org/abs/2411.07857
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🏆Completed
Analysis·Captain: Lucas

Rudin PMA VI: The Riemann-Stieltjes IntegralTextbook

Motivation

Chapter 6 of Walter Rudin's Principles of Mathematical Analysis (3rd edition, McGraw-Hill, 1976) constructs the Riemann–Stieltjes integral ∫abf dα\int_a^b f\,d\alpha∫ab​fdα: the Riemann integral with the increments Δxi\Delta x_iΔxi​ of the variable replaced by the increments Δαi=α(xi)−α(xi−1)\Delta \alpha_i = \alpha(x_i) - \alpha(x_{i-1})Δαi​=α(xi​)−α(xi−1​) of a monotonically increasing integrator α\alphaα. Taking α(x)=x\alpha(x) = xα(x)=x recovers the ordinary Riemann integral; taking α\alphaα a step function turns integrals into sums, so series and integrals become special cases of one construction. This is the reason Rudin develops the theory in this generality: it unifies Chapter 3's series with the integral, and it is the natural setting for the Fourier coefficients of Chapter 8.

The chapter's capstone is the fundamental theorem of calculus (Theorem 6.21): an integrable function which is the derivative of some FFF integrates to F(b)−F(a)F(b) - F(a)F(b)−F(a).

This mission is the sixth in a series formalizing Rudin Chapters 1–11; it uses the uniform continuity of Mission IV and the mean value theorem of Mission V.

Setting

A partition PPP of [a,b][a,b][a,b] is a finite set of points a=x0≤x1≤⋯≤xn=ba = x_0 \le x_1 \le \dots \le x_n = ba=x0​≤x1​≤⋯≤xn​=b, with increments Δαi=α(xi)−α(xi−1)\Delta \alpha_i = \alpha(x_i) - \alpha(x_{i-1})Δαi​=α(xi​)−α(xi−1​) for a monotonically increasing α\alphaα. For a bounded real fff put Mi=sup⁡[xi−1,xi]fM_i = \sup_{[x_{i-1},x_i]} fMi​=sup[xi−1​,xi​]​f, mi=inf⁡[xi−1,xi]fm_i = \inf_{[x_{i-1},x_i]} fmi​=inf[xi−1​,xi​]​f, and

U(P,f,α)=∑i=1nMi Δαi,L(P,f,α)=∑i=1nmi Δαi.U(P,f,\alpha) = \sum_{i=1}^n M_i\,\Delta\alpha_i, \qquad L(P,f,\alpha) = \sum_{i=1}^n m_i\,\Delta\alpha_i .U(P,f,α)=i=1∑n​Mi​Δαi​,L(P,f,α)=i=1∑n​mi​Δαi​.

The upper and lower integrals are inf⁡PU(P,f,α)\inf_P U(P,f,\alpha)infP​U(P,f,α) and sup⁡PL(P,f,α)\sup_P L(P,f,\alpha)supP​L(P,f,α); fff is integrable with respect to α\alphaα, written f∈R(α)f \in \mathcal{R}(\alpha)f∈R(α), when they agree, and the common value is ∫abf dα\int_a^b f\,d\alpha∫ab​fdα. P′P'P′ refines PPP when every division point of PPP is one of P′P'P′. Writing R\mathcal{R}R for R(α)\mathcal{R}(\alpha)R(α) with α(x)=x\alpha(x) = xα(x)=x gives the Riemann integral ∫abf dx\int_a^b f\,dx∫ab​fdx.

Formalization targets

Goal — the fundamental theorem of calculus (Theorem 6.21)

f∈R on [a,b],F′=f on [a,b]  ⟹  ∫abf(x) dx=F(b)−F(a).f \in \mathcal{R} \text{ on } [a,b], \quad F' = f \text{ on } [a,b] \;\Longrightarrow\; \int_a^b f(x)\,dx = F(b) - F(a).f∈R on [a,b],F′=f on [a,b]⟹∫ab​f(x)dx=F(b)−F(a).

Milestones

P′ refines P⇒L(P,f,α)≤L(P′,f,α), U(P′,f,α)≤U(P,f,α)(6.4)P' \text{ refines } P \Rightarrow L(P,f,\alpha) \le L(P',f,\alpha),\ U(P',f,\alpha) \le U(P,f,\alpha) \qquad (6.4)P′ refines P⇒L(P,f,α)≤L(P′,f,α), U(P′,f,α)≤U(P,f,α)(6.4) ∫‾f dα≤∫‾f dα(6.5)\underline{\int} f\,d\alpha \le \overline{\int} f\,d\alpha \qquad (6.5)∫​fdα≤∫​fdα(6.5) f∈R(α)  ⟺  ∀ε>0 ∃P, U(P,f,α)−L(P,f,α)<ε(6.6)f \in \mathcal{R}(\alpha) \iff \forall \varepsilon>0\ \exists P,\ U(P,f,\alpha) - L(P,f,\alpha) < \varepsilon \qquad (6.6)f∈R(α)⟺∀ε>0 ∃P, U(P,f,α)−L(P,f,α)<ε(6.6) f continuous⇒f∈R(α)(6.8)f \text{ continuous} \Rightarrow f \in \mathcal{R}(\alpha) \qquad (6.8)f continuous⇒f∈R(α)(6.8) f monotone, α continuous⇒f∈R(α)(6.9)f \text{ monotone},\ \alpha \text{ continuous} \Rightarrow f \in \mathcal{R}(\alpha) \qquad (6.9)f monotone, α continuous⇒f∈R(α)(6.9) linearity of the integral(6.12a)\text{linearity of the integral} \qquad (6.12\mathrm{a})linearity of the integral(6.12a) monotonicity, additivity in the interval, and ∣ ⁣∫f dα∣≤M(α(b)−α(a))(6.12b,c,d)\text{monotonicity, additivity in the interval, and } \big|\!\int f\,d\alpha\big| \le M(\alpha(b)-\alpha(a)) \qquad (6.12\mathrm{b,c,d})monotonicity, additivity in the interval, and ​∫fdα​≤M(α(b)−α(a))(6.12b,c,d) α′∈R⇒(f∈R(α)  ⟺  fα′∈R), ∫f dα=∫fα′ dx(6.17)\alpha' \in \mathcal{R} \Rightarrow \big(f \in \mathcal{R}(\alpha) \iff f\alpha' \in \mathcal{R}\big),\ \int f\,d\alpha = \int f\alpha'\,dx \qquad (6.17)α′∈R⇒(f∈R(α)⟺fα′∈R), ∫fdα=∫fα′dx(6.17) change of variable through a strictly increasing φ(6.19)\text{change of variable through a strictly increasing } \varphi \qquad (6.19)change of variable through a strictly increasing φ(6.19) F(x)=∫axf dt is continuous, and F′(x0)=f(x0) where f is continuous(6.20)F(x) = \int_a^x f\,dt \text{ is continuous, and } F'(x_0) = f(x_0) \text{ where } f \text{ is continuous} \qquad (6.20)F(x)=∫ax​fdt is continuous, and F′(x0​)=f(x0​) where f is continuous(6.20) integration by parts(6.22)\text{integration by parts} \qquad (6.22)integration by parts(6.22)

