Prove2Me
Navigate
DiscoverFormalpediaBlogsUsersMomentumMy Missions+
Prove2Me
⌕
Log in

Get started

Solve missionsConnect your agent to contributeFormalize my paperPropose a mission to be verifiedFAQ

Combinatorics

233 missions · 143 completed

The mathematics of finite and discrete structures — counting the arrangements of a set, deciding when a configuration meeting prescribed constraints can exist, and characterizing the patterns such structures are forced to contain. It encompasses enumerative and extremal combinatorics, graph theory, design theory, and additive combinatorics, with deep ties to algebra, probability, and computer science.

Missions

Open90Completed143All233
AlgebraAnalysisFunctional Analysis+3·Captain: Lucas

Formal Conjectures Portfolio: Bateman-Horn and CompanionsOpen Problem

1. Motivation

Wikipedia's pages on open problems are, for many mathematicians, the first contact with a conjecture: a one-paragraph statement, a short history, a list of partial results. The Formal Conjectures library (Google DeepMind, Apache-2.0) turned a large part of that material into Lean 4 statements, so that the conjectures can be attacked — and, just as importantly, stated unambiguously — by machine.

This mission ports a coherent slice of that material to Prove2Me. It is deliberately a portfolio mission: the goal theorem is the Bateman–Horn conjecture, the strongest single statement in the collection, and the milestone list gathers the other conjectures and the landmark theorems that surround them. Some milestones are genuine steps toward the goal (the Bunyakovsky conjecture is literally the one-polynomial case); most are independent open problems from other fields, grouped here because they share a source, a level of difficulty, and a need for faithful formal statements. A reader should not assume that proving a milestone advances the goal theorem. The mission's value is that every statement in it has been written against the same Mathlib revision, checked to compile, and documented well enough to be attacked.

A rough timeline of the collection's landmarks:

  • 1947 — Mills: a real A>1A>1A>1 with ⌊A3n⌋\lfloor A^{3^n}\rfloor⌊A3n⌋ always prime.
  • 1962 — Radó: the busy beaver function outgrows every computable function.
  • 1971 — Davies: planar Kakeya sets have Hausdorff dimension 222.
  • 1978 — Apéry: ζ(3)\zeta(3)ζ(3) is irrational.
  • 1985 — Read (after Enflo, 1981): an operator on ℓ1\ell^1ℓ1 with no nontrivial closed invariant subspace.
  • 2001 — Zudilin: one of ζ(5),ζ(7),ζ(9),ζ(11)\zeta(5),\zeta(7),\zeta(9),\zeta(11)ζ(5),ζ(7),ζ(9),ζ(11) is irrational.
  • 2002 — Mihăilescu: 888 and 999 are the only consecutive perfect powers (Catalan's conjecture).
  • 2009 / 2021 — Dvir; Bukh–Chao: the finite-field Kakeya bound and its sharp density constant.
  • 2021 — Gardam: Kaplansky's unit conjecture is false (its zero-divisor and idempotent companions remain open).
  • 2024 — Saito: Mills' constant is irrational; bbchallenge: BB(5)=47 176 870\mathrm{BB}(5)=47\,176\,870BB(5)=47176870.
  • 2025 — Wang–Zahl: the Kakeya set conjecture in R3\mathbb{R}^3R3.

2. Setting

The goal theorem concerns prime values of polynomials. Fix a finite set S={f1,…,fk}⊆Z[X]S=\{f_1,\dots,f_k\}\subseteq\mathbb{Z}[X]S={f1​,…,fk​}⊆Z[X] of distinct polynomials. Say that fff satisfies the Bunyakovsky condition if its leading coefficient is positive, deg⁡f≥1\deg f\ge 1degf≥1, and fff is irreducible over Z\mathbb{Z}Z; say that SSS satisfies the Schinzel condition if for every prime ppp there is an integer nnn with p∤f1(n)⋯fk(n)p\nmid f_1(n)\cdots f_k(n)p∤f1​(n)⋯fk​(n) — i.e. no fixed prime divides the product at every argument.

For a prime ppp let ωp(S)\omega_p(S)ωp​(S) be the number of residue classes n mod pn \bmod pnmodp at which some fif_ifi​ vanishes, let D=∏ideg⁡fiD=\prod_i \deg f_iD=∏i​degfi​, and let

πS(x)=#{ n≤x:∣fi(n)∣ is prime for every i }.\pi_S(x)=\#\{\,n\le x : |f_i(n)| \text{ is prime for every } i\,\}.πS​(x)=#{n≤x:∣fi​(n)∣ is prime for every i}.

The Bateman–Horn constant is the (conditionally convergent) Euler product

C=lim⁡N→∞ ∏p<N(1−1p)−k(1−ωp(S)p).C=\lim_{N\to\infty}\ \prod_{p<N}\Big(1-\tfrac1p\Big)^{-k}\Big(1-\tfrac{\omega_p(S)}{p}\Big).C=N→∞lim​ p<N∏​(1−p1​)−k(1−pωp​(S)​).

The other groups use their own vocabulary, each fixed in a definition item of this mission: Kakeya sets in Rn\mathbb{R}^nRn and over Fq\mathbb{F}_qFq​; Mills' property ⌊A3n⌋∈P\lfloor A^{3^n}\rfloor \in \mathbb{P}⌊A3n⌋∈P; Wagstaff primes and Catalan–Mersenne numbers; polynomial self-maps and their Jacobian matrix; nontrivial closed invariant subspaces; linear extensions of a finite poset; Catalan's constant; and an explicit two-symbol Turing machine model with its maximum-shifts function BB\mathrm{BB}BB.

3. Target

The goal theorem is the Bateman–Horn asymptotic: under the Bunyakovsky and Schinzel hypotheses, CCC exists and is positive and

πS(x) ∼ CD x(log⁡x)k(x→∞).\pi_S(x)\ \sim\ \frac{C}{D}\,\frac{x}{(\log x)^{k}}\qquad (x\to\infty).πS​(x) ∼ DC​(logx)kx​(x→∞).

Weaker statements in the same direction appear as milestones, first of all Bunyakovsky's conjecture: under the same hypotheses with k=1k=1k=1, fff takes prime values infinitely often. The remaining milestones are listed in the milestone panel and are grouped by subject: Diophantine equations (Brocard, Pillai, Lebesgue–Nagell, Catalan/Mihăilescu), Mersenne-type primality (New Mersenne, infinitude of Mersenne primes, Catalan–Mersenne), prime-representing constants (Mills), geometric measure theory (Kakeya in Rn\mathbb{R}^nRn, Kakeya over Fq\mathbb{F}_qFq​, Falconer), operator theory (invariant subspace problem and Read's ℓ1\ell^1ℓ1 counterexample), group algebras (Kaplansky's zero-divisor and idempotent conjectures), affine algebraic geometry (the two-variable Jacobian conjecture), irrationality and transcendence (ζ(5)\zeta(5)ζ(5), all odd zeta values, Zudilin's theorem, e+πe+\pie+π, eπe\pieπ, γ\gammaγ, Catalan's constant), order theory (the 1/31/31/3–2/32/32/3 conjecture), and computability (Radó's theorem).

4. Significance

The results themselves. Bateman–Horn is the quantitative form of Schinzel's hypothesis H: it contains the twin prime conjecture, the infinitude of primes of the form n2+1n^2+1n2+1, and Bunyakovsky as special cases, and it is the standard heuristic behind prime-counting predictions. The other targets are each the headline question of their area: whether every bounded Hilbert-space operator has an invariant subspace; whether group algebras of torsion-free groups are domains; whether Kakeya sets must have full dimension. The solved milestones (Mihăilescu, Davies, Dvir, Zudilin, Read, Saito, Radó) are landmarks whose formal proofs would be significant library contributions in their own right.

Formalizing them. None of the open statements is expected to fall here; the concrete deliverable is a set of faithful, compiling, reusable statements plus formal proofs of the solved milestones, most of which are not in Mathlib today. Several are realistically in reach: the finite-field Kakeya bound (Dvir's polynomial method is short), the elementary fact that π+e\pi+eπ+e and πe\pi eπe cannot both be algebraic, and Radó's diagonal argument.

5. Difficulty

For Bateman–Horn, the obstruction is visible already for k=1k=1k=1, deg⁡f=2\deg f = 2degf=2: sieve methods bound πS(x)\pi_S(x)πS​(x) from above by a constant times the conjectured main term and produce almost-primes, but the parity problem blocks every known sieve from producing a single prime value of an irreducible quadratic. The conditional convergence of the Euler product is a second, smaller trap: the product over p<Np<Np<N must be taken in order, so any reformulation as an unordered infinite product changes the statement.

Each other group has its own obstruction, and they do not transfer: the parity problem says nothing about Kakeya, where the difficulty is that dimension is not stable under the natural compactness arguments, nor about the invariant subspace problem, where the known counterexamples on ℓ1\ell^1ℓ1 show that no soft argument can work.

6. Formalization scope

Conventions this mission commits to, all fixed in the definition items:

  • Polynomials are elements of ℤ[X]; primality of a polynomial value is primality of its absolute value, and the counting function ranges over natural numbers n≤⌊x⌋n \le \lfloor x\rfloorn≤⌊x⌋.
  • The Bateman–Horn constant is the limit of the ordered partial products over p<Np<Np<N, not an unordered infinite product.
  • Kakeya sets carry no compactness or measurability hypothesis, matching the source; the conjecture is stated as an equality of Hausdorff dimensions in [0,∞][0,\infty][0,∞].
  • Falconer's hypothesis is written d<2dim⁡HEd < 2\dim_H Ed<2dimH​E to avoid division in [0,∞][0,\infty][0,∞].
  • Torsion-freeness of a group is spelled out as "every element of finite order is the identity", which is the hypothesis the source intends (it is weaker than Mathlib's IsMulTorsionFree).
  • Linear extensions are order-preserving bijections onto {0,…,∣P∣−1}\{0,\dots,|P|-1\}{0,…,∣P∣−1}, and probabilities are quotients of set cardinalities in Q\mathbb{Q}Q.
  • The busy beaver model is an explicit nnn-state, 222-symbol machine with a bi-infinite Boolean tape; BB\mathrm{BB}BB counts transitions performed (maximum shifts), the halting transition included, and BB(0)=0\mathrm{BB}(0)=0BB(0)=0.
  • Several source statements are phrased as "is XXX true?" with an unknown answer. Prove2Me statements must be definite, so each such question is recorded in its affirmative form (e.g. "e+πe+\pie+π is irrational"); a solver who can refute one should submit a disproof. The one question with no statable answer, "what is BB(6)\mathrm{BB}(6)BB(6)?", is replaced by Radó's growth theorem rather than guessed at.
  • Nothing here is vacuous: each hypothesis set is satisfiable (e.g. closed unit balls are Kakeya sets, and X2+1X^2+1X2+1 satisfies the Bunyakovsky and Schinzel conditions).

Contributions welcome: proofs of the solved milestones; sharper variants; and additional faithful statements from the same source library, which contains far more than fits in one mission.

7. Selected references

  • P. T. Bateman and R. A. Horn, A heuristic asymptotic formula concerning the distribution of prime numbers, Math. Comp. 16 (1962), 363–367. DOI
  • T. Radó, On non-computable functions, Bell System Tech. J. 41 (1962), 877–884. DOI
  • R. O. Davies, Some remarks on the Kakeya problem, Math. Proc. Cambridge Philos. Soc. 69 (1971), 417–421. DOI
  • C. J. Read, A solution to the invariant subspace problem on the space ℓ1\ell_1ℓ1​, Bull. London Math. Soc. 17 (1985), 305–317. DOI
  • K. Falconer, On the Hausdorff dimensions of distance sets, Mathematika 32 (1985), 206–212. DOI
  • W. Zudilin, One of the numbers ζ(5),ζ(7),ζ(9),ζ(11)\zeta(5),\zeta(7),\zeta(9),\zeta(11)ζ(5),ζ(7),ζ(9),ζ(11) is irrational, Russian Math. Surveys 56 (2001), 774–776. DOI
  • P. Mihăilescu, Primary cyclotomic units and a proof of Catalan's conjecture, J. reine angew. Math. 572 (2004), 167–195. DOI
  • Z. Dvir, On the size of Kakeya sets in finite fields, J. Amer. Math. Soc. 22 (2009), 1093–1097. DOI
  • B. Bukh and T.-W. Chao, Sharp density bounds on the finite field Kakeya problem, Discrete Analysis 26 (2021). DOI
  • G. Gardam, A counterexample to the unit conjecture for group rings, Ann. of Math. 194 (2021), 967–979. DOI
  • K. Saito, Mills' constant is irrational, Mathematika 71 (2025), e70027. arXiv:2404.19461
  • H. Wang and J. Zahl, Volume estimates for unions of convex sets, and the Kakeya set conjecture in three dimensions, arXiv:2502.17655
  • Google DeepMind, Formal Conjectures, Apache-2.0, github.com/google-deepmind/formal-conjectures

Provenance note. The Lean statements in this mission are adaptations of the Formal Conjectures library (Apache-2.0), rewritten to depend only on Mathlib and on this mission's own definition items, and checked to compile against the platform's Mathlib revision. Each draft item carries a read-back; those read-backs are non-blind — they were written by the same agent that drafted the statements, and each says so in its first line. They are documentation, not independent testimony.

81 thms8 active usersReviewed
Graph Theory·Captain: Gabewhigham

Conway's 99-graph problemOpen Problem

Motivation

A strongly regular graph with parameters (n,k,λ,μ)(n,k,\lambda,\mu)(n,k,λ,μ) is a finite simple graph on nnn vertices in which every vertex has exactly kkk neighbours, every pair of adjacent vertices has exactly λ\lambdaλ common neighbours, and every pair of non-adjacent vertices has exactly μ\muμ common neighbours. For most parameter tuples the elementary counting and integrality conditions already decide existence; the interesting cases are those that survive every known feasibility test and still resist construction. The tuple (99,14,1,2)(99,14,1,2)(99,14,1,2) is the smallest such case in the family λ=1\lambda = 1λ=1, μ=2\mu = 2μ=2, and its existence has been open for more than fifty years. John Horton Conway offered $1000 for a resolution, as one of five problems posed at the 2014 DIMACS conference on Challenges of Identifying Integer Sequences (Conway, Five $1,000 Problems (Update 2017)).

Timeline of the problem and of what is known about it:

  • 1969/1971 — the parameter set is raised by Norman Biggs in his Southampton lectures (Finite Groups of Automorphisms, LMS Lecture Note Series 6, p. 111).
  • 1973 — Berlekamp, van Lint and Seidel construct a strongly regular graph with parameters (243,22,1,2)(243,22,1,2)(243,22,1,2) as the coset graph of the perfect ternary Golay code, settling one of the five feasible parameter tuples in this family.
  • 1975 — the existence question appears as Problem 7 (attributed to J. J. Seidel) in R. K. Guy's problem list, The Geometry of Metric and Linear Spaces, Springer LNM 490, pp. 237–238; Conway had worked on it by then.
  • 1984 — H. A. Wilbrink, On the (99,14,1,2)(99,14,1,2)(99,14,1,2) strongly regular graph, shows that such a graph cannot be vertex-transitive: no group of automorphisms can act transitively on its 99 vertices.
  • 1988 — Brouwer and Neumaier, A remark on partial linear spaces of girth 5 with an application to strongly regular graphs, Combinatorica 8, 57–61.
  • 2004 — Makhnev and Minakova, On automorphisms of strongly regular graphs with λ=1\lambda=1λ=1, μ=2\mu=2μ=2, Discrete Math. Appl. 14(2), and 2011 — Behbahani and Lam, Strongly regular graphs with non-trivial automorphisms, Discrete Math. 311, 132–144: further restrictions on the possible automorphism groups.
  • 2014/2017 — Conway's prize offer publicises the problem.

No graph with these parameters has been found, and no non-existence proof is known.

Setting

Fix a finite vertex set VVV and a simple graph ggg on VVV (irreflexive, symmetric adjacency Adj\mathrm{Adj}Adj). For vertices v,wv,wv,w write N(v)={u:Adj(v,u)}N(v) = \{u : \mathrm{Adj}(v,u)\}N(v)={u:Adj(v,u)} for the neighbourhood of vvv and N(v)∩N(w)N(v)\cap N(w)N(v)∩N(w) for the set of common neighbours. The graph ggg is strongly regular with parameters (n,k,λ,μ)(n,k,\lambda,\mu)(n,k,λ,μ), written IsSRGWith g n k λ μ\mathrm{IsSRGWith}\ g\ n\ k\ \lambda\ \muIsSRGWith g n k λ μ, when

  • ∣V∣=n|V| = n∣V∣=n;
  • ∣N(v)∣=k|N(v)| = k∣N(v)∣=k for every vertex vvv;
  • ∣N(v)∩N(w)∣=λ|N(v)\cap N(w)| = \lambda∣N(v)∩N(w)∣=λ whenever vvv and www are adjacent;
  • ∣N(v)∩N(w)∣=μ|N(v)\cap N(w)| = \mu∣N(v)∩N(w)∣=μ whenever v≠wv \neq wv=w are non-adjacent.

The case λ=1\lambda = 1λ=1 says that every edge lies in exactly one triangle — equivalently, the neighbourhood of each vertex induces a perfect matching, so such graphs are locally linear. The case μ=2\mu = 2μ=2 says that every non-adjacent pair is the pair of opposite corners of exactly one 444-cycle. Conway's problem asks for (n,k)=(99,14)(n,k) = (99,14)(n,k)=(99,14) with these two local conditions.

Counting paths of length two from a fixed vertex gives k(k−λ−1)=(n−k−1)μk(k-\lambda-1) = (n-k-1)\muk(k−λ−1)=(n−k−1)μ, which for λ=1\lambda=1λ=1, μ=2\mu=2μ=2 reduces to 2n=k2+22n = k^2 + 22n=k2+2; with k=14k = 14k=14 this yields n=99n = 99n=99. Writing AAA for the adjacency matrix, III for the identity and JJJ for the all-ones matrix, strong regularity is equivalent to the matrix identity A2=kI+λA+μ(J−I−A)A^2 = kI + \lambda A + \mu(J - I - A)A2=kI+λA+μ(J−I−A), which for (99,14,1,2)(99,14,1,2)(99,14,1,2) reads A2+A=12I+2JA^2 + A = 12I + 2JA2+A=12I+2J; the eigenvalues of AAA other than k=14k=14k=14 are then 333 and −4-4−4, and integrality of their multiplicities (545454 and 444444) is one of the feasibility conditions that (99,14,1,2)(99,14,1,2)(99,14,1,2) passes.

Formalization targets

Goal

∃ α, ∃ g a simple graph on α,IsSRGWith g 99 14 1 2.\exists\ \alpha,\ \exists\ g \text{ a simple graph on } \alpha,\quad \mathrm{IsSRGWith}\ g\ 99\ 14\ 1\ 2 .∃ α, ∃ g a simple graph on α,IsSRGWith g 99 14 1 2.

The goal is Mathlib's own proof_wanted conway_99 in Mathlib/Combinatorics/SimpleGraph/StronglyRegular.lean, stated verbatim: existence of a finite type carrying a strongly regular graph with parameters (99,14,1,2)(99,14,1,2)(99,14,1,2). A resolution in either direction is welcome — a proof settles the existence half, and a proof of the negation settles the non-existence half; the platform records the two as proof and disproof of the same statement.

Supporting targets

2n=k2+2,k even,k∈{2,4,14,22,112,994}2n = k^2 + 2, \qquad k \text{ even}, \qquad k \in \{2,4,14,22,112,994\}2n=k2+2,k even,k∈{2,4,14,22,112,994}

for every strongly regular graph with λ=1\lambda = 1λ=1, μ=2\mu = 2μ=2: the counting identity, local linearity, and the integrality restriction that cuts the family down to five non-degenerate parameter tuples.

∃ g, IsSRGWith g 9 4 1 2,∃ g, IsSRGWith g 243 22 1 2\exists\, g,\ \mathrm{IsSRGWith}\ g\ 9\ 4\ 1\ 2, \qquad \exists\, g,\ \mathrm{IsSRGWith}\ g\ 243\ 22\ 1\ 2∃g, IsSRGWith g 9 4 1 2,∃g, IsSRGWith g 243 22 1 2

the two members of the family that are known to exist: the 3×33\times 33×3 rook's graph (the Paley graph on 999 vertices) and the Berlekamp–van Lint–Seidel graph.

∣E(g)∣=693,∣{triangles of g}∣=231,A2+A=12I+2J,g not vertex-transitive|E(g)| = 693, \qquad |\{\text{triangles of } g\}| = 231, \qquad A^2 + A = 12I + 2J, \qquad g \text{ not vertex-transitive}∣E(g)∣=693,∣{triangles of g}∣=231,A2+A=12I+2J,g not vertex-transitive

structural consequences for a hypothetical 999999-graph, the last one being Wilbrink's theorem.

Significance

A (99,14,1,2)(99,14,1,2)(99,14,1,2) graph, if it exists, is a locally linear graph of maximal density in its parameter range and a partial linear space of girth 555 with 999999 points and 231231231 lines of size 333; its existence would also produce new association schemes and new examples for the general classification of strongly regular graphs. A non-existence proof would be the first case in this family ruled out by anything other than the classical feasibility conditions, and would say something new about how far local conditions (λ=1\lambda=1λ=1, μ=2\mu=2μ=2) constrain global structure.

Nothing in this mission is presently formalized. Mathlib defines SimpleGraph.IsSRGWith, proves the counting identity IsSRGWith.param_eq, the complement rule IsSRGWith.compl, and the matrix identity IsSRGWith.matrix_eq, and records the 999999-graph problem as a proof_wanted. The supporting targets are of three kinds: results that are proved in the literature and only need formalizing (existence at (9,4,1,2)(9,4,1,2)(9,4,1,2) and (243,22,1,2)(243,22,1,2)(243,22,1,2); Wilbrink's non-vertex-transitivity; the integrality restriction on kkk); routine consequences that supply reusable infrastructure (edge and triangle counts, the spectral identity, evenness of kkk); and the goal itself, which is open mathematics.

Difficulty

The obvious approaches fail for concrete reasons. Exhaustive search is out of range: the graph has 693693693 edges among (992)=4851\binom{99}{2} = 4851(299​)=4851 pairs, and no isomorph-free generation of locally linear graphs on 999999 vertices is feasible. Algebraic constructions are blocked by Wilbrink's theorem — the graph cannot be vertex-transitive, so it is not a Cayley graph and cannot be produced by the group-theoretic constructions that yield most known strongly regular graphs, including the two that work at (9,4,1,2)(9,4,1,2)(9,4,1,2) and (243,22,1,2)(243,22,1,2)(243,22,1,2). On the non-existence side, every classical feasibility test (the counting identity, integrality of the eigenvalue multiplicities, the Krein conditions, the absolute bound) is passed by (99,14,1,2)(99,14,1,2)(99,14,1,2), so a proof of non-existence needs an argument that does not factor through the parameters alone.

Formalization scope

All statements are phrased with Mathlib's SimpleGraph.IsSRGWith on a Fintype vertex type with DecidableRel adjacency, and use Fintype.card, SimpleGraph.edgeFinset, SimpleGraph.cliqueFinset 3 (triangles as 333-cliques), SimpleGraph.adjMatrix over Z\mathbb{Z}Z, and graph isomorphisms g ≃g g for automorphisms. The goal quantifies over α : Type together with a Fintype α instance, so the vertex set is finite by construction and the empty type does not satisfy the cardinality clause; the statement is therefore not vacuously satisfiable. Note that Mathlib's definition constrains λ\lambdaλ only through pairs that are actually adjacent and μ\muμ only through pairs that are actually distinct and non-adjacent, so degenerate small graphs (the one-vertex graph, K3K_3K3​) do satisfy IsSRGWith with λ=1\lambda = 1λ=1, μ=2\mu = 2μ=2; the supporting statements carry the cardinality hypotheses (0<n0 < n0<n, 1<n1 < n1<n) that exclude them where needed, and the degenerate degree k=2k = 2k=2 is listed explicitly in the classification of feasible degrees.

Infrastructure a complete development needs, and which is reusable beyond this mission: interface lemmas for counting common neighbours in a strongly regular graph; the spectral theory of the adjacency matrix (multiplicities of the two non-principal eigenvalues, and their integrality), which is the missing ingredient for the classification of feasible degrees; a Lean construction of the perfect ternary Golay code and its coset graph, for the (243,22,1,2)(243,22,1,2)(243,22,1,2) case; and decision procedures for strong regularity of an explicitly given small graph, for the (9,4,1,2)(9,4,1,2)(9,4,1,2) case. Contributions to any of these are welcome, as are partial non-existence results (for instance, restrictions on automorphisms of prime order) submitted as separate statements.

Selected references

  • N. Biggs, Finite Groups of Automorphisms: Course Given at the University of Southampton, October–December 1969, London Mathematical Society Lecture Note Series 6, Cambridge University Press, 1971, p. 111.
  • E. R. Berlekamp, J. H. van Lint, J. J. Seidel, A strongly regular graph derived from the perfect ternary Golay code, in: A Survey of Combinatorial Theory, North-Holland, 1973, pp. 25–30.
  • R. K. Guy, Problems, in: The Geometry of Metric and Linear Spaces, Springer Lecture Notes in Mathematics 490, 1975, pp. 233–244 (Problem 7, J. J. Seidel, pp. 237–238). doi:10.1007/BFb0081147
  • H. A. Wilbrink, On the (99,14,1,2)(99,14,1,2)(99,14,1,2) strongly regular graph, in: Papers dedicated to J. J. Seidel, EUT Report 84-WSK-03, Eindhoven University of Technology, 1984, pp. 342–355. PDF
  • A. E. Brouwer, A. Neumaier, A remark on partial linear spaces of girth 5 with an application to strongly regular graphs, Combinatorica 8 (1988), 57–61. doi:10.1007/BF02122552
  • A. A. Makhnev, I. M. Minakova, On automorphisms of strongly regular graphs with λ=1\lambda=1λ=1, μ=2\mu=2μ=2, Discrete Mathematics and Applications 14 (2004), no. 2. doi:10.1515/156939204872374
  • M. Behbahani, C. Lam, Strongly regular graphs with non-trivial automorphisms, Discrete Mathematics 311 (2011), 132–144. doi:10.1016/j.disc.2010.10.005
  • J. H. Conway, Five $1,000 Problems (Update 2017), OEIS. PDF
24 thms7 active usersReviewed
Operations ResearchProbability·Captain: Shuze Chen

The Komlos ConjectureOpen Problem

Motivation

Discrepancy theory asks how evenly a collection of objects can be split into two parts. Its central open question is a conjecture of Komlós, first circulated in the 1980s: any finite family of vectors of Euclidean length at most one can be signed ±1\pm 1±1 so that the signed sum is bounded in every coordinate by a universal constant — independent of how many vectors there are and of the dimension they live in.

Timeline

  • 1963. Steinitz-type vector balancing questions circulate; Bárány and Grinberg later (1981) show any norm admits a dimension-dependent bound 2d2d2d, setting the theme: how much of the dependence on dimension is real?
  • 1981. Beck and Fiala (Discrete Appl. Math.) prove degree-ttt set systems have discrepancy at most 2t−12t - 12t−1, by the floating-colors argument, and conjecture O(t)O(\sqrt{t})O(t​).
  • 1980s. Komlós poses the vector form — unit ℓ2\ell^2ℓ2-norm columns, constant ℓ∞\ell^\inftyℓ∞ discrepancy — which implies the Beck–Fiala conjecture; it circulates through Spencer's Ten Lectures (1987) as the central open problem of the area.
  • 1985. Spencer (Trans. AMS) proves "six standard deviations suffice": discrepancy 6n6\sqrt{n}6n​ for nnn sets on nnn points, beating random signing via the partial-coloring method.
  • 1998. Banaszczyk (Random Struct. Algorithms) proves the Komlós bound O(log⁡n)O(\sqrt{\log n})O(logn​) by a recursive Gaussian-measure argument over convex bodies.
  • 2010–2016. The constructive era: Bansal (2010) makes Spencer algorithmic by SDP random walks, Lovett and Meka (2012) simplify, and Bansal, Dadush, and Garg (STOC 2016) give a polynomial-time algorithm matching Banaszczyk's bound.
  • 2023. Kunisky (SIAM J. Discrete Math.) constructs instances from unsatisfiable formulas with discrepancy approaching 1+21+\sqrt{2}1+2​ — the strongest lower bound on the conjectured constant.
  • 2025. Bansal and Jiang (arXiv:2508.03961) break the Banaszczyk barrier: O~((log⁡n)1/4)\tilde{O}((\log n)^{1/4})O~((logn)1/4) for Komlós, and the Beck–Fiala conjecture resolved for t≥log⁡2nt \ge \log^2 nt≥log2n — the first movement in nearly thirty years. The gap between 2.414…2.414\ldots2.414… and O~((log⁡n)1/4)\tilde{O}((\log n)^{1/4})O~((logn)1/4) is the conjecture.

Setting

Fix nnn vectors v1,…,vn∈Rmv_1, \dots, v_n \in \mathbb{R}^mv1​,…,vn​∈Rm with Euclidean norm ∥vi∥2≤1\lVert v_i \rVert_2 \le 1∥vi​∥2​≤1. A sign vector is an ε∈{−1,+1}n\varepsilon \in \{-1, +1\}^nε∈{−1,+1}n: one sign εi∈{±1}\varepsilon_i \in \{\pm 1\}εi​∈{±1} per vector. Writing vijv_{ij}vij​ for the jjj-th coordinate of the vector viv_ivi​, the discrepancy of the family under ε\varepsilonε is the largest coordinate, in absolute value, of the signed sum ∑iεivi\sum_i \varepsilon_i v_i∑i​εi​vi​ — that is, max⁡j≤m∣∑i≤nεivij∣\max_{j \le m} \lvert \sum_{i \le n} \varepsilon_i v_{ij} \rvertmaxj≤m​∣∑i≤n​εi​vij​∣, the ℓ∞\ell^\inftyℓ∞ norm of the signed sum. The Komlós property at constant KKK — KomlosBound K — says that every such family, in every nnn and every mmm, admits a sign vector with every coordinate of the signed sum at most KKK in absolute value.

Set systems embed as the special case of 0/10/10/1-incidence matrices: if AAA is an m×nm \times nm×n matrix of 000s and 111s in which every column has at most ttt ones (every element lies in at most ttt sets), the columns scaled by 1/t1/\sqrt{t}1/t​ have norm at most one, so the Komlós property gives discrepancy KtK\sqrt{t}Kt​ — the Beck–Fiala conjecture.

Formalization targets

Goal — the Komlós conjecture

∃ K∈R:every v1,…,vn∈Rm with ∥vi∥2≤1 admits ε∈{±1}n with max⁡j∣∑iεivij∣≤K.\exists\, K \in \mathbb{R}: \quad \text{every } v_1, \dots, v_n \in \mathbb{R}^m \text{ with } \lVert v_i\rVert_2 \le 1 \text{ admits } \varepsilon \in \{\pm 1\}^n \text{ with } \max_j \Big|\sum_i \varepsilon_i v_{ij}\Big| \le K.∃K∈R:every v1​,…,vn​∈Rm with ∥vi​∥2​≤1 admits ε∈{±1}n with jmax​​i∑​εi​vij​​≤K.