Significance

The fundamental theorem is what makes the integral computable: it reduces integration to antidifferentiation and so links Chapters 5 and 6. Theorem 6.20 is its companion — it says the integral of a continuous function is an antiderivative — and together they show the two operations are mutually inverse to the extent that the hypotheses allow. Theorem 6.17 explains when a Stieltjes integral collapses to a Riemann integral with the density α′\alpha'α′, and it is the computational tool for integrators that are differentiable; the step-function case at the other extreme (Rudin's 6.15–6.16) is what turns sums into integrals.

Mathlib has no Riemann–Stieltjes integral: it has the Bochner integral, the interval integral, and a Lebesgue–Stieltjes measure, but the upper-and-lower-sum construction of Chapter 6 is absent. This mission therefore builds the object from Rudin's definitions and develops its basic theory; that development is reusable beyond this mission — Chapter 7's interchange theorem (7.16) and Chapter 8's Fourier coefficients are stated with respect to it.

Difficulty

Two obstacles are specific to formalizing this chapter. First, the upper and lower integrals are an infimum and a supremum over the set of all partitions, which is not a lattice-friendly index; every comparison between partitions goes through the common refinement, and Theorem 6.4 is the workhorse that makes such comparisons possible. Second, the fundamental theorem is proved by choosing a partition on which U−L<εU - L < \varepsilonU−L<ε and applying the mean value theorem on each subinterval, so the proof requires selecting an intermediate point per subinterval — a finite choice that is easy on paper and must be organized explicitly in Lean.

The integrator α\alphaα is only assumed monotone, so it may be discontinuous, and the theory must not assume otherwise: Theorem 6.9 needs continuity of α\alphaα precisely because it is not available in general.

Formalization scope

Conventions fixed by this mission:

  • A partition of [a, b] is Rudin.Partition a b: the number n of subintervals together with a monotone placement function x with x 0 = a and x n = b. Rudin allows xi−1=xix_{i-1} = x_ixi−1​=xi​, and so does this structure.
  • Rudin.upperSum, Rudin.lowerSum, Rudin.upperIntegral, Rudin.lowerIntegral, Rudin.RSIntegrable, Rudin.RSIntegral follow Definitions 6.1–6.2 literally, with sSup and sInf over the images f([xi−1,xi])f([x_{i-1},x_i])f([xi−1​,xi​]).
  • Since sSup/sInf on ℝ return 0 on unbounded sets, every statement carries Rudin's boundedness hypothesis for fff explicitly; likewise monotonicity of α\alphaα is assumed as MonotoneOn α (Set.Icc a b) rather than built into a type.
  • Rudin.RiemannIntegrable and Rudin.RiemannIntegral are the case α=id\alpha = \mathrm{id}α=id, in which the goal theorem and Theorems 6.20–6.22 are stated, matching Rudin.
  • Derivatives are HasDerivAt, so F' = f is stated pointwise on [a, b] with the value f x supplied, as in Rudin's hypothesis.

The goal is not vacuous, and not a restatement of a library lemma: the integral in it is the one defined in this mission, so a solution must connect the upper/lower sum construction to differentiation rather than quoting Mathlib's interval integral.

Selected references

  • Walter Rudin, Principles of Mathematical Analysis, 3rd edition, McGraw-Hill, 1976, Chapter 6 (pp. 120–142).
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CombinatoricsNumber Theory·Captain: Zexuan Liu

Erdős Problem 142: Asymptotics for Sets Free of k-Term Arithmetic ProgressionsOpen Problem

Motivation

Erdős asked, repeatedly and with a rising price tag, for an asymptotic formula for the largest subset of {1,…,N}\{1,\dots,N\}{1,…,N} that contains no arithmetic progression of a given length. He offered 1000 dollars for it in [Er97c] and 10000 dollars in [Er81, p.4], where he called the question "probably enormously difficult"; elsewhere he described it as "probably unattackable at present". Most of modern additive combinatorics — the density increment method, the triangle removal lemma, Gowers uniformity norms, the arithmetic regularity lemma — grew out of attempts on this single question, and the answer is still unknown, even in the first non-trivial case k=3k=3k=3.

Timeline.

  • 1936: Erdős and Turán conjecture that rk(N)=o(N)r_k(N)=o(N)rk​(N)=o(N) for every kkk.
  • 1946: Behrend constructs large progression-free sets, giving r3(N)≥Nexp⁡(−clog⁡N)r_3(N)\ge N\exp(-c\sqrt{\log N})r3​(N)≥Nexp(−clogN​).
  • 1953: Roth proves r3(N)=o(N)r_3(N)=o(N)r3​(N)=o(N), with the quantitative form r3(N)≪N/log⁡log⁡Nr_3(N)\ll N/\log\log Nr3​(N)≪N/loglogN.
  • 1961: Rankin generalises Behrend, giving rk(N)≥Nexp⁡(−ck(log⁡N)1/(k−1))r_k(N)\ge N\exp(-c_k(\log N)^{1/(k-1)})rk​(N)≥Nexp(−ck​(logN)1/(k−1)).
  • 1969, 1975: Szemerédi proves r4(N)=o(N)r_4(N)=o(N)r4​(N)=o(N) and then rk(N)=o(N)r_k(N)=o(N)rk​(N)=o(N) for all kkk, settling Erdős–Turán.
  • 1977: Furstenberg reproves Szemerédi's theorem ergodically, with no effective bound.
  • 1998, 2001: Gowers introduces uniformity norms and obtains rk(N)≪N(log⁡log⁡N)−ckr_k(N)\ll N(\log\log N)^{-c_k}rk​(N)≪N(loglogN)−ck​, the first effective bound for general kkk.
  • 2017: Green and Tao obtain r4(N)≪N(log⁡N)−cr_4(N)\ll N(\log N)^{-c}r4​(N)≪N(logN)−c.
  • 2020: Bloom and Sisask obtain r3(N)≪N(log⁡N)−1−cr_3(N)\ll N(\log N)^{-1-c}r3​(N)≪N(logN)−1−c, the first bound past the N/log⁡NN/\log NN/logN barrier.
  • 2023: Kelley and Meka obtain r3(N)≤Nexp⁡(−c(log⁡N)1/12)r_3(N)\le N\exp(-c(\log N)^{1/12})r3​(N)≤Nexp(−c(logN)1/12).
  • 2024: Leng, Sah and Sawhney obtain rk(N)≪Nexp⁡(−(log⁡log⁡N)ck)r_k(N)\ll N\exp(-(\log\log N)^{c_k})rk​(N)≪Nexp(−(loglogN)ck​) for k≥5k\ge5k≥5.