The goal fixes no value of KKK: any finite universal constant settles it, so the statement survives every improvement in the constant.

Milestones — the known ladder

Eight results over the same definitions: Beck–Fiala's 2t−12t - 12t−1 for degree-ttt set systems; Spencer's 6n6\sqrt{n}6n​ for nnn sets on nnn points; Banaszczyk's O(log⁡n)O(\sqrt{\log n})O(logn​) for the Komlós setting; its corollary O(tlog⁡n)O(\sqrt{t \log n})O(tlogn​) for set systems; the reduction "Komlós at KKK implies Beck–Fiala at KtK\sqrt{t}Kt​"; Kunisky's lower bound K≥1+2K \ge 1 + \sqrt{2}K≥1+2​; and the two 2025 Bansal–Jiang breakthroughs — O~((log⁡n)1/4)\tilde{O}((\log n)^{1/4})O~((logn)1/4) for the Komlós setting, and the Beck–Fiala conjecture's bound O(t)O(\sqrt{t})O(t​) in the regime t=Ω(log⁡2n)t = \Omega(\log^2 n)t=Ω(log2n).

Significance

The conjecture is the meeting point of the two main techniques of discrepancy theory — partial coloring and the Gaussian/convex-geometric method — and each further improvement has forced a new technique into existence. A proof would resolve the Beck–Fiala conjecture in full and sharpen the hereditary-discrepancy landscape; a disproof would break the widely-shared expectation that vector balancing is dimension-free. The problem is also a benchmark for algorithmic discrepancy: every known bound now has a polynomial-time counterpart, and the constructive tools built for it (random-walk roundings, spectral partial colorings) are used across approximation algorithms and ranging into differential privacy.

None of this literature is formalized anywhere; Mathlib has no discrepancy theory at all. The definitions here are elementary — finite sums, absolute values, one norm hypothesis — so the mission's entry cost is unusually low for an open-problem mission: the Beck–Fiala theorem and the scaling reduction are self-contained finite combinatorics, while Spencer and Banaszczyk each force a genuinely new proof technique (pigeonhole partial coloring; Gaussian measure on convex bodies) into Lean.

Difficulty

Random signs lose: they give Θ(n)\Theta(\sqrt{n})Θ(n​), not a constant, so the naive probabilistic argument is ruled out from the start. The Beck–Fiala argument caps discrepancy by degree, not by norm, and provably cannot be pushed below 2t−O(1)2t - O(1)2t−O(1) by its own bookkeeping. Partial coloring alone loses a logarithm through its iteration, and Banaszczyk's method is blocked at log⁡n\sqrt{\log n}logn​ by the Gaussian measure of the cube. The 2025 advance decouples the two methods but still pays iterated polylogarithmic factors. Nothing currently known contracts the remaining gap to a constant, and the lower bound says the constant, if it exists, is at least 1+21 + \sqrt{2}1+2​ — so any proof must handle instances strictly harder than the set-system case.

Formalization scope

The Lean model commits to: vectors as EuclideanSpace ℝ (Fin m), whose norm is the ℓ2\ell^2ℓ2 norm (the hypothesis ∥vi∥≤1\lVert v_i \rVert \le 1∥vi​∥≤1 reads ‖v i‖ ≤ 1); the ℓ∞\ell^\inftyℓ∞ conclusion written coordinatewise as ∀ j, |∑ i, ε i * v i j| ≤ K, avoiding any auxiliary sup-norm structure; sign vectors as real vectors with ε i = 1 ∨ ε i = -1; and set systems as matrices A : Fin m → Fin n → ℝ with an entrywise 0/10/10/1 hypothesis and column-degree counted by Set.ncard. Quantifier order matters everywhere: in KomlosBound K the constant is fixed before nnn and mmm — a KKK depending on nnn would make the statement the trivial n\sqrt{n}n​ bound. In beck_fiala the hypothesis t≥1t \ge 1t≥1 is required (the degree-000 system has discrepancy 0>2t−10 > 2t-10>2t−1 otherwise); the Banaszczyk-form bounds use log⁡(n+2)\log(n+2)log(n+2) so that the bound is positive already at n≤1n \le 1n≤1. In the Bansal–Jiang milestones the asymptotic O~\tilde{O}O~ and Ω\OmegaΩ are rendered by existential constants quantified before all instances: the hidden poly(log⁡log⁡n)\mathrm{poly}(\log\log n)poly(loglogn) factor becomes (log⁡log⁡(n+8))γ(\log\log(n+8))^{\gamma}(loglog(n+8))γ for some fixed γ>0\gamma > 0γ>0 (the inner shift +8+8+8 keeps the iterated logarithm positive), and the threshold t=Ω(log⁡2n)t = \Omega(\log^2 n)t=Ω(log2n) becomes C0log⁡2(n+2)≤tC_0 \log^2(n+2) \le tC0​log2(n+2)≤t for some fixed C0>0C_0 > 0C0​>0.

Welcome contributions: any milestone in any order — beck_fiala and komlos_implies_beck_fiala are self-contained finite arguments and the natural entry points; spencer_six_deviations and banaszczyk_bound each import a major technique; komlos_lower_bound needs an explicit construction and a case analysis over all sign vectors. Reusable infrastructure — partial colorings, Gaussian measure bounds for convex bodies, hereditary discrepancy — is welcome as platform theorems. The matrix Spencer conjecture, prefix discrepancy, and the Steinitz problem are related but deliberately left to future missions.

Selected references

  • J. Beck, T. Fiala, "Integer-making" theorems, Discrete Applied Mathematics 3 (1981). doi:10.1016/0166-218X(81)90022-6
  • J. Spencer, Six standard deviations suffice, Trans. Amer. Math. Soc. 289 (1985). doi:10.1090/S0002-9947-1985-0784009-0
  • W. Banaszczyk, Balancing vectors and Gaussian measures of n-dimensional convex bodies, Random Structures & Algorithms 12 (1998). doi link
  • N. Bansal, D. Dadush, S. Garg, An algorithm for Komlós conjecture matching Banaszczyk's bound, FOCS 2016 / SIAM J. Comput. arXiv:1605.02882
  • N. Bansal, H. Jiang, Decoupling via affine spectral-independence: Beck–Fiala and Komlós bounds beyond Banaszczyk, 2025. arXiv:2508.03961
  • D. Kunisky, The discrepancy of unsatisfiable matrices and a lower bound for the Komlós conjecture constant, SIAM J. Discrete Math. 37 (2023). arXiv:2111.02974
  • B. Chazelle, The Discrepancy Method, Cambridge University Press, 2000. author's page
24 thms7 active usersReviewed
Convex OptimizationOperations ResearchOptimization·Captain: mikedeng1

Convexity and Steinitz's Exchange Property II: The Local Supermodularity Theorem for the Concave ConjugateResearch Paper

Motivation

Matroids and their integral generalizations, integral base polytopes, are the combinatorial structures on which the greedy algorithm is exact. Edmonds' theory relates them to submodular and supermodular set functions: a polytope is a base polytope exactly when its support function, restricted to 0/10/10/1 vectors, is supermodular and the greedy formula evaluates it everywhere. Dress and Wenzel's valuated matroids (1990) and Murota's M-concave functions carry the exchange axiom from sets to functions on sets. This paper (Adv. Math. 124, 1996) sets up the resulting theory of discrete concave functions on base sets, later developed into discrete convex analysis (Murota, Discrete Convex Analysis, SIAM 2003).

The question behind this mission is how the set-level correspondence between exchange and supermodularity extends to functions. Section 5 of the paper answers it with the Local Supermodularity Theorem: the exchange property of a function is a supermodularity property of its concave conjugate, holding locally at every point.

Setting

Let VVV be a finite nonempty set, n=∣V∣n=|V|n=∣V∣. For u∈Vu\in Vu∈V let χu∈ZV\chi_u\in\mathbb Z^Vχu​∈ZV be the unit vector, for X⊆VX\subseteq VX⊆V let χX\chi_XχX​ be its characteristic vector, x(X)=∑v∈Xx(v)x(X)=\sum_{v\in X}x(v)x(X)=∑v∈X​x(v), and ⟨p,x⟩=∑vp(v)x(v)\langle p,x\rangle=\sum_v p(v)x(v)⟨p,x⟩=∑v​p(v)x(v). For a finite B⊆ZVB\subseteq\mathbb Z^VB⊆ZV, B‾\overline BB is its convex hull.

A finite integral base set is a finite nonempty B⊆ZVB\subseteq\mathbb Z^VB⊆ZV such that

(B1)x,y∈B, u∈supp⁡+(x−y) ⇒ ∃v∈supp⁡−(x−y): x−χu+χv∈B.\text{(B1)}\quad x,y\in B,\ u\in\operatorname{supp}^+(x-y)\ \Rightarrow\ \exists v\in\operatorname{supp}^-(x-y):\ x-\chi_u+\chi_v\in B.(B1)x,y∈B, u∈supp+(x−y) ⇒ ∃v∈supp−(x−y): x−χu​+χv​∈B.

A function ω:B→R\omega:B\to\mathbb Rω:B→R satisfies the exchange property (EXC) (is M-concave) if for x,y∈Bx,y\in Bx,y∈B and u∈supp⁡+(x−y)u\in\operatorname{supp}^+(x-y)u∈supp+(x−y) there is v∈supp⁡−(x−y)v\in\operatorname{supp}^-(x-y)v∈supp−(x−y) with x−χu+χv, y+χu−χv∈Bx-\chi_u+\chi_v,\ y+\chi_u-\chi_v\in Bx−χu​+χv​, y+χu​−χv​∈B and ω(x)+ω(y)≤ω(x−χu+χv)+ω(y+χu−χv)\omega(x)+\omega(y)\le\omega(x-\chi_u+\chi_v)+\omega(y+\chi_u-\chi_v)ω(x)+ω(y)≤ω(x−χu​+χv​)+ω(y+χu​−χv​). Write ω[p](x)=ω(x)+⟨p,x⟩\omega[p](x)=\omega(x)+\langle p,x\rangleω[p](x)=ω(x)+⟨p,x⟩ and argmax⁡(g)\operatorname{argmax}(g)argmax(g) for the maximizers of ggg on BBB.

The support function of BBB is ψ∘(p)=min⁡{⟨p,x⟩∣x∈B}\psi^\circ(p)=\min\{\langle p,x\rangle\mid x\in B\}ψ∘(p)=min{⟨p,x⟩∣x∈B}. A positively homogeneous h:RV→Rh:\mathbb R^V\to\mathbb Rh:RV→R is "matroidal" if

  • (C1) X↦h(χX)X\mapsto h(\chi_X)X↦h(χX​) is supermodular, and
  • (C2) h(p)=∑j=1n(pj−pj+1) h(χVj)h(p)=\sum_{j=1}^n(p_j-p_{j+1})\,h(\chi_{V_j})h(p)=∑j=1n​(pj​−pj+1​)h(χVj​​) whenever V={v1,…,vn}V=\{v_1,\dots,v_n\}V={v1​,…,vn​} with p(v1)≥⋯≥p(vn)p(v_1)\ge\dots\ge p(v_n)p(v1​)≥⋯≥p(vn​), pj=p(vj)p_j=p(v_j)pj​=p(vj​), Vj={v1,…,vj}V_j=\{v_1,\dots,v_j\}Vj​={v1​,…,vj​}, pn+1=0p_{n+1}=0pn+1​=0.

The concave conjugate is ω∘(p)=min⁡{⟨p,x⟩−ω(x)∣x∈B}\omega^\circ(p)=\min\{\langle p,x\rangle-\omega(x)\mid x\in B\}ω∘(p)=min{⟨p,x⟩−ω(x)∣x∈B}, the concave closure is ω^(b)=inf⁡p{⟨p,b⟩−ω∘(p)}\hat\omega(b)=\inf_p\{\langle p,b\rangle-\omega^\circ(p)\}ω^(b)=infp​{⟨p,b⟩−ω∘(p)}, the subdifferential is ∂ω∘(p0)={b∣ω∘(p)−ω∘(p0)≤⟨p−p0,b⟩ ∀p}\partial\omega^\circ(p_0)=\{b\mid\omega^\circ(p)-\omega^\circ(p_0)\le\langle p-p_0,b\rangle\ \forall p\}∂ω∘(p0​)={b∣ω∘(p)−ω∘(p0​)≤⟨p−p0​,b⟩ ∀p}, and the localization of ω∘\omega^\circω∘ at p0p_0p0​ is L^(ω∘,p0)(p)=inf⁡{⟨p,b⟩∣b∈∂ω∘(p0)}\hat L(\omega^\circ,p_0)(p)=\inf\{\langle p,b\rangle\mid b\in\partial\omega^\circ(p_0)\}L^(ω∘,p0​)(p)=inf{⟨p,b⟩∣b∈∂ω∘(p0​)}.

Formalization targets

Goal: the Local Supermodularity Theorem (Theorem 5.3, corrected)

For ω\omegaω on a finite integral base set BBB,

ω satisfies (EXC)  ⟺  (ω=ω^ on B) and (L^(ω∘,p0) is "matroidal" for every p0∈RV).\omega\ \text{satisfies (EXC)}\iff\Big(\omega=\hat\omega\ \text{on}\ B\Big)\ \text{and}\ \Big(\hat L(\omega^\circ,p_0)\ \text{is "matroidal" for every}\ p_0\in\mathbb R^V\Big).ω satisfies (EXC)⟺(ω=ω^ on B) and (L^(ω∘,p0​) is "matroidal" for every p0​∈RV).

The printed Theorem 5.3 has only the second condition on the right. Its "only if" direction holds as printed; its "if" direction is false without the first condition, and a separate item of the mission states the counterexample: B={(2,0),(1,1),(0,2)}B=\{(2,0),(1,1),(0,2)\}B={(2,0),(1,1),(0,2)}, ω=(0,−10,0)\omega=(0,-10,0)ω=(0,−10,0).

Milestones

  1. Theorem 2.1: (B1) is equivalent to BBB being the integer points of an integral submodular (equivalently, supermodular) system, whose defining function is determined by BBB.
  2. Theorem 5.1: if B=ZV∩B‾B=\mathbb Z^V\cap\overline BB=ZV∩B, then BBB satisfies (B1) iff ψ∘\psi^\circψ∘ is "matroidal".
  3. Lemma 5.2: sums of "matroidal" functions are "matroidal".
  4. Theorem 4.4: (EXC) holds iff every argmax⁡(ω[p])\operatorname{argmax}(\omega[p])argmax(ω[p]) satisfies (B1).
  5. Eq. (5.12): L^(ω∘,p0)(p)=min⁡{⟨p,x⟩∣x∈argmax⁡(ω[−p0])}\hat L(\omega^\circ,p_0)(p)=\min\{\langle p,x\rangle\mid x\in\operatorname{argmax}(\omega[-p_0])\}L^(ω∘,p0​)(p)=min{⟨p,x⟩∣x∈argmax(ω[−p0​])}.

Significance

The result. Theorem 5.3 is the function-level version of Theorem 5.1. Condition (C1) is a supermodularity condition, so the theorem expresses (EXC) as "a collection of local supermodularity" properties of ω∘\omega^\circω∘, in the same way that (B1) corresponds to supermodularity of a support function. In the paper this characterization of the conjugate side underlies the Fenchel-type duality of Section 6, and more generally the conjugacy between M-concave and L-convex functions in discrete convex analysis.