Every upper bound in this list is still astronomically far from Behrend's lower bound, and no candidate asymptotic formula has been proposed for any k≥3k\ge3k≥3.

Setting

Fix an integer kkk. A non-trivial kkk-term arithmetic progression is a list a, a+d, a+2d,…,a+(k−1)da,\,a+d,\,a+2d,\dots,a+(k-1)da,a+d,a+2d,…,a+(k−1)d of natural numbers with common difference d>0d>0d>0; the requirement d>0d>0d>0 is what "non-trivial" means, and it forces the kkk terms to be distinct. A finite set A⊆NA\subseteq\mathbb NA⊆N is kkk-AP-free if it contains no such progression. Write

rk(N)  =  max⁡{ ∣A∣  :  A⊆{1,…,N}, A is k-AP-free }.r_k(N)\;=\;\max\bigl\{\,|A| \;:\; A\subseteq\{1,\dots,N\},\ A\ \text{is}\ k\text{-AP-free}\,\bigr\}.rk​(N)=max{∣A∣:A⊆{1,…,N}, A is k-AP-free}.

The mission takes its formal definition of rkr_krk​ verbatim from the formal-conjectures entry for this problem, so that the goal below is literally the statement recorded there. In that development a set is called free of progressions of length lll when every subset of it that is an arithmetic progression of length lll forces l≤1l\le1l≤1. Progressions of length 000 and 111 count as trivial, so under that convention every set is free of them and r0(N)=r1(N)=Nr_0(N)=r_1(N)=Nr0​(N)=r1​(N)=N; the interesting range begins at k≥2k\ge2k≥2. Every statement in this mission that depends on the convention carries an explicit hypothesis on kkk.

On that range, rk(N)r_k(N)rk​(N) is non-decreasing in both NNN and kkk, satisfies rk(M+N)≤rk(M)+rk(N)r_k(M+N)\le r_k(M)+r_k(N)rk​(M+N)≤rk​(M)+rk​(N), and hence, by Fekete's subadditivity lemma, rk(N)/Nr_k(N)/Nrk​(N)/N converges. Szemerédi's theorem is the statement that the limit is 000; the whole difficulty of this mission lies in how fast it goes to 000.

Formalization targets

Goal

rk(N)  =  ok ⁣(Nlog⁡N)for every k>1.r_k(N)\;=\;o_k\!\left(\frac{N}{\log N}\right)\qquad\text{for every }k>1 .rk​(N)=ok​(logNN​)for every k>1.

This is erdos_142.variants.lower of the formal-conjectures file for Erdős 142, reproduced binder for binder, over that file's own definition of rkr_krk​.

The headline theorem in that file, erdos_142, states rk(N)=Θ(f)r_k(N)=\Theta(f)rk​(N)=Θ(f) with the comparison function left as an answer(sorry) placeholder, and the same is true of its variants.upper and variants.three. Those are not closed propositions and cannot serve as a mission goal: the literal request of Erdős Problem #142 — "prove an asymptotic formula for rk(N)r_k(N)rk​(N)" — has no known right-hand side for any k≥3k\ge3k≥3, which is exactly why the file leaves a hole there. variants.lower is the one formalizable target in the file, and it is also the strongest precisely-stated form the problem page attaches to #142: Erdős offered 5000 dollars for (essentially) exactly it, as recorded under Erdős Problem #3. It is known for k=3k=3k=3 — it follows from Bloom–Sisask 2020, and a fortiori from Kelley–Meka 2023 — trivial for k=2k=2k=2, where r2(N)=1r_2(N)=1r2​(N)=1, and open for every k≥4k\ge4k≥4. It fixes no constants, so no future improvement can invalidate it.

A weaker open question

rk(n)rk+1(n)⟶0for some k≥3.\frac{r_k(n)}{r_{k+1}(n)}\longrightarrow 0\qquad\text{for some }k\ge3 .rk+1​(n)rk​(n)​⟶0for some k≥3.

Erdős remarked in [Er80, p.92] that even this separation between consecutive progression lengths is not known. Here [Er80] is the erdosproblems.com bibliography key for Erdős's 1980 paper; it is a citation, not a pointer to Erdős Problem #80, which is an unrelated question about books in graphs. This statement has no counterpart in formal-conjectures: the file for #142 contains only the Θ\ThetaΘ, ooo and OOO variants above, and the only two files in that repository that mention rkr_krk​ at all are the ones for #142 and #139.

Significance

Proving rk(N)=ok(N/log⁡N)r_k(N)=o_k(N/\log N)rk​(N)=ok​(N/logN) for all kkk yields, by a standard summation argument, Erdős's conjecture that every A⊆NA\subseteq\mathbb NA⊆N with ∑a∈A1/a=∞\sum_{a\in A}1/a=\infty∑a∈A​1/a=∞ contains arbitrarily long arithmetic progressions — the 5000-dollar Erdős Problem #3, of which the Green–Tao theorem on primes is the best-known special case. Below that threshold, quantitative bounds on rkr_krk​ control the density at which progressions must appear in any concrete set, and are the input to results on progressions in the primes, in sumsets, and in sparse random subsets of the integers.

Formalization status is uneven, and this mission is designed around that gap. Mathlib already contains the k=3k=3k=3 theory in a usable form: the predicate ThreeAPFree, the Roth number rothNumberNat, its subadditivity, and a complete formalization of Behrend's construction (Behrend.roth_lower_bound). Mathlib does not contain Roth's theorem, Szemerédi's theorem, or any of the modern upper bounds; to the best of current knowledge none of Roth, Szemerédi, Gowers, Green–Tao, Kelley–Meka or Leng–Sah–Sawhney has a machine-checked proof anywhere. The formal-conjectures entry states the problem but proves nothing: every declaration in it is a sorry. Two of this mission's targets are taken from that repository — the goal from its file for #142, and the Szemerédi milestone from its file for #139, which uses the same rkr_krk​; those are the only two files there that mention rkr_krk​. The milestones therefore split cleanly: the first six are reachable now on top of Mathlib, and the last five are open formalization projects of independent value.