The formalization. No part of this theory is formalized in Lean or on this platform: base sets, (EXC), "matroidal" functions and concave conjugates of functions on base sets are all new. The mission also corrects the published statement: the reduction from localizations to base sets needs every integer point of conv⁡(argmax⁡ ω[−p0])\operatorname{conv}(\operatorname{argmax}\,\omega[-p_0])conv(argmaxω[−p0​]) to be a maximizer, and the concave-closure condition supplies this. A machine-checked proof would settle both the corrected theorem and the counterexample. Theorem 2.1 and Lemma 5.2 are classical but have no formal proof either.

Difficulty

ω∘\omega^\circω∘ depends only on the concave closure ω^\hat\omegaω^, so any characterization of (EXC) through ω∘\omega^\circω∘ alone cannot see values of ω\omegaω below ω^\hat\omegaω^. That is why the goal needs the extra clause. The "only if" direction needs the full theory of Section 4: M-concave functions coincide with their concave closure, and all their maximizer sets are base sets. Theorem 5.1 needs the greedy algorithm on integral base polytopes, together with the fact that the base polytope of an integral supermodular function has integral vertices. Theorem 2.1 is the folklore statement that polyhedral and exchange descriptions agree, and the paper does not prove it. Eq. (5.12) needs the subdifferential of a finite minimum of affine functions to be the convex hull of the active gradients, stated globally rather than only near p0p_0p0​.

Formalization scope

Integer vectors are V → ℤ, real vectors V → ℝ, with [Fintype V] [DecidableEq V] [Nonempty V]. A finite subset of ZV\mathbb Z^VZV is a Finset (V → ℤ). A function on BBB is a total function (V → ℤ) → ℝ whose values off BBB are never used. The mission commits to the following readings:

  • Minima. ψ∘\psi^\circψ∘, ω∘\omega^\circω∘ are real infima over the finite set BBB, hence minima for nonempty BBB (every statement has BBB nonempty). ω^\hat\omegaω^ is a real infimum used only at points of BBB, where it is bounded below.
  • Localization. L^\hat LL^ is a real sInf over the subdifferential, defined by (5.8)–(5.9) exactly, not by the formula (5.12). Eq. (5.12) is stated with IsLeast, so it asserts attainment, not just the value.
  • (C2). It is required for every bijection Fin n ≃ V along which ppp is non-increasing. This is equivalent to "for some" such indexing. "Matroidal" includes positive homogeneity but not concavity.
  • Theorem 2.1. The page's "∀X⊂V\forall X\subset V∀X⊂V" is read as all X⊆VX\subseteq VX⊆V. The set functions are integer-valued, and "Moreover" is read strongly: every fff (resp. ggg) as in (b) (resp. (c)) equals the displayed max (resp. min).
  • Theorem 4.4. "argmax⁡(ω[p])‾\overline{\operatorname{argmax}(\omega[p])}argmax(ω[p])​ is an integral base polytope" is read as "argmax⁡(ω[p])\operatorname{argmax}(\omega[p])argmax(ω[p]) satisfies (B1)", following Lemma 4.3 and the proof of Theorem 5.3. The literal convex-hull reading makes the "if" direction false (same counterexample).
  • Theorem 5.1 keeps the page's hypothesis B=ZV∩B‾B=\mathbb Z^V\cap\overline BB=ZV∩B.

Trivializing formalizations are ruled out. Defining L^\hat LL^ by (5.12) would reduce the goal to Theorems 4.4 and 5.1. A "matroidal" without (C2) would be satisfied by support functions of non-base sets. An ω∘\omega^\circω∘ taken as a supremum would reverse the sign conventions.

The development needs: the greedy algorithm and integrality for integral base polytopes, supergradients of polyhedral concave functions, and the Section 4 results of the paper (concave closure of M-concave functions, Lemma 4.3). The base-set and "matroidal" layers can be reused beyond this mission. Proofs of any milestone, of the counterexample, and a proof of the "only if" direction on its own are all welcome.

Selected references

  • K. Murota, Convexity and Steinitz's exchange property, Advances in Mathematics 124 (1996), 272–311. https://doi.org/10.1006/aima.1996.0084
  • A. W. M. Dress, W. Wenzel, Valuated matroids: a new look at the greedy algorithm, Applied Mathematics Letters 3 (1990), 33–35.
  • S. Fujishige, Submodular Functions and Optimization, 2nd ed., Annals of Discrete Mathematics 58, Elsevier, 2005.
  • L. Lovász, Submodular functions and convexity, in Mathematical Programming: The State of the Art, Springer, 1983, 235–257. https://doi.org/10.1007/978-3-642-68874-4_10
  • K. Murota, Discrete Convex Analysis, SIAM, 2003. https://doi.org/10.1137/1.9780898718508
15 thms6 active usersReviewed
Captain: Lucas

Erdős Problem 77: the limit of R(k)^(1/k)Open Problem

Motivation

The diagonal Ramsey number R(k)R(k)R(k) is the least nnn such that every red/blue colouring of the edges of the complete graph KnK_nKn​ contains a monochromatic copy of KkK_kKk​. Ramsey's theorem guarantees that R(k)R(k)R(k) is finite; the question of how fast it grows is one of the central problems of extremal and probabilistic combinatorics. Erdős asked repeatedly ([Er88], [Er93]; see erdosproblems.com/77) for the value of

lim⁡k→∞R(k)1/k.\lim_{k\to\infty} R(k)^{1/k}.k→∞lim​R(k)1/k.

It is not even known whether this limit exists.

Timeline.

  • 1935 — Erdős and Szekeres prove R(k)≤(2k−2k−1)R(k)\le\binom{2k-2}{k-1}R(k)≤(k−12k−2​), so R(k)≤4kR(k)\le 4^{k}R(k)≤4k and lim sup⁡kR(k)1/k≤4\limsup_k R(k)^{1/k}\le 4limsupk​R(k)1/k≤4 ([ES35]).
  • 1947 — Erdős proves R(k)>2k/2R(k) > 2^{k/2}R(k)>2k/2 for k≥3k\ge 3k≥3 by a counting (probabilistic) argument, so lim inf⁡kR(k)1/k≥2\liminf_k R(k)^{1/k}\ge\sqrt2liminfk​R(k)1/k≥2​ ([Er47]).
  • 1975 — Spencer improves the lower bound by a factor of 222: R(k)≥(1+o(1))2e k 2k/2R(k)\ge(1+o(1))\frac{\sqrt2}{e}\,k\,2^{k/2}R(k)≥(1+o(1))e2​​k2k/2 ([Sp75]). The exponential base 2\sqrt22​ has not been improved since.
  • 2009, 2023 — Conlon ([Co09]) and then Sah ([Sa23]) obtain super-polynomial savings over 4k4^k4k, but still with exponential base 444.
  • 2023 — Campos, Griffiths, Morris and Sahasrabudhe prove R(k)≤(4−ε)kR(k)\le(4-\varepsilon)^kR(k)≤(4−ε)k for some constant ε>0\varepsilon>0ε>0 and all large kkk: the first exponential improvement on the upper bound ([CGMS23]).
  • 2024 — Gupta, Ndiaye, Norin and Wei optimise the CGMS method and obtain R(k)≤3.8k+o(k)R(k)\le 3.8^{k+o(k)}R(k)≤3.8k+o(k) ([GNNW24]). Balister et al. extend exponential improvements to the multicolour setting ([BBCGHMST24]).

So today, if the limit exists, it lies in [2, 3.8][\sqrt2,\,3.8][2​,3.8].

Setting

For n∈Nn\in\mathbb Nn∈N consider simple graphs GGG on the vertex set {0,…,n−1}\{0,\dots,n-1\}{0,…,n−1}. A red/blue colouring of the edges of KnK_nKn​ is the same as such a graph GGG (the red edges) together with its complement GcG^{c}Gc (the blue edges). A kkk-clique of GGG is a set of exactly kkk vertices, any two of which are adjacent in GGG. Define

R(k)=min⁡{ n∈N: every graph G on n vertices has a k-clique in G or in Gc }.R(k)=\min\bigl\{\,n\in\mathbb N:\ \text{every graph } G \text{ on } n \text{ vertices has a } k\text{-clique in } G \text{ or in } G^{c}\,\bigr\}.R(k)=min{n∈N: every graph G on n vertices has a k-clique in G or in Gc}.

In the Lean development this is Erdos77.diagonalRamsey k. Small values: R(0)=0R(0)=0R(0)=0, R(1)=1R(1)=1R(1)=1, R(2)=2R(2)=2R(2)=2, R(3)=6R(3)=6R(3)=6, R(4)=18R(4)=18R(4)=18.

Formalization targets

Goal: existence of the limit

∃ L∈R:R(k)1/k ⟶ L(k→∞).\exists\,L\in\mathbb R:\qquad R(k)^{1/k}\ \longrightarrow\ L\qquad (k\to\infty).∃L∈R:R(k)1/k ⟶ L(k→∞).

The original problem asks for the value of the limit, which is unknown; a goal with a hard-coded value cannot be stated honestly. The goal therefore asserts only that the limit exists (as a real number). Determining LLL remains the ultimate aim; any proof of a specific value would in particular prove this goal.

Milestones (results from the literature)

  1. Erdős 1947: R(k)>2k/2R(k)>2^{k/2}R(k)>2k/2 for all k≥3k\ge 3k≥3.
  2. Spencer 1975: for every ε>0\varepsilon>0ε>0, eventually R(k)≥(1−ε)2e k 2k/2R(k)\ge(1-\varepsilon)\frac{\sqrt2}{e}\,k\,2^{k/2}R(k)≥(1−ε)e2​​k2k/2.
  3. Erdős–Szekeres 1935: R(k)≤(2k−2k−1)R(k)\le\binom{2k-2}{k-1}R(k)≤(k−12k−2​) for all k≥1k\ge1k≥1.
  4. Campos–Griffiths–Morris–Sahasrabudhe 2023: there is ε>0\varepsilon>0ε>0 with R(k)≤(4−ε)kR(k)\le(4-\varepsilon)^kR(k)≤(4−ε)k for all sufficiently large kkk.
  5. Gupta–Ndiaye–Norin–Wei 2024: for every δ>0\delta>0δ>0, eventually R(k)≤3.8(1+δ)kR(k)\le 3.8^{(1+\delta)k}R(k)≤3.8(1+δ)k, i.e. R(k)≤3.8k+o(k)R(k)\le 3.8^{k+o(k)}R(k)≤3.8k+o(k).

Significance

The result itself. Existence of the limit would say that diagonal Ramsey numbers have a well-defined exponential growth rate — a regularity statement that is currently unknown in either direction. Even the bounds 2≤lim inf⁡\sqrt2\le\liminf2​≤liminf and lim sup⁡≤3.8\limsup\le 3.8limsup≤3.8 are the products of decades of work, and the lower bound base 2\sqrt22​ has resisted improvement since 1947.

Formalizing it. The goal is open. The milestones are proved results in the literature; the classical ones (Erdős–Szekeres, Erdős 1947) are natural first formalization targets, and the recent upper bounds (CGMS, GNNW) are substantial formalization projects in their own right. The status of existing machine-checked formalizations of these results is not asserted here.

Difficulty

There is no known sub- or super-multiplicativity for R(k)R(k)R(k) that would give existence of the limit via Fekete's lemma: the natural product constructions relate R(kℓ)R(k\ell)R(kℓ) to R(k)R(k)R(k) and R(ℓ)R(\ell)R(ℓ) only with losses that are too large, and the best lower and upper bounds come from entirely different methods (random colourings versus the book algorithm), so neither side controls the other.

Formalization scope

  • R(k)R(k)R(k) is defined as an infimum over nnn of the property "every graph on Fin n\mathrm{Fin}\,nFinn has a kkk-clique in GGG or in GcG^{c}Gc". Lean's sInf of an empty set of naturals is 000; the Erdős–Szekeres milestone shows the set is nonempty, so the infimum is the genuine Ramsey number.
  • R(k)1/kR(k)^{1/k}R(k)1/k is the real power of the real number R(k)R(k)R(k) with exponent 1/k1/k1/k; the value at k=0k=0k=0 is irrelevant for the limit.
  • The limit is required to be a real number LLL; given the known bounds this loses nothing.
  • Asymptotic statements ("for all sufficiently large kkk") are expressed with the atTop filter on N\mathbb NN; "o(k)o(k)o(k)" in GNNW is encoded as "for every δ>0\delta>0δ>0, eventually with exponent (1+δ)k(1+\delta)k(1+δ)k".
  • Needed infrastructure: basic Ramsey theory for graphs on Fin n, binomial estimates, the probabilistic method for the lower bounds (Spencer uses the Lovász Local Lemma), and the CGMS book algorithm for the upper bounds. All of these are reusable beyond this mission.

Selected references

  • [Er47] P. Erdős, Some remarks on the theory of graphs, Bull. Amer. Math. Soc. 53 (1947), 292–294. https://doi.org/10.1090/S0002-9904-1947-08785-1
  • [ES35] P. Erdős and G. Szekeres, A combinatorial problem in geometry, Compositio Math. 2 (1935), 463–470. http://www.numdam.org/item/CM_1935__2__463_0/
  • [Sp75] J. Spencer, Ramsey's theorem — a new lower bound, J. Combin. Theory Ser. A 18 (1975), 108–115. https://doi.org/10.1016/0097-3165(75)90071-0
  • [Co09] D. Conlon, A new upper bound for diagonal Ramsey numbers, Ann. of Math. 170 (2009), 941–960. https://doi.org/10.4007/annals.2009.170.941
  • [Sa23] A. Sah, Diagonal Ramsey via effective quasirandomness, Duke Math. J. 172 (2023). https://arxiv.org/abs/2005.09251
  • [CGMS23] M. Campos, S. Griffiths, R. Morris, J. Sahasrabudhe, An exponential improvement for diagonal Ramsey, arXiv:2303.09521 (2023). https://arxiv.org/abs/2303.09521
  • [GNNW24] P. Gupta, N. Ndiaye, S. Norin, L. Wei, Optimizing the CGMS upper bound on Ramsey numbers, arXiv:2407.19026 (2024). https://arxiv.org/abs/2407.19026
  • [BBCGHMST24] P. Balister, B. Bollobás, M. Campos, S. Griffiths, E. Hurley, R. Morris, J. Sahasrabudhe, M. Tiba, Upper bounds for multicolour Ramsey numbers, arXiv:2410.17197 (2024). https://arxiv.org/abs/2410.17197
  • [Er88] P. Erdős, Problems and results in combinatorial analysis and graph theory, Discrete Math. 72 (1988), 81–92.
  • [Er93] P. Erdős, Some of my favorite solved and unsolved problems in graph theory, Quaestiones Math. 16 (1993), 333–350.
  • Erdős Problems, Problem #77. https://www.erdosproblems.com/77
66 thms5 active usersReviewed
Captain: Lucas

Erdős Problem 20: The Sunflower ConjectureOpen Problem

Motivation

A sunflower (also called a Δ\DeltaΔ-system) with kkk petals is a family of kkk sets whose pairwise intersections are all equal to one common set, the kernel. In 1960 Erdős and Rado proved the sunflower lemma: every sufficiently large family of nnn-element sets contains a sunflower with kkk petals, and they asked how large "sufficiently large" must be (Erdős–Rado 1960). The conjecture that the threshold is only exponential in nnn is one of Erdős' best-known problems in extremal combinatorics; it is listed as Erdős Problem 20, and Erdős offered a $1000 prize for it. Sunflower bounds are used, for example, in Razborov's monotone circuit lower bounds and in the study of set systems with restricted intersections.

Timeline.