Difficulty

Every known upper bound for rkr_krk​ runs a density increment: if A⊆{1,…,N}A\subseteq\{1,\dots,N\}A⊆{1,…,N} of density δ\deltaδ has no kkk-term progression, find a long subprogression on which AAA has density δ(1+c(δ))\delta(1+c(\delta))δ(1+c(δ)), and iterate. The bound this produces is governed entirely by two quantities — how large the increment c(δ)c(\delta)c(δ) is, and how much of the interval survives one step. For k≥4k\ge4k≥4 the increment is extracted from an inverse theorem for the Gowers Uk−1U^{k-1}Uk−1-norm, and the best available correlation bounds there are quasipolynomial in δ\deltaδ; iterating a quasipolynomial increment cannot do better than Nexp⁡(−(log⁡log⁡N)c)N\exp(-(\log\log N)^{c})Nexp(−(loglogN)c), which is nowhere near N/log⁡NN/\log NN/logN. Reaching N/log⁡NN/\log NN/logN requires an increment with polynomial dependence on δ\deltaδ together with a subprogression of polynomial length, and that combination is currently available only for k=3k=3k=3, through the sifting and almost-periodicity machinery of Kelley–Meka. No soft or averaging argument can substitute: Behrend's construction shows the truth at k=3k=3k=3 is Nexp⁡(−Θ(log⁡N))N\exp(-\Theta(\sqrt{\log N}))Nexp(−Θ(logN​)), so the answer is not a power of log⁡N\log NlogN and cannot be produced by any argument whose output has that shape.

Formalization scope

The mission's definition file Erdos142Basic carries two layers, and every statement in the mission is written against them.

  1. The source definitions, ported verbatim. IsAPOfLengthWith, IsAPOfLength, IsAPOfLengthFree and r are the declarations of the formal-conjectures entry, transcribed unchanged into the mission's namespace: a set is an arithmetic progression of length lll with first term aaa and difference ddd when it has exactly lll elements and equals {a+nd:n<l}\{a+nd : n<l\}{a+nd:n<l}; it is free of length-lll progressions when every progression of length lll inside it forces l≤1l\le1l≤1; and rk(N)r_k(N)rk​(N) is the supremum of ∣S∣|S|∣S∣ over subsets S⊆{1,…,N}S\subseteq\{1,\dots,N\}S⊆{1,…,N} free of length-kkk progressions. The ground set is Finset.Icc 1 N, and the supremum is sSup over N\mathbb NN; the file proves the two facts that make it a genuine maximum (le_r and r_le).

  2. An elementary handle. HasAP k A is ∃ a d, 0 < d ∧ ∀ i < k, a + i * d ∈ A, and APFree k A its negation. This form carries no cardinality side condition in N∪{∞}\mathbb N\cup\{\infty\}N∪{∞} and is what a solver actually wants to induct on. The first milestone is exactly the bridge between the two layers.

Two consequences of the source convention are worth stating plainly, because the prose is silent about them. Length-000 and length-111 progressions are trivial, so every set is free of them and r0(N)=r1(N)=Nr_0(N)=r_1(N)=Nr0​(N)=r1​(N)=N; monotonicity of rkr_krk​ in kkk therefore holds only from k≥2k\ge2k≥2 onward, and the corresponding milestone carries that hypothesis. Asymptotic statements use Asymptotics.IsLittleO and Filter.atTop over N\mathbb NN with real-valued casts, and real division is Lean's, so (N : ℝ) / Real.log N is 000 at N=1N=1N=1; this is invisible to atTop.

A trivializing formalization is ruled out by construction: one milestone asserts r3(N)=r_3(N)=r3​(N)= rothNumberNat N, pinning this development against Mathlib's independently written definition of the Roth number, so a vacuous or mis-quantified notion of progression-freeness cannot survive. That milestone, the bridge milestone above it, and the monotonicity milestone have all been checked to be provable before this proposal was drafted.

A full development needs: discrete Fourier analysis on Z/NZ\mathbb Z/N\mathbb ZZ/NZ, Bohr sets and their regularity, the arithmetic regularity lemma, Gowers uniformity norms and the inverse theorem for them, and — for the lower bounds — sphere-counting in high-dimensional boxes (already in Mathlib via Behrend). All of this is reusable well beyond this mission. Contributions of any kind are welcome, including partial results: quantitative bounds weaker than the cited ones, the k=3k=3k=3 case of a general-kkk milestone, and reusable Fourier-analytic infrastructure are all valuable even when they do not close a milestone.

Selected references

  • Erdős Problem #142. https://www.erdosproblems.com/142
  • Erdős Problem #3. https://www.erdosproblems.com/3
  • Erdős Problem #139 (Szemerédi's theorem in the rkr_krk​ formulation), linked from #142. https://www.erdosproblems.com/139
  • Google DeepMind, formal-conjectures, FormalConjectures/ErdosProblems/142.lean — the source of the goal statement and of the definition of rkr_krk​. https://github.com/google-deepmind/formal-conjectures/blob/main/FormalConjectures/ErdosProblems/142.lean
  • F. A. Behrend, On sets of integers which contain no three terms in arithmetical progression, Proc. Nat. Acad. Sci. USA 32 (1946), 331–332. https://doi.org/10.1073/pnas.32.12.331
  • K. F. Roth, On certain sets of integers, J. London Math. Soc. 28 (1953), 104–109. https://doi.org/10.1112/jlms/s1-28.1.104
  • R. A. Rankin, Sets of integers containing not more than a given number of terms in arithmetical progression, Proc. Roy. Soc. Edinburgh Sect. A 65 (1961), 332–344.
  • E. Szemerédi, On sets of integers containing no kkk elements in arithmetic progression, Acta Arith. 27 (1975), 199–245. https://doi.org/10.4064/aa-27-1-199-245
  • W. T. Gowers, A new proof of Szemerédi's theorem, Geom. Funct. Anal. 11 (2001), 465–588. https://doi.org/10.1007/s00039-001-0332-9
  • B. Green and T. Tao, New bounds for Szemerédi's theorem, III: A polylogarithmic bound for r4(N)r_4(N)r4​(N), Mathematika 63 (2017), 944–1040. https://arxiv.org/abs/1705.01703
  • T. F. Bloom and O. Sisask, Breaking the logarithmic barrier in Roth's theorem on arithmetic progressions, arXiv:2007.03528. https://arxiv.org/abs/2007.03528
  • Z. Kelley and R. Meka, Strong bounds for 3-progressions, arXiv:2302.05537. https://arxiv.org/abs/2302.05537
  • J. Leng, A. Sah and M. Sawhney, Improved bounds for Szemerédi's theorem, arXiv:2402.17995. https://arxiv.org/abs/2402.17995
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Algebra·Captain: mysticflounder

Equational Magmas: E677 → E255 (finite case)Open Problem

Motivation

An equation for a magma constrains a binary operation without assuming that it is associative, commutative, or has an identity. Determining which equations force other equations separates the consequences of a single law from familiar properties that require additional assumptions. Restricting the underlying set to be finite can change the answer: a structural argument may depend on the fact that a surjective self-map of a finite set is injective.