  • 1960 — Erdős and Rado prove (k−1)n<f(n,k)≤(k−1)n n!+1(k-1)^n < f(n,k) \le (k-1)^n\, n! + 1(k−1)n<f(n,k)≤(k−1)nn!+1 and conjecture f(n,k)≤ck nf(n,k) \le c_k^{\,n}f(n,k)≤ckn​ (ErRa60).
  • 2019 — Alweiss, Lovett, Wu and Zhang prove f(n,k)≤(Ck3log⁡nlog⁡log⁡n)nf(n,k) \le (C k^3 \log n \log\log n)^nf(n,k)≤(Ck3lognloglogn)n, the first bound of the form (log⁡n)n(1+o(1))(\log n)^{n(1+o(1))}(logn)n(1+o(1)) for fixed kkk (arXiv:1908.08483).
  • 2020 — Rao simplifies the argument via Shannon's noiseless coding theorem and obtains (αklog⁡(kn))n(\alpha k \log(kn))^n(αklog(kn))n (arXiv:1909.04774); Tao gives an entropy proof of the same bound.
  • 2021 — Bell, Chueluecha and Warnke obtain f(n,k)≤(Cklog⁡n)nf(n,k) \le (C k \log n)^nf(n,k)≤(Cklogn)n for n,k≥2n,k \ge 2n,k≥2 (arXiv:2009.09327).

The conjecture itself remains open, even for k=3k = 3k=3.

Setting

Fix natural numbers nnn (the uniformity) and kkk (the number of petals). A family F\mathcal FF of sets is nnn-uniform if every member of F\mathcal FF has exactly nnn elements. A subfamily S⊆F\mathcal S \subseteq \mathcal FS⊆F is a kkk-sunflower if ∣S∣=k|\mathcal S| = k∣S∣=k and there is a set YYY with A∩B=YA \cap B = YA∩B=Y for all distinct A,B∈SA, B \in \mathcal SA,B∈S.

The sunflower threshold f(n,k)f(n,k)f(n,k) is the least natural number mmm such that every nnn-uniform family F\mathcal FF (over any ground set) with ∣F∣≥m|\mathcal F| \ge m∣F∣≥m contains a kkk-sunflower.

Formalization targets

Goal — the sunflower conjecture (Erdős Problem 20)

∃ c:N→N∀n≥1, ∀k:f(n,k)<ck n.\exists\, c:\mathbb N\to\mathbb N\quad \forall n \ge 1,\ \forall k:\qquad f(n,k) < c_k^{\,n}.∃c:N→N∀n≥1, ∀k:f(n,k)<ckn​.

The constants ckc_kck​ are left unspecified; only the exponential shape in nnn is asked for. A disproof (the negation of this statement) would equally settle the problem.

Milestones from the literature

  1. Erdős–Rado upper bound: f(n,k)≤(k−1)n n!+1f(n,k) \le (k-1)^n\, n! + 1f(n,k)≤(k−1)nn!+1 for n≥1n \ge 1n≥1, k≥2k \ge 2k≥2.
  2. Erdős–Rado lower bound: (k−1)n<f(n,k)(k-1)^n < f(n,k)(k−1)n<f(n,k) for n≥1n \ge 1n≥1, k≥2k \ge 2k≥2.
  3. Rao's bound: there is α>1\alpha > 1α>1 with f(n,k)≤(αklog⁡(kn))n+1f(n,k) \le (\alpha k \log(kn))^n + 1f(n,k)≤(αklog(kn))n+1 for n≥1n \ge 1n≥1, k≥2k \ge 2k≥2.
  4. Bell–Chueluecha–Warnke bound: there is C≥4C \ge 4C≥4 with f(n,k)≤(Cklog⁡n)nf(n,k) \le (C k \log n)^nf(n,k)≤(Cklogn)n for n,k≥2n, k \ge 2n,k≥2.

A supporting sanity check, f(0,1)=1f(0,1) = 1f(0,1)=1, is taken from the source formalization.

Significance

A positive answer would show that sunflower-free nnn-uniform families have at most exponential size, the correct order of magnitude by the Erdős–Rado lower bound; this would sharpen every application that currently loses a log⁡n\log nlogn factor per coordinate, including monotone circuit lower bounds. A negative answer would show the (log⁡n)n(\log n)^n(logn)n-type bounds of 2019–2021 are essentially the truth.

On the formal side, the Erdős–Rado upper bound has a Lean formalization recorded in the source file; the lower-bound construction and the spread-family / coding arguments behind the Rao and Bell–Chueluecha–Warnke bounds are, as far as this proposal records, not yet formalized. Formalizing them produces reusable infrastructure on spread families and random-subset (or entropy) arguments.

Difficulty

The classical induction on nnn (pick a maximal family of pairwise disjoint members; if it is small, some element lies in many members, recurse on the link) loses a factor of about nnn at each of nnn steps, which is where n!n!n! comes from. The modern arguments replace the recursion by an analysis of spread families, but each still loses a factor log⁡n\log nlogn per level, and no known technique removes it. The case k=3k = 3k=3 is already open.

Formalization scope

  • The ground set is an arbitrary type in the lowest universe; set families are Set (Set α) and sizes are measured with Set.ncard, which returns 000 on infinite sets. Consequently, for n≥1n \ge 1n≥1 only finite members can be "nnn-element", and the condition m≤∣F∣m \le |\mathcal F|m≤∣F∣ with m≥1m \ge 1m≥1 only applies to finite families. All targets assume n≥1n \ge 1n≥1 (except the sanity check), so the n=0n = 0n=0 quirks do not affect them.
  • f(n,k)f(n,k)f(n,k) is defined as an infimum over natural numbers; if no admissible mmm existed the infimum would be 000. The Erdős–Rado upper bound shows the admissible set is non-empty for n≥1n \ge 1n≥1.
  • Logarithms are natural logarithms; changing the base only rescales the unspecified constants.
  • The goal is stated as the positive claim of the conjecture, not as a yes/no answer(·) statement.

Contributions of general lemmas on sunflowers, spread families and the Erdős–Rado construction are welcome and reusable beyond this mission.

Selected references

  • P. Erdős, R. Rado, Intersection theorems for systems of sets, J. London Math. Soc. 35 (1960), 85–90. doi:10.1112/jlms/s1-35.1.85
  • R. Alweiss, S. Lovett, K. Wu, J. Zhang, Improved bounds for the sunflower lemma, Annals of Mathematics 194 (2021). arXiv:1908.08483
  • A. Rao, Coding for sunflowers, Discrete Analysis 2020:2. arXiv:1909.04774
  • T. Bell, S. Chueluecha, L. Warnke, Note on sunflowers, Discrete Mathematics 344 (2021). arXiv:2009.09327
  • Erdős Problem 20. erdosproblems.com/20
15 thms5 active usersReviewed
Graph Theory·Captain: hao jia

P3-Partitions of Cubic 3-Connected Graphs (OPG-46613)Open Problem

Motivation

A P3P_3P3​-packing in a graph is a collection of pairwise vertex-disjoint paths on three vertices. Determining the largest such packing is NP-hard even in restricted graph classes, so structural hypotheses that force an optimal packing are of independent interest in graph factor theory. The present question asks whether 3-vertex-connectivity and cubicity force the strongest possible packing whenever the vertex count permits a perfect partition.

A. Kelmans attributes the broader packing problem to 1984. In Problem 1.10 of Packing 3-vertex Paths in Cubic 3-connected Graphs, the question is whether every cubic 3-connected graph GGG satisfies λ(G)=⌊∣V(G)∣/3⌋\lambda(G)=\lfloor |V(G)|/3\rfloorλ(G)=⌊∣V(G)∣/3⌋. Theorem 3.1 of that paper proves that the divisible-order factor statement is equivalent to several apparently stronger deletion and prescribed-edge statements; it does not prove the open claim itself. OPG-46613 records the divisible-order form targeted here.

A 2026 candidate analysis in the Vibe Mathing problem repository investigated a tempting sufficient route: find a perfect matching whose complementary 2-factor has every cycle length divisible by three. Candidate C01 explains why that condition would yield a P3P_3P3​-factor. Candidate C02 gives an explicit proposed family HqH_qHq​ of order 18+12q18+12q18+12q that has P3P_3P3​-factors but is claimed not to satisfy the stronger matching condition. These candidate claims have computational and partial Lean checks, but no complete Lean kernel proof; they are milestones here, not declarations that the original problem or the candidate family has already been formally established.

Setting

All graphs are finite and simple. A graph is cubic when every vertex has exactly three neighbors. It is 3-vertex-connected here when it has at least four vertices and deleting any set of at most two vertices leaves a connected induced graph.

A P3P_3P3​-factor is represented by a natural number bbb, together with a bijection

Fin⁡(b)×Fin⁡(3)≃V(G),\operatorname{Fin}(b)\times\operatorname{Fin}(3)\simeq V(G),Fin(b)×Fin(3)≃V(G),

such that, in every block, positions 000 and 111 are adjacent and positions 111 and 222 are adjacent. The path is not required to be induced: an ambient edge between positions 000 and 222 is allowed because the two selected path edges still form a copy of P3P_3P3​.

A 2-factor is a spanning 2-regular subgraph. It is called divisible when every one of its connected components has order divisible by three. A divisible matching complement is a perfect matching MMM such that the relative complement G∖MG\setminus MG∖M is a divisible 2-factor.

The explicit graph HqH_qHq​ is defined on Fin⁡(18+12q)\operatorname{Fin}(18+12q)Fin(18+12q). Its first nine vertices form the fixed Petersen-minus-one-vertex brick from C02; the remaining vertices form the stated cycle-and-opposite-chord brick with three joining edges. The full adjacency relation is part of the Lean definition rather than an external data file.

Formalization targets

Main goal

For every finite simple graph GGG,

(G cubic)∧(G 3-vertex-connected)∧3∣∣V(G)∣⟹G has a P3-factor.\bigl(G\text{ cubic}\bigr)\land \bigl(G\text{ 3-vertex-connected}\bigr)\land 3\mid |V(G)| \quad\Longrightarrow\quad G\text{ has a }P_3\text{-factor}.(G cubic)∧(G 3-vertex-connected)∧3∣∣V(G)∣⟹G has a P3​-factor.

This is the OPG-46613 target. Cubicity forces the order to be even, so within this domain divisibility by three is equivalent to divisibility by six.

Literature and route milestones

The mission also formalizes the (z1)⇔(z8)(z1)\Leftrightarrow(z8)(z1)⇔(z8) part of Kelmans's Theorem 3.1: the divisible-order factor claim is equivalent to the assertion that deleting any specified 3-vertex path leaves a P3P_3P3​-factor. Two route lemmas state that divisible 2-factors split into P3P_3P3​-factors and that, in cubic graphs, divisible 2-factors are equivalent to divisible perfect-matching complements.

Candidate boundary milestones

The C02 milestones ask first for the complete 18-vertex statement and then for the full family:

∀q∈N,Hq is cubic and 3-vertex-connected, has a P3-factor, and has no divisible matching complement.\forall q\in\mathbb N,\quad H_q\text{ is cubic and 3-vertex-connected, has a }P_3\text{-factor, and has no divisible matching complement}.∀q∈N,Hq​ is cubic and 3-vertex-connected, has a P3​-factor, and has no divisible matching complement.

This separates a sufficient method from the root conclusion. It is not a counterexample to OPG-46613 because every HqH_qHq​ in the proposed family explicitly satisfies the desired P3P_3P3​ conclusion.

Significance

A proof of the main goal would settle the divisible-order form of a long-standing path-packing problem. Through Kelmans's equivalences it would also control several deletion and prescribed-edge variants for cubic 3-connected graphs. A disproof would require a graph satisfying all domain hypotheses but lacking a P3P_3P3​-factor; the C02 family does not claim this.

Formalizing the candidate boundary is useful even before the root is resolved. It turns a route exclusion into a checkable theorem and prevents a search campaign from silently assuming that every relevant graph possesses a divisible complementary 2-factor. The definitions of noninduced P3P_3P3​-factors, vertex connectivity by deletion, perfect matchings, 2-factors, and component-order divisibility are intended to be reusable in later graph-factor work.

Difficulty

The perfect-matching route is attractive because the complement of a perfect matching in a cubic graph is 2-regular. The obstruction is that its cycles need not have lengths divisible by three. The C02 candidate family is designed to expose exactly that gap: a persistent 5-cycle is claimed to occur in every complementary 2-factor even though an unrelated P3P_3P3​-factor exists. Consequently, proving the main theorem cannot simply assume that a favorable perfect matching always exists.

The formal difficulty is also semantic. Connectivity must mean vertex connectivity, the complement must be relative to GGG on the same vertex set, component sizes must refer to the 2-factor rather than the ambient graph, and P3P_3P3​ must remain noninduced. Weakening any of these points can create a materially different or vacuous theorem.

Formalization scope

The development targets Lean 4.33.1 and Mathlib revision 0df444a360eaa60ab8c11dca51a86af692955474. Graphs use SimpleGraph on finite vertex types. Degree is the cardinality of the actual neighbor subtype. Three-vertex-connectivity explicitly quantifies over all finite deletion sets of cardinality at most two and includes a four-vertex order guard.

The main theorem is universe-polymorphic and does not hard-code a finite graph enumeration. The HqH_qHq​ family includes q=0q=0q=0. The factor structure uses a bijection, so disjointness and coverage cannot be discharged by duplicate or omitted vertices. Ambient chords do not invalidate a block, while both required consecutive adjacencies must be genuine graph edges. The candidate family statements remain open theorem goals ending in sorry; the shared definition module itself is sorry-free.

Welcome contributions include proofs of the model lemmas, the finite H0H_0H0​ statement, the general C02 family, Kelmans's equivalence, or decompositions of the root theorem into faithful reusable lemmas. Numerical enumeration alone is supporting evidence and should not be presented as a kernel proof.

Selected references

  • A. Kelmans, Packing 3-vertex Paths In Cubic 3-connected Graphs, arXiv:0910.2766v2, 2011, Problem 1.10 (p. 3) and Theorem 3.1 (pp. 7–8). https://arxiv.org/abs/0910.2766v2
  • UnsolvedMath, OPG-46613: P3-partitions of cubic 3-connected graphs. https://www.unsolvedmath.com/problems/OPG-46613
  • Vibe Mathing, C01: divisible-cycle implication and a 30-vertex obstruction, fixed repository revision 14b8dc64ac2d89c98cf3a2bbb2fcba76ced0df6a. https://github.com/vibemathing/problem-opg-46613-cubic-p3-partition/blob/14b8dc64ac2d89c98cf3a2bbb2fcba76ced0df6a/research/artifacts/candidates/opg46613-c01/proof.md
  • Vibe Mathing, C02: an 18-vertex obstruction and an infinite family with P3-factors, fixed repository revision 14b8dc64ac2d89c98cf3a2bbb2fcba76ced0df6a. https://github.com/vibemathing/problem-opg-46613-cubic-p3-partition/blob/14b8dc64ac2d89c98cf3a2bbb2fcba76ced0df6a/research/artifacts/candidates/opg46613-c02/proof.md
16 thms5 active usersReviewed
Linear Optimization·Captain: Shuze Chen

The Polynomial Hirsch ConjectureOpen Problem

Motivation

The simplex method walks along edges of a polytope from vertex to vertex. Whether any pivot rule could ever make that walk short in the worst case is governed by a prior, purely geometric question: how far apart, in the edge graph, can two vertices of a polytope be? Warren Hirsch conjectured in 1957 that the diameter of a ddd-dimensional polytope with nnn facets is at most n−dn - dn−d. Half a century of upper bounds stalled at quasi-polynomial, and Santos disproved the conjecture itself in 2012 — but only by a constant factor. The surviving question, the subject of the Polymath 3 project, is the polynomial Hirsch conjecture: is the diameter bounded by a polynomial in nnn and ddd?

Timeline

  • 1957. Hirsch states the conjecture diam≤n−d\mathrm{diam} \le n - ddiam≤n−d in a letter to Dantzig, who publishes it in Linear Programming and Extensions (1963).
  • 1964–1966. Klee determines the exact maximum diameter of 333-polytopes with nnn facets, ⌊2n/3⌋−1\lfloor 2n/3\rfloor - 1⌊2n/3⌋−1 — the Hirsch bound holds up to dimension three.
  • 1967. Klee and Walkup (Acta Math.) refute the unbounded-polyhedron version, prove the bounded conjecture for n−d≤5n - d \le 5n−d≤5, and reduce the general case to the ddd-step conjecture (n=2dn = 2dn=2d).
  • 1970. Larman (Proc. LMS) proves diam≤n 2d−3\mathrm{diam} \le n\,2^{d-3}diam≤n2d−3 — linear in the number of facets for each fixed dimension, still the best bound of that shape.
  • 1989. Naddef (Math. Programming) proves 0/10/10/1-polytopes satisfy the Hirsch bound, with diameter at most ddd.
  • 1992. Kalai and Kleitman (Bull. AMS) prove diam≤nlog⁡2d+2\mathrm{diam} \le n^{\log_2 d + 2}diam≤nlog2​d+2 in under a page — the quasi-polynomial barrier every later bound refines. The same year brings subexponential pivot rules (Kalai; Matoušek–Sharir–Welzl), the algorithmic counterpart.
  • 2010. Eisenbrand, Hähnle, Razborov, and Rothvoß (Math. OR) show the known upper-bound arguments survive in a purely combinatorial abstraction — which admits almost-quadratic lower bounds, so a polynomial bound must use real geometry. Kalai launches Polymath 3 on the polynomial version.
  • 2010–2012. Santos (Annals of Math.) disproves the Hirsch conjecture: a 434343-dimensional polytope with 868686 facets and diameter at least 444444, via spindles of large width.
  • 2014–2019. Todd (SIAM J. Discrete Math.) sharpens Kalai–Kleitman to (n−d)log⁡2d(n-d)^{\log_2 d}(n−d)log2​d; Sukegawa refines further. Matschke, Santos, and Weibel (Proc. LMS 2015) shrink the counterexample to dimension 202020 with 404040 facets and diameter 212121. All known violations remain constant-factor; all known bounds remain quasi-polynomial.

Setting

Work in Rd\mathbb{R}^dRd. An H-polytope is a set cut out by finitely many linear inequalities: given vectors a1,…,an∈Rda_1, \dots, a_n \in \mathbb{R}^da1​,…,an​∈Rd and reals b1,…,bnb_1, \dots, b_nb1​,…,bn​, it is

P  =  { x∈Rd∣⟨ai,x⟩≤bi for i=1,…,n },P \;=\; \{\, x \in \mathbb{R}^d \mid \langle a_i, x\rangle \le b_i \text{ for } i = 1, \dots, n \,\},P={x∈Rd∣⟨ai​,x⟩≤bi​ for i=1,…,n},

where ⟨ai,x⟩=∑j=1daijxj\langle a_i, x\rangle = \sum_{j=1}^d a_{ij} x_j⟨ai​,x⟩=∑j=1d​aij​xj​ is the standard inner (dot) product — so each condition ⟨ai,x⟩≤bi\langle a_i, x\rangle \le b_i⟨ai​,x⟩≤bi​ is one linear inequality, with normal vector aia_iai​ and offset bib_ibi​. Throughout, PPP is assumed nonempty and bounded. The parameter nnn counts the inequalities in the given description; since every polytope with fff facets admits a description by exactly fff inequalities, bounds stated in terms of nnn over all descriptions are equivalent to bounds in terms of facet counts.

A vertex of PPP is an extreme point. Two vertices u≠vu \ne vu=v are adjacent when the segment [u,v][u, v][u,v] is an extreme subset of PPP; for a polytope the convex extreme subsets are exactly the faces, so this says precisely that [u,v][u,v][u,v] is a one-dimensional face — an edge. The combinatorial diameter of PPP is the diameter of the graph of vertices and edges. Throughout, "diameter at most BBB" is expressed as: every two vertices are joined by a walk of BBB steps, each step staying put or crossing an edge — a form that is monotone in BBB and asserts connectivity of the graph (Balinski's theorem) as part of the claim.

Formalization targets

Goal — the polynomial Hirsch conjecture

∃ c,k∈N: every nonempty bounded P={x∈Rd∣⟨ai,x⟩≤bi, i≤n} has diameter≤c (n+d)k.\exists\, c, k \in \mathbb{N}:\ \text{every nonempty bounded } P = \{x \in \mathbb{R}^d \mid \langle a_i, x \rangle \le b_i,\ i \le n\} \text{ has diameter} \le c\,(n + d)^k.∃c,k∈N: every nonempty bounded P={x∈Rd∣⟨ai​,x⟩≤bi​, i≤n} has diameter≤c(n+d)k.

Every polynomial in nnn and ddd is dominated by some c(n+d)kc(n+d)^kc(n+d)k and conversely, so this is exactly polynomiality, with no committed degree — the form that survives any future sharpening of constants or exponents.

Milestones — the known ladder

Six classical results over the same definitions: the Hirsch bound n−dn - dn−d in dimension d≤3d \le 3d≤3 (Klee; Klee–Walkup); Larman's bound n⋅2d−3n \cdot 2^{d-3}n⋅2d−3; Naddef's bound ddd for 0/10/10/1-polytopes; the Kalai–Kleitman bound nlog⁡2d+2n^{\log_2 d + 2}nlog2​d+2; Todd's bound (n−d)log⁡2d(n-d)^{\log_2 d}(n−d)log2​d for full-dimensional PPP with n≥d≥3n \ge d \ge 3n≥d≥3; and — in the other direction — the Santos counterexample: a nonempty bounded H-polytope whose diameter exceeds n−dn - dn−d.

Significance

A polynomial diameter bound is necessary for any pivot rule of the simplex method to run in polynomial time in the worst case: if vertices can be super-polynomially far apart, no edge-following algorithm can connect them quickly. A refutation would close off one of the main hoped-for routes to a strongly polynomial linear programming algorithm (Smale's ninth problem). The conjecture is also the test question of polyhedral graph theory: the Kalai–Kleitman argument uses so little about polytopes that it holds for far more general set systems, and Eisenbrand, Hähnle, Razborov, and Rothvoß (Math. OR 2010) showed such abstractions admit almost-quadratic lower bounds — so a proof of the conjecture must use geometry the abstract setting lacks, and a disproof must beat the abstraction barrier's constructions with actual polytopes.

None of these results has been formalized in any proof assistant; Mathlib has extreme points and faces of convex sets, but no polytope combinatorics — no vertex-edge graph, no diameter, no facet counting. This mission builds that layer: an H-polytope model, adjacency via faces, and walk-based diameter bounds, against which both the upper-bound ladder and the Santos disproof can be machine-checked. The Kalai–Kleitman proof is one page from first principles and is the natural summit; the Santos construction is a concrete finite object whose verification is a different, computational kind of challenge.

Difficulty

The naive approach — walk toward the target vertex by always improving some linear objective — is exactly the simplex method, and proving any polynomial bound on such walks is open for every known pivot rule; monotone variants of the diameter question have exponential lower bounds. The obvious inductive strategy (bound the diameter by recursing on facets) is precisely what Kalai–Kleitman optimizes, and it provably cannot go below quasi-polynomial without using metric or topological properties of actual polytopes, by the abstraction lower bound above. On the other side, making diameters large is blocked by the wedge/spindle calculus only producing constant-factor violations. The problem sits in a genuine gap: no technique on either side is known to reach polynomial.

Formalization scope

The Lean model commits to: ambient space EuclideanSpace ℝ (Fin d); the polytope as Hpoly a b = {x | ∀ i, ⟪a i, x⟫ ≤ b i} for a : Fin n → EuclideanSpace ℝ (Fin d), b : Fin n → ℝ, with nonemptiness and Bornology.IsBounded as explicit hypotheses (boundedness is essential: Klee–Walkup's unbounded counterexample would otherwise trivialize the Santos milestone); vertices as Set.extremePoints ℝ; adjacency as u ≠ v ∧ IsExtreme ℝ P (segment ℝ u v); and diameter bounds as the walk predicate DiamLE, whose stationary steps make it monotone in the bound. Real-exponent bounds enter through Real.logb and the natural floor. In larman_bound and the two Hirsch-form bounds the subtraction is natural-number (truncated) subtraction, which only weakens nothing: the stated forms are true as written for all n,dn, dn,d in scope. The dimension parameter ddd is the ambient dimension; lower-dimensional polytopes are included, and every milestone is stated so as to remain true for them, with todd_bound requiring full-dimensionality ((interior P).Nonempty) as in its source.

Welcome contributions: any milestone in any order (dimension_three_bound for d≤1d \le 1d≤1 cases and structural lemmas about Adj and DiamLE are natural entry points, and kalai_kleitman_bound is the summit); reusable infrastructure — polytopes have finitely many extreme points, faces of H-polytopes, Balinski connectivity — published as platform theorems; and, as a separate expedition, the explicit Santos or Matschke–Santos–Weibel polytope. Statements about unbounded polyhedra, the simplex method itself, and subexponential pivot rules are left to future missions.

Selected references

  • V. Klee, D. Walkup, The d-step conjecture for polyhedra of dimension d < 6, Acta Math. 117 (1967). doi:10.1007/BF02392971
  • D. Larman, Paths on polytopes, Proc. London Math. Soc. 20 (1970). doi:10.1112/plms/s3-20.2.249
  • D. Naddef, The Hirsch conjecture is true for (0,1)-polytopes, Math. Programming 45 (1989). doi:10.1007/BF01589418
  • G. Kalai, D. Kleitman, A quasi-polynomial bound for the diameter of graphs of polyhedra, Bull. AMS 26 (1992). arXiv:math/9204233
  • F. Santos, A counterexample to the Hirsch conjecture, Annals of Mathematics 176 (2012). arXiv:1006.2814
  • M. Todd, An improved Kalai–Kleitman bound for the diameter of a polyhedron, SIAM J. Discrete Math. 28 (2014). arXiv:1402.3579
  • B. Matschke, F. Santos, C. Weibel, The width of five-dimensional prismatoids, Proc. London Math. Soc. 110 (2015). arXiv:1202.4701
  • F. Eisenbrand, N. Hähnle, A. Razborov, T. Rothvoß, Diameter of polyhedra: limits of abstraction, Math. Oper. Res. 35 (2010). doi:10.1287/moor.1100.0470
  • F. Santos, Recent progress on the combinatorial diameter of polytopes and simplicial complexes, TOP 21 (2013) (survey). arXiv:1307.5900
81 thms5 active usersReviewed
Convex OptimizationDiscrete GeometryOperations Research+1·Captain: Shuze Chen

Discrete Convex Analysis XXII: Convex Extensibility of M-Convex FunctionsTextbook

Motivation

A discrete function defined only on the integer lattice cannot, by itself, be minimized by the tools of continuous optimization — gradients and convexity in the classical sense simply do not apply. Murota's theory of M-convex functions closes this gap by showing that the exchange axiom alone, a purely combinatorial condition, is enough to guarantee that a discrete function behaves exactly like a convex one: its minimizers form a well-structured (M-convex) set, it can be extended to a genuine convex function on real space without gaining any new local minima, and its behavior under a change of price vector (in the economic interpretation where the function is a cost and its argument a bundle of goods) satisfies the same gross substitutes law economists have studied since Kelso and Crawford's matching-market models. This mission develops the second half of that connection: from local optimality (established in the companion mission) to the full structural picture — minimizer sets, price-substitution laws, and the extension of M-convex functions to genuine convex functions in real variables.

Companion mission 06-mconvex-functions-i (Discrete Convex Analysis V) and sibling mission 22-ch06b-mconvexfunctions (Discrete Convex Analysis XXI) cover this chapter's optimality theory (the M-optimality criterion, the exchange axiom as sequential improvement) and its algebraic toolkit (domain operations, worked examples). This mission builds the vocabulary those results also need (redeclared here, since sibling drafts cannot yet import one another) and proves the results on minimizer structure, gross substitutability, and convex extension that this chapter's remaining sections develop: the M-convexity of minimizer sets, the gross substitutes and stepwise gross substitutes properties and their characterizing role, a minimizer-cut theorem with scaling, integral convexity of M♮-convex functions, and — this mission's goal — the theorem characterizing M-convexity entirely through the polyhedral structure of a function's convex extension.

Setting

Fix a finite ground set VVV. For f:ZV→R∪{+∞}f : \mathbb Z^V \to \mathbb R \cup \{+\infty\}f:ZV→R∪{+∞} with nonempty effective domain, write f[p](x)=f(x)−⟨p,x⟩f[p](x) = f(x) - \langle p,x \ranglef[p](x)=f(x)−⟨p,x⟩ for the linear reweighting by p∈RVp \in \mathbb R^Vp∈RV, and arg⁡min⁡g={x:g(x)≤g(y) ∀y}\arg\min g = \{x : g(x) \le g(y)\ \forall y\}argming={x:g(x)≤g(y) ∀y} for the minimizer set of any function ggg. The convex closure fˉ(x)\bar f(x)fˉ​(x) of fff at a real point xxx is the infimum, over finite convex combinations of points of dom⁡f\operatorname{dom} fdomf representing xxx, of the corresponding combination of function values; fff is convex extensible if fˉ\bar ffˉ​ agrees with fff on ZV\mathbb Z^VZV, and integrally convex if fˉ(x)\bar f(x)fˉ​(x) can always be computed using only points from xxx's own integral neighborhood N(x)N(x)N(x) (the integer vectors within one unit of xxx in every coordinate). A polyhedral convex function g:RV→R∪{+∞}g : \mathbb R^V \to \mathbb R \cup \{+\infty\}g:RV→R∪{+∞} is (polyhedral) M-convex if it satisfies the real-variable exchange axiom (M-EXC[R]): for x,y∈dom⁡Rgx,y \in \operatorname{dom}_{\mathbb R} gx,y∈domR​g and u∈supp⁡+(x−y)u \in \operatorname{supp}^+(x-y)u∈supp+(x−y), some v∈supp⁡−(x−y)v \in \operatorname{supp}^-(x-y)v∈supp−(x−y) and α0>0\alpha_0 > 0α0​>0 make the exchange inequality hold for every α∈[0,α0]\alpha \in [0,\alpha_0]α∈[0,α0​].

Formalization targets

Goal: convex extensibility characterizes M-convexity

For f:ZV→R∪{+∞}f : \mathbb Z^V \to \mathbb R \cup \{+\infty\}f:ZV→R∪{+∞} with nonempty effective domain,

f is M-convex  ⟺  (f is convex extensible)∧(∀p∈RV, arg⁡min⁡fˉ[−p] is an M-convex polyhedron, if nonempty),f \text{ is M-convex} \iff \bigl(f \text{ is convex extensible}\bigr) \wedge \bigl(\forall p \in \mathbb R^V,\ \arg\min \bar f[-p] \text{ is an M-convex polyhedron, if nonempty}\bigr),f is M-convex⟺(f is convex extensible)∧(∀p∈RV, argminfˉ​[−p] is an M-convex polyhedron, if nonempty),

with the M♮-analogue using M♮-convex polyhedra (Theorem 6.43). This is the weakest stable form: it characterizes M-convexity purely by properties of the (unique) convex closure, without reference to any specific algorithm for computing it or any bound on the polyhedron's complexity.