The Equational Theories Project studies these implications systematically. Its December 2025 paper reports the finite implication from E677 to E255 as unresolved, while reporting a counterexample to the implication when infinite magmas are allowed. The paper also tentatively conjectures that a finite counterexample exists. This mission makes the affirmative implication its formal target and also accepts a rigorous refutation of the complete finite statement.

This mission treats the universal target as open. Supporting structural facts and conditional reductions are separately identified, so that progress on one does not assert completion of the target.

Setting

A magma here is a type AAA with a total binary operation ⋄:A×A→A\diamond:A\times A\to A⋄:A×A→A. Parentheses specify the order of evaluation throughout; no reassociation is permitted. The condition E677 means

∀x,y∈A,x=y⋄(x⋄((y⋄x)⋄y)).\forall x,y\in A,\quad x=y\diamond\bigl(x\diamond((y\diamond x)\diamond y)\bigr).∀x,y∈A,x=y⋄(x⋄((y⋄x)⋄y)).

The condition E255 means

∀x∈A,x=((x⋄x)⋄x)⋄x.\forall x\in A,\quad x=((x\diamond x)\diamond x)\diamond x.∀x∈A,x=((x⋄x)⋄x)⋄x.

These are the two laws used in Chapter 13 of the project blueprint. For a fixed element yyy, the left multiplication map is Ly(x)=y⋄xL_y(x)=y\diamond xLy​(x)=y⋄x. A fixer for xxx is an element yyy satisfying y⋄x=xy\diamond x=xy⋄x=x. This definition concerns one element xxx; it does not require yyy to act as an identity on every element.

Formalization targets

The supporting targets expose the relevant distinction between a constraint on a possible fixer and the existence of a fixer. For every finite AAA satisfying E677, the first supporting statement is

∀y∈A,Ly is bijective.\forall y\in A,\quad L_y\text{ is bijective}.∀y∈A,Ly​ is bijective.

The second supporting statement specifies any fixer:

∀x,y∈A,y⋄x=x ⟹ y=(x⋄x)⋄x.\forall x,y\in A,\quad y\diamond x=x\ \Longrightarrow\ y=(x\diamond x)\diamond x.∀x,y∈A,y⋄x=x ⟹ y=(x⋄x)⋄x.

The third supporting statement is the backward recurrence

∀x,y∈A,x=(y⋄x)⋄((y⋄(y⋄x))⋄y).\forall x,y\in A,\quad x=(y\diamond x)\diamond\bigl((y\diamond(y\diamond x))\diamond y\bigr).∀x,y∈A,x=(y⋄x)⋄((y⋄(y⋄x))⋄y).

These supporting statements come from ETP blueprint Lemma 13.1(i)–(iii); local direct proof files accompany their statements. The following universal fixer-existence assertion is retained as an explicit equivalent reformulation:

∀x∈A,∃y∈A,y⋄x=x.\forall x\in A,\quad\exists y\in A,\quad y\diamond x=x.∀x∈A,∃y∈A,y⋄x=x.

The mission goal is

∀ finite magmas A,E677⁡(A) ⟹ E255⁡(A).\forall\text{ finite magmas }A,\quad \operatorname{E677}(A)\ \Longrightarrow\ \operatorname{E255}(A).∀ finite magmas A,E677(A) ⟹ E255(A).

For finite E677 magmas, fixer existence is equivalent to E255: E255 supplies the fixer (x⋄x)⋄x(x\diamond x)\diamond x(x⋄x)⋄x, and Lemma 13.1(ii) converts any fixer into E255. Thus it is not presented as a strictly weaker milestone.

The active open milestone is an orbit-local producer statement. For a fixed xxx, if two elements in the forward orbit x,Lx(x),Lx2(x),…x,L_x(x),L_x^2(x),\ldotsx,Lx​(x),Lx2​(x),… have equal right products by xxx, they must be equal unless xxx has a fixer. This isolates a genuine structural step without asserting a fixer for every element. None of the displayed statements restricts the cardinality to a tested range.

Significance

A resolution determines whether this particular law gains E255 as a consequence upon restriction to finite carriers. An affirmative proof must cover every finite cardinality, every operation on each carrier, and every assignment of the universally quantified elements. A finite counterexample must supply an operation that satisfies every instance of E677 while failing E255 at some element.

The formal package provides small, reusable statements of the two laws, the left multiplication property, and the fixer constraint. Keeping these statements separate allows their precise hypotheses and conclusions to be checked individually. In particular, the second supporting result says what a fixer must be when one exists; the fixer-existence formulation records the additional mathematical content needed to ensure existence.

Difficulty

The left multiplication conclusion concerns maps with the left input fixed. The fixer-existence formulation instead asks about the image of the map y↦y⋄xy\mapsto y\diamond xy↦y⋄x, with its right input fixed. No assumption in the formal goal makes these two maps interchangeable. Bijectivity of every left multiplication map alone does not state that a fixer exists.

Likewise, checking a collection of finite operation tables does not quantify over arbitrary finite cardinalities. Such computation does not discharge the goal submitted here. Any proof must justify every use of finiteness and retain the displayed parenthesization of the laws.

Formalization scope

The representation uses an arbitrary universe-polymorphic type, an explicit binary operation, and a Fintype instance for finite targets. Passing the operation explicitly avoids importing a separate magma package or imposing algebraic typeclass laws. The predicates E677 and E255 themselves do not assume finiteness; each theorem states its own finite-carrier hypothesis.

Empty carriers are included. Both laws hold vacuously on them; the pointwise fixer statement is also vacuous because there is no element xxx. Consequently an empty carrier cannot refute the main goal. Nonempty carriers of every finite size are included without further assumptions. There is no associativity, commutativity, idempotence, identity element, or cancellation hypothesis hidden in the representation.

Selected references

  • Matthew Bolan et al., The Equational Theories Project: Advancing Collaborative Mathematical Research at Scale, arXiv:2512.07087v2 (December 16, 2025), paper.
  • The Equational Theories Project contributors, Equational Theories, online proof blueprint, Chapter 13, equations (1)–(2) and Lemmas 13.1–13.2, chapter, accessed September 7, 2026.
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🏆Completed
Dynamic ProgrammingOperations ResearchOptimization+1·Captain: Shuze Chen

Dynamic Programming and Optimal Control VII: Infinite Horizon ProblemsTextbook

Motivation

Infinite-horizon dynamic programming is the mathematical core of Markov decision processes and reinforcement learning: Bellman equations, value iteration, policy iteration, and their guarantees. Chapter 7 of Bertsekas, Dynamic Programming and Optimal Control, Vol. I (3rd ed., 2005) develops the finite-state theory in its cleanest generality — stochastic shortest path (SSP) problems first (Prop. 7.2.1–7.2.2), with discounted problems (Prop. 7.3.1) and average-cost problems (Prop. 7.4.1–7.4.2) derived from the SSP analysis. These propositions are cited throughout the MDP/RL literature as the base case of the theory; none of them exists in Mathlib.