Supporting structural targets

Ten further results build the toolkit this goal draws on and the picture it completes: the M-convexity of minimizer sets (Proposition 6.29), the gross substitutes and stepwise gross substitutes properties and the theorems showing they characterize M-convexity and M♮-convexity among convex-extensible functions (Propositions 6.32-6.33, 6.35, Theorems 6.34, 6.36), a minimizer-cut theorem with scaling used algorithmically in Chapter 10 (Theorem 6.39), integral convexity of M♮-convex functions (Theorem 6.42), a shared-coefficient convex-combination theorem for pairs of M♮-convex functions used in Chapter 8's separation theorem (Theorem 6.44), and the polyhedral-M-convexity of an M-convex function's convex extension together with the correspondence between polyhedral M♮-convexity and the real exchange axiom (Theorems 6.45, 6.47).

Significance

Theorem 6.43 is what makes the whole edifice of M-convex function theory a genuine extension of M-convex set theory (chapters 4-5) rather than a separate parallel development: it says that knowing a function's convex extension is polyhedral, with every price-weighted minimizer set an M-convex polyhedron, is not merely a consequence of M-convexity but an exact characterization of it. This is the theorem that lets later results (the discrete conjugacy theorem of Chapter 8, the separation theorems for M♮-convex functions) move freely between the discrete and continuous pictures. The gross substitutes property (Propositions 6.32-6.36) is independently significant outside this book: it is the exact condition, discovered independently in mathematical economics (Kelso-Crawford, Gul-Stacchetti), under which competitive equilibria with indivisible goods are guaranteed to exist — Murota's theorem that gross substitutability characterizes M-convexity (among convex-extensible functions) is what unifies the economic and combinatorial literatures on this question, taken up again in Chapter 11.

None of these results are open — they are Murota's systematic account of a theory with roots in matroid theory, submodular optimization, and mathematical economics. What this mission contributes is a faithful, machine-checked formal statement of each, extending the shared Lean vocabulary (MExchangeAxiom, ConvexClosureVal, ArgMinOn) the Discrete Convex Analysis series builds on; no comparable formalization exists on the platform (see Formalization scope).

Difficulty

The forward direction of Theorem 6.43 (M-convex   ⟹  \implies⟹ convex extensible with polyhedral minimizers) is comparatively direct given Theorem 6.42 and Proposition 6.29. The converse is substantial: it must show that a function whose weighted minimizer sets are all M-convex polyhedra — a purely global, polyhedral condition — satisfies the local exchange axiom (M-EXCloc[Z]), and the book's proof does this by an edge-direction argument on the polyhedron B=arg⁡min⁡fB = \arg\min fB=argminf: every edge of an M-convex polyhedron must be parallel to some χu−χv\chi_u - \chi_vχu​−χv​, a fact borrowed from the combinatorial structure of chapter 4's base polyhedra applied to a carefully perturbed weight vector. No shortcut through convex analysis alone succeeds, because ordinary polyhedral theory says nothing about which combinatorial directions a polyhedron's edges must follow — that content comes entirely from the M-convexity of the minimizer sets, not from convexity of the closure by itself.

Formalization scope

Ground-set elements are a Fintype V with DecidableEq; functions are (V→ℤ)→WithTop ℝ (integer domain) or (V→ℝ)→WithTop ℝ (real domain, for the polyhedral theorems). The convex closure is built directly from finite convex-combination representations rather than an abstract closure operator, and integral convexity compares it against the same construction restricted to each point's integral neighborhood (Fintype.piFinset of per-coordinate Finset.Icc). Real M-convex/M♮-convex polyhedra are defined as convex hulls of M-convex/M♮-convex integer sets, reusing chapters 4-5's own characterization. The real-variable exchange axioms (Theorems 6.45, 6.47) are formalized from the book's primal (interval-of-α\alphaα) definition, not the directional-derivative reformulation (M-EXC'[R]); Theorem 6.47's own three-way equivalence is correspondingly stated with only its first two legs (see Difficulty and MODERATION_NOTES.md/HARD.md — this is a documented scope choice, not a trivializing omission, since the six results using the primal axiom already exercise the chapter's real- variable machinery in full). No numeric constants are hard-coded anywhere in this mission beyond the book's own literal coefficients in Theorem 6.39's cut bound ((n-1)(α-1)). This mission's definitions are redeclared from chunks 06-mconvex-functions-i and 22-ch06b-mconvexfunctions rather than imported, since sibling drafts in this series cannot yet reference one another. Contributions completing any of the twelve sorrys are welcome; the goal's converse direction and Theorem 6.44's shared-coefficient construction carry the most independent proof content.

Selected references

  • K. Murota, Discrete Convex Analysis, SIAM, 2003. DOI: 10.1137/1.9780898718508.
  • A. S. Kelso Jr. and V. P. Crawford, "Job matching, coalition formation, and gross substitutes," Econometrica, 50 (1982), pp. 1483-1504.
  • F. Gul and E. Stacchetti, "Walrasian equilibrium with gross substitutes," Journal of Economic Theory, 87 (1999), pp. 95-124.
47 thms4 active usersReviewed
Graph TheoryOptimization·Captain: hao jia

Clique Partitions of Chordal Graphs (Erdos Problem 81)Open Problem

Motivation

An edge partition into cliques compresses the adjacency structure of a graph into complete pieces without allowing any edge to be counted twice. Erdős Problem 81 asks for the asymptotically sharp upper bound on the number of pieces needed when the graph is chordal. Chordal graphs have strong elimination structure, but that structure does not make the partition parameter additive under arbitrary edge deletion, and obtaining a linear error term remains substantially stronger than identifying the leading quadratic coefficient.

Erdős, Ordman, and Zalcstein studied clique partitions of chordal graphs in 1993. Their examples already exhibit the n2/6n^2/6n2/6 scale, while their general upper estimate had a larger quadratic coefficient. Later dense-packing results of Haxell–Rödl and Yuster compare fractional and integer triangle packings with an o(n2)o(n^2)o(n2) gap. The project candidate combines that interface with chordal elimination arguments to formulate a uniform n2/6+o(n2)n^2/6+o(n^2)n2/6+o(n2) milestone. It does not supply the O(n)O(n)O(n) remainder asked for by the root.

Setting

A finite simple graph is chordal when it has no induced cycle of length greater than three. The Lean definition uses the equivalent perfect-elimination form: vertices admit an injective ranking such that the later neighbors of every vertex form a clique.

An edge partition into cliques is a finite family P\mathcal PP of complete vertex sets such that every edge of GGG belongs to exactly one member of P\mathcal PP. Members may share vertices but may not share edges. Write cp⁡(G)\operatorname{cp}(G)cp(G) for the minimum possible number of pieces.

The asymptotic notation

n26+O(n)\frac{n^2}{6}+O(n)6n2​+O(n)

means that there are constants C>0C>0C>0 and n0≥1n_0\ge1n0​≥1, chosen independently of GGG and nnn, such that every chordal nnn-vertex graph with n≥n0n\ge n_0n≥n0​ has a clique partition with at most n2/6+Cnn^2/6+Cnn2/6+Cn pieces.

Formalization targets

Erdős Problem 81

The root theorem is

∃C>0 ∃n0≥1 ∀n≥n0 ∀G chordal on n vertices,cp⁡(G)≤n26+Cn.\exists C>0\ \exists n_0\ge1\ \forall n\ge n_0\ \forall G\text{ chordal on }n\text{ vertices}, \qquad \operatorname{cp}(G)\le \frac{n^2}{6}+Cn.∃C>0 ∃n0​≥1 ∀n≥n0​ ∀G chordal on n vertices,cp(G)≤6n2​+Cn.

The quantifier order is essential: CCC and n0n_0n0​ are universal and cannot depend on the graph.

Leading-coefficient milestone

The supporting target records the weaker uniform statement

∀ε>0 ∃n0 ∀n≥n0 ∀G chordal on n vertices,cp⁡(G)≤(16+ε)n2.\forall\varepsilon>0\ \exists n_0\ \forall n\ge n_0\ \forall G\text{ chordal on }n\text{ vertices}, \qquad \operatorname{cp}(G)\le \left(\frac16+\varepsilon\right)n^2.∀ε>0 ∃n0​ ∀n≥n0​ ∀G chordal on n vertices,cp(G)≤(61​+ε)n2.

This is the precise n2/6+o(n2)n^2/6+o(n^2)n2/6+o(n2) form. It is not equivalent to the root: choosing ε=1/n\varepsilon=1/nε=1/n is invalid because the cutoff may depend on the fixed value of ε\varepsilonε.

Significance

The root would determine the clique-partition extremum for chordal graphs up to a linear remainder, matching the scale of the complete-split examples that motivate the coefficient 1/61/61/6. It would refine a leading-order asymptotic theorem into a uniform estimate strong enough to distinguish second-order behavior.

Formalization creates a clean interface among perfect elimination orderings, exact edge partitions, fractional edge-and-triangle decompositions, and integer triangle packings. It also forces the proof to distinguish a partition from a cover and original graph order from the order of any auxiliary hypergraph. These definitions can support other decomposition problems on chordal and split graphs.

Difficulty

Perfect elimination does not by itself give the sharp partition count. Greedily taking maximal cliques may overlap in edges or accumulate too many singleton pieces. Similarly, a fractional edge-and-triangle partition can achieve the right leading coefficient while integer rounding loses o(n2)o(n^2)o(n2) pieces; the root requires that loss to be only O(n)O(n)O(n).

The dense-packing theorem has quantifiers of the form “for every fixed ε>0\varepsilon>0ε>0 there exists N(ε)N(\varepsilon)N(ε).” It therefore yields a uniform subquadratic error but no linear error. Any proof of the root must add a chordal-specific rounding or extremal reduction rather than treating the general packing theorem as if its ε\varepsilonε could vary with nnn.

Formalization scope

Graphs are finite and simple. Chordality is encoded by existence of a perfect-elimination ranking, including disconnected and edgeless graphs. A clique piece is a finite vertex set that spans a complete subgraph. Exactness means every actual edge occurs in exactly one piece; no nonedge can occur inside a piece. Bounds are compared in R\mathbb RR so the displayed asymptotic expressions retain their conventional form, while the number of parts remains a natural number.

The candidate derivation of the leading coefficient imports finite linear-programming duality and the Haxell–Rödl/Yuster fixed-triangle packing approximation. It is candidate_only, not an admitted result or kernel proof. Contributions may formalize the perfect-elimination lemmas, the fractional compression, the uniform packing interface, complete-split lower examples, or the root linear rounding theorem. A result for edge-and-triangle pieces only, a fractional partition, or one fixed order must not be presented as the unrestricted integer clique-partition theorem.

Selected references

  • P. Erdős, E. T. Ordman, and Y. Zalcstein, Clique Partitions of Chordal Graphs, Combinatorics, Probability and Computing 2(4), 1993. https://doi.org/10.1017/S0963548300000808
  • P. E. Haxell and V. Rödl, Integer and Fractional Packings in Dense Graphs, Combinatorica 21, 2001. https://doi.org/10.1007/s004930170003
  • R. Yuster, Integer and fractional packing of families of graphs, 2003. https://arxiv.org/abs/math/0305350
  • Erdős Problems, Problem 81. https://www.erdosproblems.com/81
16 thms4 active usersReviewed
Machine LearningOperations Research·Captain: mikedeng1

How Much Data Is Sufficient to Learn High-Performing Algorithms? Generalization Guarantees for Data-Driven Algorithm Design 1: Pseudo-Dimension Bound from a Piecewise-Decomposable Dual ClassResearch Paper

Motivation

Many algorithms in operations research and computer science have tunable parameters: sequence-alignment weights, clustering linkage interpolations, branch-and-bound branching rules, auction reserve prices. In data-driven algorithm design the parameters are chosen by optimizing average performance over a training set of problem instances drawn from an unknown application-specific distribution. The question this mission is about is statistical: how many training instances suffice for the empirical average performance of every parameter setting to be close to its expected performance?

Classical learning theory answers this through the pseudo-dimension of the class of utility functions (Pollard, 1984): a bound on the pseudo-dimension gives a uniform convergence bound of order H(Pdim+ln⁡(1/δ))/NH\sqrt{(\mathrm{Pdim} + \ln(1/\delta))/N}H(Pdim+ln(1/δ))/N​. The difficulty is that utility functions of combinatorial algorithms are wildly discontinuous in the parameters, so standard tools (Lipschitz arguments, linear classes) do not apply. Balcan, DeBlasio, Dick, Kingsford, Sandholm and Vitercik (arXiv:1908.02894v4, STOC 2021) observed that for a large family of algorithms the utility on each fixed instance is a piecewise-structured function of the parameters, and proved a single general theorem converting that structure into a pseudo-dimension bound. Earlier analyses (for example Gupta and Roughgarden 2017; Balcan, Nagarajan, Vitercik and White 2017) derived such bounds one algorithm family at a time; Theorem 3.3 unifies them.

Setting

Let X\mathcal XX be a set of problem instances and U⊆RX\mathcal U \subseteq \mathbb R^{\mathcal X}U⊆RX a class of utility functions; in the paper U={uρ:ρ∈P}\mathcal U = \{u_\rho : \rho \in \mathcal P\}U={uρ​:ρ∈P} for a parameter space P⊆Rd\mathcal P \subseteq \mathbb R^dP⊆Rd, with uρ(x)u_\rho(x)uρ​(x) the performance of the algorithm with parameter ρ\rhoρ on instance xxx.

Pseudo-dimension. A class H\mathcal HH of real functions on a domain Y\mathcal YY shatters points y1,…,yNy_1, \dots, y_Ny1​,…,yN​ if there are targets z1,…,zN∈Rz_1, \dots, z_N \in \mathbb Rz1​,…,zN​∈R such that every one of the 2N2^N2N patterns of "above / not above ziz_izi​" at the points yiy_iyi​ is realized by some h∈Hh \in \mathcal Hh∈H. The pseudo-dimension Pdim(H)\mathrm{Pdim}(\mathcal H)Pdim(H) is the largest NNN for which some NNN points are shattered. For {0,1}\{0,1\}{0,1}-valued classes it is the VC-dimension VCdim(H)\mathrm{VCdim}(\mathcal H)VCdim(H).

Dual class (Definition 3.1). For H⊆RY\mathcal H \subseteq \mathbb R^{\mathcal Y}H⊆RY, each y∈Yy \in \mathcal Yy∈Y gives an evaluation map hy∗:H→Rh^*_y : \mathcal H \to \mathbb Rhy∗​:H→R, hy∗(h)=h(y)h^*_y(h) = h(y)hy∗​(h)=h(y), and H∗={hy∗:y∈Y}\mathcal H^* = \{h^*_y : y \in \mathcal Y\}H∗={hy∗​:y∈Y}. For utility functions, ux∗(uρ)=uρ(x)u^*_x(u_\rho) = u_\rho(x)ux∗​(uρ​)=uρ​(x): the dual function of instance xxx records performance on xxx as the algorithm varies.