Setting

States 1,…,n1, \dots, n1,…,n plus an implicit cost-free absorbing termination state ttt; finite nonempty control sets U(i)U(i)U(i); costs g(i,u)g(i,u)g(i,u); sub-stochastic transitions pij(u)≥0p_{ij}(u) \ge 0pij​(u)≥0, ∑jpij(u)≤1\sum_j p_{ij}(u) \le 1∑j​pij​(u)≤1, the deficit being the termination probability (BertsekasSSPModel). Operators

(TμJ)(i)=g(i,μ(i))+∑jpij(μ(i))J(j),(TJ)(i)=min⁡u∈U(i)[g(i,u)+∑jpij(u)J(j)](T_\mu J)(i) = g(i,\mu(i)) + \sum_j p_{ij}(\mu(i)) J(j), \qquad (TJ)(i) = \min_{u \in U(i)}\Big[g(i,u) + \sum_j p_{ij}(u) J(j)\Big](Tμ​J)(i)=g(i,μ(i))+j∑​pij​(μ(i))J(j),(TJ)(i)=u∈U(i)min​[g(i,u)+j∑​pij​(u)J(j)]

(BertsekasSSPPolicyOp, BertsekasSSPBellmanOp), NNN-stage costs by backward recursion with policy shift (BertsekasSSPNCost), and the survival mass P{xm≠t}P\{x_m \ne t\}P{xm​=t} (BertsekasSSPSurvival). Assumption 7.2.1: for some m>0m > 0m>0, every admissible policy has survival mass <1< 1<1 from every state after mmm stages. The discounted setting reuses the same model with stochastic rows and 0<α<10 < \alpha < 10<α<1 (BertsekasDiscounted*); the average-cost setting adds a designated state sss with the avoidance probability of Assumption 7.4.1 (BertsekasSSPAvoidProb).

Target

Under Assumption 7.2.1, there is a vector J∗J^*J∗ with

TkJ0→J∗  ∀J0,J∗=TJ∗ uniquely,J∗(i)≤Jπ(i)=lim⁡NJπN(i)  ∀π admissible,T^k J_0 \to J^* \ \ \forall J_0, \qquad J^* = T J^* \text{ uniquely}, \qquad J^*(i) \le J_\pi(i) = \lim_N J^N_\pi(i) \ \ \forall \pi \text{ admissible},TkJ0​→J∗  ∀J0​,J∗=TJ∗ uniquely,J∗(i)≤Jπ​(i)=Nlim​JπN​(i)  ∀π admissible,

and a stationary policy attaining J∗J^*J∗ — BertsekasDP.ssp_main_theorem (goal, Prop. 7.2.1(a),(b)). Milestones: 7.2.1(c) policy evaluation, 7.2.1(d) optimality iff greediness, 7.2.2 policy iteration, 7.3.1 the full discounted counterpart, 7.4.1 the average-cost Bellman equation, 7.4.2 average-cost policy iteration.

Significance

These are the convergence guarantees behind value iteration and policy iteration — the two algorithms at the root of dynamic programming practice and of RL analyses (Q-learning's target operator is exactly TTT). The SSP form is the strongest of the three: the discounted theory is its special case (termination with probability 1−α1 - \alpha1−α per stage) and the average-cost theory reduces to it through cycles at the recurrent state. Formalized, the chapter yields a reusable finite-MDP theory: monotone operators, mmm-stage contractions, and the machinery for later Vol. II material. All results are proved in the book; the formalization is new.

Difficulty

TTT is not a one-stage contraction in the sup-norm under Assumption 7.2.1 — only an mmm-stage contraction, uniformly over the finitely many mmm-stage policy prefixes; extracting the uniform contraction factor ρ<1\rho < 1ρ<1 (via finiteness of the policy space) is the crux of the whole chapter. The limit of NNN-stage costs for nonstationary policies must be established, not assumed (tail-sum estimate ρ⌊N/m⌋\rho^{\lfloor N/m \rfloor}ρ⌊N/m⌋). For the average-cost results the associated-SSP construction (stop on reaching sss) must be built inside the proof. The liminf phrasing of average-cost optimality is deliberate: for arbitrary nonstationary policies the Cesàro limit need not exist.

Formalization scope

Finite states Fin n, finite control type, constraint sets as Finsets with attained minima; no termination state in the carrier — termination is the sub-stochastic deficit, exactly as the book treats it computationally. Policies are sequences of stage policies (Markov); costs of nonstationary policies via the shift recursion. Convergence is Tendsto in the product topology (equivalently sup-norm, nnn finite). Average cost uses real liminf and division with the N=0N = 0N=0 term junk-valued at 0 (irrelevant at infinity). The discounted theorem packages parts (a)–(e) in one statement mirroring Prop. 7.3.1.

Selected references

  • D. P. Bertsekas, Dynamic Programming and Optimal Control, Vol. I, 3rd ed., Athena Scientific, 2005. (§7.1–7.4.) http://www.athenasc.com/dpbook.html
  • D. P. Bertsekas, J. N. Tsitsiklis, An analysis of stochastic shortest path problems, Math. Oper. Res. 16 (1991), 580–595. https://doi.org/10.1287/moor.16.3.580
  • M. L. Puterman, Markov Decision Processes, Wiley, 1994. https://doi.org/10.1002/9780470316887
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Differential GeometryGeometry & Topology·Captain: xuanji

Strong Whitney embedding in dimension 2nResearch Paper

Motivation: an intrinsic manifold in a fixed Euclidean space

A smooth manifold is a space that can be described locally by real coordinates, even when no single coordinate chart describes the whole space. Differential geometry works with these local descriptions, whereas an embedding realizes the entire space inside one Euclidean space without losing either its topology or its infinitesimal geometry. The strong Whitney embedding theorem supplies a dimension bound depending only on the dimension of the manifold. This mission targets the precise version selected by LeanEval v1, rather than a substitute formulation.

The benchmark attributes the strong result to Hassler Whitney's 1944 paper and distinguishes it from the earlier bound of 2n+12n+12n+1. The result is a known mathematical theorem; the remaining task here is its formal proof in Lean. The exact benchmark declaration is authoritative for the target and its hypotheses, not a reconstruction from the historical literature (source and attribution).

Setting: topology, smoothness, and the differential

Let nnn be a natural number satisfying 1≤n1\le n1≤n. Let MMM carry a topology and a smooth atlas modeled on Rn\mathbb R^nRn, with the usual model having no boundary. The topology is Hausdorff: distinct points admit disjoint neighborhoods. It is second countable: there is a countable collection of open sets from which every open set can be assembled as a union. These are explicit hypotheses, alongside the chosen charted-space and smooth-manifold structures, in the Lean statement.

A topological embedding is a map that is a homeomorphism onto its image, where the image has the subspace topology inherited from the codomain. An immersion has an injective differential at every point. For a smooth map eee, write dexd e_xdex​ for the induced linear map on tangent spaces at xxx. These are separate requirements: the target asks for global topological embedding and pointwise injectivity of the differential together, as well as infinite differentiability. Their precise Lean meanings are the existing Mathlib predicates used directly by the benchmark, not new mission-specific definitions.

Formalization target: the single root theorem

For every n≥1n\ge1n≥1 and every MMM with the structures and hypotheses just stated, establish

∃e:M⟶R2n,e∈C∞(M,R2n) ∧ e is a topological embedding ∧ ∀x∈M, dex is injective.\exists e:M\longrightarrow\mathbb R^{2n},\qquad e\in C^\infty(M,\mathbb R^{2n}) \ \land\ e\text{ is a topological embedding} \ \land\ \forall x\in M,\ d e_x\text{ is injective}.∃e:M⟶R2n,e∈C∞(M,R2n) ∧ e is a topological embedding ∧ ∀x∈M, dex​ is injective.

The codomain has dimension exactly 2n2n2n. The quantifier ranges over all such manifolds, including noncompact ones. There is exactly one goal theorem and no auxiliary theorem items, definition items, or milestones. The declaration is LeanEval.Geometry.WhitneyEmbeddingProblem.whitney_embedding, with the binders and conclusion preserved from the benchmark source.

Significance: the full theorem rather than an easier restriction

The result realizes the given manifold in a Euclidean space with a uniform dimension bound. Its value in this formulation is the simultaneous control of topology, smoothness, and the differential, without a compactness assumption. Replacing the image-topology condition with mere injectivity would omit part of the requested conclusion; replacing 2n2n2n with an unspecified dimension would omit the quantitative constraint. Both distinctions are explicit in the benchmark's explanation.

A completed formalization would supply a reusable strong embedding theorem on top of Mathlib's manifold language. This is a long-term infrastructure task, not a claim that a short proof is available. The September 5, 2026 LeanEval v1 snapshot supplied for this task records no accepted benchmark credit for this target. That dated benchmark status is not a claim about all formalization projects, and preparing an open theorem statement does not establish the theorem or earn benchmark credit.

Difficulty: the dimension bound and the noncompact scope

The existing compact embedding result discussed by the benchmark provides an embedding into some finite-dimensional Euclidean space. That does not settle the present goal: it assumes compactness and does not supply the 2n2n2n bound. Consequently, simply invoking that result cannot discharge the unrestricted benchmark statement. The source identifies substantial differential-topological infrastructure behind the strong theorem; this proposal does not advertise an easy proof or prescribe a decomposition (benchmark discussion).

All positive dimensions remain in scope, including n=1n=1n=1 and n=2n=2n=2. Noncompactness is not a later extension or optional strengthening. The absence of an assumption must not be replaced by an implicit restriction in a new definition or an easier surrogate theorem.

Formalization scope: unchanged Mathlib predicates

The source model is EuclideanSpace ℝ (Fin n), and the target is EuclideanSpace ℝ (Fin (2 * n)). Smoothness is expressed by ContMDiff (𝓡 n) (𝓡 (2 * n)) ∞ e; the other two conjuncts are IsEmbedding e and pointwise Function.Injective of mfderiv. The type MMM remains universe-polymorphic. No compactness, connectedness, orientability, or nonemptiness hypothesis is added. The empty manifold is included; dimension zero is excluded. Neither properness nor closedness of the image is demanded by the conclusion (exact declaration).

Mathlib already provides the vocabulary needed to state the goal: Euclidean spaces, charts, manifold smoothness, topological embeddings, and manifold derivatives. No custom definition item is necessary. Future proof work may develop reusable infrastructure, but this draft contains only the root theorem and intentionally imposes no supporting targets. A proof must establish that exact statement, not the compact-only, immersion-only, or weak 2n+12n+12n+1 alternative.

Selected references

  • LeanEval contributors, Whitney embedding theorem (strong form, sharp dimension 2n), LeanEval v1 source declaration and manifest, statement revision 1, pinned source and manifest. These specify the exact formal target.
  • H. Whitney, The self-intersections of a smooth n-manifold in 2n-space, Annals of Mathematics (2) 45 (1944), 220–246, DOI. Historical attribution as recorded in the LeanEval manifest; no alternate statement from this reference replaces the benchmark goal.
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Number Theory·Captain: xuanji

Lagarias criterion is equivalent to RHResearch Paper

Motivation

The Riemann hypothesis concerns the zeros of a complex analytic function, yet it admits an equivalent formulation involving only positive integers, finite sums, the real exponential, and the natural logarithm. Jeffrey C. Lagarias established this formulation in An Elementary Problem Equivalent to the Riemann Hypothesis (Theorem 1.1). It connects the distribution of divisors of an integer with the analytic behavior of the zeta function. For number theorists and formalizers, the interest lies in making that connection precise without confusing an elementary statement with an elementary proof.

The objective is the known equivalence selected by LeanEval v1, not a resolution of RH. Lagarias's paper builds on results of Guy Robin concerning large values of the divisor-sum function; those results remain substantial parts of the formalization workload (Lagarias, §3).

Setting

For a positive integer nnn, its divisor sum is

σ(n)=∑d∣nd,\sigma(n)=\sum_{d\mid n}d,σ(n)=d∣n∑​d,

where the sum runs over positive divisors, including 111 and nnn. Its harmonic number is

Hn=∑j=1n1j.H_n=\sum_{j=1}^{n}\frac1j.Hn​=j=1∑n​j1​.

All inequalities below are inequalities of real numbers. The symbols exp⁡\expexp and log⁡\loglog denote the real exponential and natural logarithm. The Euler–Mascheroni constant is γ=lim⁡n→∞(Hn−log⁡n)\gamma=\lim_{n\to\infty}(H_n-\log n)γ=limn→∞​(Hn​−logn).

The Riemann zeta function is obtained by analytic continuation of ∑m=1∞m−s\sum_{m=1}^{\infty}m^{-s}∑m=1∞​m−s from Re⁡(s)>1\operatorname{Re}(s)>1Re(s)>1. RH asserts that its nontrivial zeros have real part 1/21/21/2. The Lagarias elementary criterion in this mission is the assertion that σ(n)≤Hn+exp⁡(Hn)log⁡(Hn)\sigma(n)\le H_n+\exp(H_n)\log(H_n)σ(n)≤Hn​+exp(Hn​)log(Hn​) for every positive integer nnn. These conventions agree with the arithmetic quantities in Lagarias, Problem E, with the precise equality-clause distinction stated below.

Formalization targets

Main goal: the exact LeanEval equivalence

RH⟺∀n∈N,  n>0⟹σ(n)≤Hn+exp⁡(Hn)log⁡(Hn).\mathrm{RH}\quad\Longleftrightarrow\quad \forall n\in\mathbb N,\;n>0\Longrightarrow \sigma(n)\le H_n+\exp(H_n)\log(H_n).RH⟺∀n∈N,n>0⟹σ(n)≤Hn​+exp(Hn​)log(Hn​).

There are no hypotheses on the goal theorem. The quantifier ranges over all positive integers, not a bounded test set or an unspecified tail. The benchmark uses a non-strict inequality and does not include an equality characterization. Lagarias's Problem E additionally requires equality only at n=1n=1n=1; the proof of the reverse implication in Theorem 1.1, p. 8 uses the non-strict inequality alone. The stronger source formulation is therefore not silently substituted for the benchmark.

Supporting targets from the paper

The milestone list records the following source statements, with their thresholds unchanged:

  • Lemma 3.1: for n≥3n\ge3n≥3,
eγnlog⁡log⁡n≤exp⁡(Hn)log⁡(Hn).e^\gamma n\log\log n\le\exp(H_n)\log(H_n).eγnloglogn≤exp(Hn​)log(Hn​).
  • Lemma 3.2: for n≥20n\ge20n≥20,
Hn+exp⁡(Hn)log⁡(Hn)≤eγnlog⁡log⁡n+7nlog⁡n.H_n+\exp(H_n)\log(H_n)\le e^\gamma n\log\log n+\frac{7n}{\log n}.Hn​+exp(Hn​)log(Hn​)≤eγnloglogn+logn7n​.
  • The finite check in the proof of Theorem 1.1: the criterion holds for 1≤n≤50401\le n\le50401≤n≤5040, with equality exactly at n=1n=1n=1.
  • Proposition 3.1, attributed to Robin: assuming RH, for n≥5041n\ge5041n≥5041,
σ(n)≤eγnlog⁡log⁡n.\sigma(n)\le e^\gamma n\log\log n.σ(n)≤eγnloglogn.
  • Proposition 3.2, attributed to Robin: if RH is false, some fixed 0<β<1/20<\beta<1/20<β<1/2 and C>0C>0C>0 satisfy
σ(n)≥eγnlog⁡log⁡n+Cnlog⁡log⁡n(log⁡n)β\sigma(n)\ge e^\gamma n\log\log n+ \frac{Cn\log\log n}{(\log n)^\beta}σ(n)≥eγnloglogn+(logn)βCnloglogn​

for arbitrarily large integers nnn.

All five are taken from Lagarias, §3, pp. 6–8; the finite check is explicitly an unnumbered step, not a newly attributed lemma.

Significance

The result identifies an exact arithmetic reformulation of RH. It does not make either side unconditional. A proof of the equivalence gives a bridge between statements in different mathematical languages; it does not certify the universal inequality merely because many instances can be checked. This distinction is central to the interpretation of Lagarias's theorem.

The formalization would connect existing Mathlib definitions of the zeta function, divisor sums, harmonic numbers, and Euler's constant through a machine-checked argument. Reusable outputs include explicit harmonic/exponential comparisons, certified finite real inequalities, and formal versions of Robin's conditional and oscillation results. The mathematical results are known; this proposal supplies open formalization targets, not completed proofs. No accepted LeanEval result is claimed by creating or launching the mission.

Difficulty

The elementary appearance of the criterion hides its main analytic requirements. Bounding the divisor sum crudely, or checking any finite number of integers, cannot establish the universal equivalence. The conditional upper bound and especially the quantitative oscillation theorem connect zeta zeros with unusually large divisor sums. They must be proved, not packaged as definitions or presumed available because the paper cites them (Lagarias, Propositions 3.1–3.2).

The oscillation statement requires uniform positive constants and arbitrarily large indices. Replacing it with one counterexample loses essential information. The bounded computation also requires rigorous control of exponential and logarithmic values: an ordinary floating-point loop is not a Lean proof. Beyond the listed milestones, completion still requires standard growth comparisons, threshold bookkeeping, and assembly of the two implications. The short length of the source's final argument should not be read as an estimate of total formalization effort.

Formalization scope

The goal is LeanEval.NumberTheory.riemann_hypothesis_iff_lagarias_elementary_criterion, with type RiemannHypothesis ↔ LagariasElementaryCriterion. The criterion definition is copied from the benchmark. σ 1 n is natural-valued and cast to the reals; harmonic n is rational-valued and cast to the reals. RH remains Mathlib's predicate on riemannZeta, excluding negative even trivial zeros and the point s=1s=1s=1. No replacement axiom, hidden RH assumption, altered zeta function, or circular child restatement is permitted.

The goal excludes n=0n=0n=0 and includes n=1n=1n=1. Thresholds ensure positive logarithm arguments in the analytic milestones. The oscillation milestone expresses an infinite subset of the naturals as an unbounded set, retaining n≥3n\ge3n≥3; deletion of the finitely many smaller indices does not change the source's infinitude claim. Its real exponent is represented by Real.rpow, not natural exponentiation. Constants are chosen before the arbitrary cutoff.

The benchmark pins Lean 4.33.0 and Mathlib 6f1ef4e5dd604a435bddba4747b13970cd65d2a1. The proposal targets Prove2me's supported Lean 4.33.1 environment, Mathlib 0df444a360eaa60ab8c11dca51a86af692955474. These environments are distinct; eventual benchmark credit requires the benchmark's own validation. Contributions to analytic infrastructure, source-faithful supporting results, and certified finite inequalities are welcome. The five milestones are an initial source-backed structure, not a claim that all required infrastructure is already present.

Selected references

  • Jeffrey C. Lagarias, An Elementary Problem Equivalent to the Riemann Hypothesis, American Mathematical Monthly 109 (2002), 534–543. arXiv:math/0008177v2, posted 6 May 2001. The theorem, proposition, equation, and page numbers in this proposal refer to this nine-page arXiv version.
  • Guy Robin, Grandes valeurs de la fonction somme des diviseurs et hypothèse de Riemann, Journal de Mathématiques Pures et Appliquées 63 (1984), 187–213. Bibliography entry [18] in Lagarias. The milestone formulations are those explicitly reproduced and attributed in Lagarias's Propositions 3.1 and 3.2.
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