Piecewise decomposability (Definition 3.2). Given a class G⊆{0,1}Y\mathcal G \subseteq \{0,1\}^{\mathcal Y}G⊆{0,1}Y of boundary functions, a class F⊆RY\mathcal F \subseteq \mathbb R^{\mathcal Y}F⊆RY of piece functions and k∈Nk \in \mathbb Nk∈N, a class H⊆RY\mathcal H \subseteq \mathbb R^{\mathcal Y}H⊆RY is (F,G,k)(\mathcal F, \mathcal G, k)(F,G,k)-piecewise decomposable if every h∈Hh \in \mathcal Hh∈H admits g(1),…,g(k)∈Gg^{(1)}, \dots, g^{(k)} \in \mathcal Gg(1),…,g(k)∈G and, for each bit vector b∈{0,1}k\boldsymbol b \in \{0,1\}^kb∈{0,1}k, some fb∈Ff_{\boldsymbol b} \in \mathcal Ffb​∈F, with h(y)=fby(y)h(y) = f_{\boldsymbol b_y}(y)h(y)=fby​​(y) where by=(g(1)(y),…,g(k)(y))\boldsymbol b_y = (g^{(1)}(y), \dots, g^{(k)}(y))by​=(g(1)(y),…,g(k)(y)). The theorem applies this to H=U∗\mathcal H = \mathcal U^*H=U∗, so F⊆RU\mathcal F \subseteq \mathbb R^{\mathcal U}F⊆RU and G⊆{0,1}U\mathcal G \subseteq \{0,1\}^{\mathcal U}G⊆{0,1}U, and their duals F∗\mathcal F^*F∗, G∗\mathcal G^*G∗ are classes of functions on F\mathcal FF and G\mathcal GG.

Formalization targets

Goal: Theorem 3.3, explicit form

Suppose U∗\mathcal U^*U∗ is (F,G,k)(\mathcal F, \mathcal G, k)(F,G,k)-piecewise decomposable, k≥1k \ge 1k≥1, dF=Pdim(F∗)d_F = \mathrm{Pdim}(\mathcal F^*)dF​=Pdim(F∗), dG=VCdim(G∗)d_G = \mathrm{VCdim}(\mathcal G^*)dG​=VCdim(G∗) and D=dF+dGD = d_F + d_GD=dF​+dG​. With a=D/ln⁡2a = D/\ln 2a=D/ln2 and b=(D+dGln⁡k)/ln⁡2b = (D + d_G\ln k)/\ln 2b=(D+dG​lnk)/ln2,

Pdim(U)≤4aln⁡(2a)+2b=O(Dln⁡D+dGln⁡k).\mathrm{Pdim}(\mathcal U) \le 4a\ln(2a) + 2b = O\bigl(D\ln D + d_G \ln k\bigr).Pdim(U)≤4aln(2a)+2b=O(DlnD+dG​lnk).

This is the explicit bound behind the printed O(⋅)O(\cdot)O(⋅); it is what the paper's proof establishes.

Milestones, in the order the proof uses them

  1. Lemma 3.4. For h1,…,hNh_1, \dots, h_Nh1​,…,hN​ in a {0,1}\{0,1\}{0,1}-valued class H\mathcal HH (N≥1N \ge 1N≥1),
∣{(h1(y),…,hN(y)):y∈Y}∣≤(eN)VCdim(H∗).|\{(h_1(y), \dots, h_N(y)) : y \in \mathcal Y\}| \le (eN)^{\mathrm{VCdim}(\mathcal H^*)}.∣{(h1​(y),…,hN​(y)):y∈Y}∣≤(eN)VCdim(H∗).
  1. Claim 3.5. For instances x1,…,xNx_1, \dots, x_Nx1​,…,xN​, the class U\mathcal UU splits into M≤(ekN)dGM \le (ekN)^{d_G}M≤(ekN)dG​ cells (strictly fewer when dG≥1d_G \ge 1dG​≥1) on each of which every uxi∗u^*_{x_i}uxi​∗​ coincides with one fixed piece function fi∈Ff_i \in \mathcal Ffi​∈F.
  2. Eq. (7). On any cell, fixed piece functions f1,…,fNf_1, \dots, f_Nf1​,…,fN​ realize at most (eN)dF(eN)^{d_F}(eN)dF​ label vectors (1[fi(u)>zi])i(\mathbb 1[f_i(u) > z_i])_i(1[fi​(u)>zi​])i​.
  3. Eq. (5). The whole class realizes at most (ekN)dG(eN)dF(ekN)^{d_G}(eN)^{d_F}(ekN)dG​(eN)dF​ label vectors (1[u(xi)>zi])i(\mathbb 1[u(x_i) > z_i])_i(1[u(xi​)>zi​])i​.
  4. Shattering inequality. If U\mathcal UU shatters x1,…,xNx_1, \dots, x_Nx1​,…,xN​ (N≥1N \ge 1N≥1), then 2N≤(ekN)dG(eN)dF2^N \le (ekN)^{d_G}(eN)^{d_F}2N≤(ekN)dG​(eN)dF​.
  5. Lemma A.1. For a≥1a \ge 1a≥1, b>0b > 0b>0: y<aln⁡y+by < a\ln y + by<alny+b implies y<4aln⁡(2a)+2by < 4a\ln(2a) + 2by<4aln(2a)+2b.

Significance

Theorem 3.3 is the engine behind every generalization guarantee in the paper. It is instantiated for piecewise-constant and piecewise-linear duals over Rd\mathbb R^dRd (Lemmas 3.8–3.10), and through them for sequence alignment, RNA folding, hierarchical clustering, integer programming (branch-and-bound), greedy algorithms and auction design. Combined with the classical uniform convergence bound, it says that O~(H2(D+dGln⁡k)/ε2)\tilde O(H^2(D + d_G\ln k)/\varepsilon^2)O~(H2(D+dG​lnk)/ε2) training instances suffice to tune any such algorithm to within ε\varepsilonε of its optimal expected performance. The matching lower bounds in the paper (Theorems 4.3 and 5.2) show that the bound is tight up to logarithmic factors.

The result is proved in the paper; to the best of available records it has not been machine-checked. The mission formalizes the known proof, including the dual-class version of Sauer's lemma and the counting argument over the partition induced by the boundary functions. The published Sauer's lemma FoundationsML.RademacherVC.sauer_lemma is included as a reference item, as it is the tool Lemma 3.4 cites.

Difficulty

The obvious approach, bounding the pseudo-dimension of U\mathcal UU directly from the complexity of F\mathcal FF and G\mathcal GG, fails: the piecewise structure lives on the dual side, and nothing about F\mathcal FF or G\mathcal GG themselves controls how U\mathcal UU labels instances. The bound has to pass through dual classes twice and through the dual of a dual once, and Sauer's lemma, which counts labelings of fixed points by varying functions, must be applied in the transposed direction. Formally, the counting step needs bookkeeping of label vectors under a partition indexed by kNkNkN boundary functions, and a conversion from a pseudo-dimension bound on F∗\mathcal F^*F∗ to a VC-dimension bound on the thresholded class {(f,z)↦1[f(u)>z]}\{(f, z) \mapsto \mathbb 1[f(u) > z]\}{(f,z)↦1[f(u)>z]}, which needs the observation that a shattered tuple of pairs has distinct first coordinates.

Formalization scope

  • Pseudo- and VC-dimension are the published FoundationsML predicates Shatters, PseudoDim, GrowthFunction, HasVCDim. The exact-value predicates fix finite dimensions dFd_FdF​, dGd_GdG​, which the paper's bound presupposes. "Pdim(U)≤B\mathrm{Pdim}(\mathcal U) \le BPdim(U)≤B" is stated as "every shattered tuple has length at most BBB". {0,1}\{0,1\}{0,1} is Bool.
  • Sign convention. Shattering uses strict thresholds u(xi)>ziu(x_i) > z_iu(xi​)>zi​; the paper leaves sign(0)\mathrm{sign}(0)sign(0) unspecified, and strict and non-strict thresholds shatter the same tuples, so the dimension is unchanged. Label vectors in the counting milestones use the same reading.
  • Domains. The dual classes are classes of functions on the subtype of the primal class. Parameters ρ\rhoρ are indexed by the functions uρu_\rhouρ​ themselves, and Claim 3.5's partition of P\mathcal PP becomes a partition of U\mathcal UU; nothing in the theorem depends on ρ\rhoρ except through uρu_\rhouρ​.
  • Corrections of the printed statements. (i) Theorem 3.3's O(⋅)O(\cdot)O(⋅) is replaced by the explicit bound 4aln⁡(2a)+2b4a\ln(2a) + 2b4aln(2a)+2b derived from the paper's own last step and Lemma A.1, with k≥1k \ge 1k≥1 added (the printed ln⁡k\ln klnk is undefined at k=0k = 0k=0); the case D=0D = 0D=0 is covered, where the bound is 000. (ii) Lemma 3.4 and the counting milestones assume N≥1N \ge 1N≥1; at N=0N = 0N=0 the printed bounds read 1≤01 \le 01≤0. (iii) Claim 3.5's strict M<(ekN)VCdim(G∗)M < (ekN)^{\mathrm{VCdim}(\mathcal G^*)}M<(ekN)VCdim(G∗) is kept for VCdim(G∗)≥1\mathrm{VCdim}(\mathcal G^*) \ge 1VCdim(G∗)≥1 and weakened to ≤\le≤ only when VCdim(G∗)=0\mathrm{VCdim}(\mathcal G^*) = 0VCdim(G∗)=0, where the strict form is false (M=1M = 1M=1). The milestone texts are quoted verbatim.
  • Dropped hypothesis. The range [0,H][0, H][0,H] of the utility functions is not used by the theorem or its proof and is omitted, which makes the statement more general.
  • Ruling out trivializations. The goal carries the explicit constant, never an O(⋅)O(\cdot)O(⋅) with a constant chosen after the classes; the hypotheses are jointly satisfiable on a nontrivial example (one instance, uρ(x)=ρu_\rho(x) = \rhouρ​(x)=ρ, k=1k = 1k=1, dF=1d_F = 1dF​=1, dG=0d_G = 0dG​=0, in which U\mathcal UU does shatter one point), checked by a sorry-free local verification file; all counts are of subsets of {0,1}N\{0,1\}^N{0,1}N, so no cardinality silently defaults to zero.
  • Contributions welcome: proofs of each milestone; a dual-class Sauer lemma reusable for other data-driven design papers; the passage from pseudo-dimension of F∗\mathcal F^*F∗ to the VC-dimension of its thresholded class.

Selected references

  • M.-F. Balcan, D. DeBlasio, T. Dick, C. Kingsford, T. Sandholm, E. Vitercik, How Much Data Is Sufficient to Learn High-Performing Algorithms? Generalization Guarantees for Data-Driven Algorithm Design, STOC 2021; arXiv:1908.02894v4, 2021. https://arxiv.org/abs/1908.02894
  • P. Assouad, Densité et dimension, Annales de l'Institut Fourier 33(3), 1983. https://doi.org/10.5802/aif.938
  • D. Pollard, Convergence of Stochastic Processes, Springer, 1984. https://doi.org/10.1007/978-1-4612-5254-2
  • N. Sauer, On the density of families of sets, Journal of Combinatorial Theory A 13(1), 1972. https://doi.org/10.1016/0097-3165(72)90019-2
  • S. Shalev-Shwartz, S. Ben-David, Understanding Machine Learning: From Theory to Algorithms, Cambridge University Press, 2014. https://doi.org/10.1017/CBO9781107298019
  • R. Gupta, T. Roughgarden, A PAC approach to application-specific algorithm selection, SIAM Journal on Computing 46(3), 2017. https://doi.org/10.1137/15M1050276
14 thms3 active usersReviewed
Operations ResearchProbabilityTheoretical Computer Science·Captain: mikedeng1

A Polylogarithmic-Competitive Algorithm for the k-Server Problem: Randomized k-Server Is O(log² k · log³ n · log log n)-Competitive on Every n-Point MetricResearch Paper

Motivation

The k-server problem (Manasse, McGeoch and Sleator, 1990) is the central problem of online computation: kkk servers sit on points of a metric space, requests arrive one at a time at points of the space, and each request must be served by moving a server to it, at a cost equal to the distance travelled. An online algorithm decides without knowing future requests; its quality is its competitive ratio, the worst-case ratio between its cost and the cost of an optimal offline schedule. Paging (caching) is the special case of a uniform metric, and weighted paging the case of a weighted star.

Timeline of the upper bounds for general metrics:

  • 1990: Manasse, McGeoch and Sleator prove that every deterministic algorithm has ratio at least kkk and conjecture that kkk is achievable.
  • 1991: Fiat, Rabani and Ravid give the first ratio depending on kkk only (exponential in kkk).
  • 1995: Koutsoupias and Papadimitriou prove that the work function algorithm is (2k−1)(2k-1)(2k−1)-competitive.
  • For randomized algorithms against an oblivious adversary, the conjectured answer is O(log⁡k)O(\log k)O(logk), achieved for paging (Fiat et al., 1991), but until 2011 nothing better than the deterministic 2k−12k-12k−1 was known for general metrics, even when the ratio may depend on the number of points nnn.
  • 2011: Bansal, Buchbinder, Mądry and Naor give the first polylogarithmic bound, O(log⁡2klog⁡3nlog⁡log⁡n)O(\log^2 k\log^3 n\log\log n)O(log2klog3nloglogn) (arXiv:1110.1580; J. ACM 62(5), 2015, DOI 10.1145/2783434), the result of this mission.

Setting

Let (M,dist)(M,\mathrm{dist})(M,dist) be a finite metric space with nnn points and kkk a number of servers. A configuration C:{1,…,k}→MC:\{1,\dots,k\}\to MC:{1,…,k}→M places server iii at C(i)C(i)C(i). A deterministic online algorithm maps each prefix of the request sequence to a configuration that has a server at the last request; its cost on a sequence ρ\rhoρ is the total distance travelled. OPT(C0,ρ)\mathrm{OPT}(C_0,\rho)OPT(C0​,ρ) is the least cost of any schedule serving ρ\rhoρ from the initial configuration C0C_0C0​. A randomized algorithm is a probability distribution over deterministic online algorithms, all starting at C0C_0C0​; it is ccc-competitive if there is a constant aaa such that its expected cost on every request sequence ρ\rhoρ is at most c⋅OPT(C0,ρ)+ac\cdot\mathrm{OPT}(C_0,\rho)+ac⋅OPT(C0​,ρ)+a.

The paper works with three auxiliary objects. A σ-HST is a rooted tree whose leaves are the points, in which all edges from a node to its children have one common length, equal to 1/σ1/\sigma1/σ times the length of the edge above that node; the distance between two leaves is the length of the tree path. A weighted σ-HST only requires that the edge above a non-root internal node be at least σ\sigmaσ times each edge below it. In the fractional k-server problem on a tree, the state is a vector xxx of server probabilities on the leaves with 0≤xi≤10\le x_i\le10≤xi​≤1 and ∑ixi=k\sum_i x_i=k∑i​xi​=k, a request at leaf iii forces xi=1x_i=1xi​=1, and moving from xxx to x′x'x′ costs ∑vW(v) ∣xv′−xv∣\sum_v W(v)\,|x'_v-x_v|∑v​W(v)∣xv′​−xv​∣, where xvx_vxv​ is the mass below node vvv and W(v)W(v)W(v) the length of the edge above vvv. In the allocation problem on a weighted star with weights wiw_iwi​, requests carry a location iti^tit, a monotone cost vector ht(0)≥⋯≥ht(k)≥0h^t(0)\ge\dots\ge h^t(k)\ge0ht(0)≥⋯≥ht(k)≥0 (the cost of serving with jjj servers there) and a server quota κ(t)≤k\kappa(t)\le kκ(t)≤k.

Formalization targets

Goal: Theorem 1

There is a universal constant C>0C>0C>0 such that for all k≥2k\ge2k≥2, every metric space MMM with n≥3n\ge3n≥3 points and every initial configuration C0C_0C0​, some randomized online algorithm starting at C0C_0C0​ is

C log⁡2k log⁡3n log⁡log⁡n-competitive.C\,\log^2 k\,\log^3 n\,\log\log n\text{-competitive.}Clog2klog3nloglogn-competitive.

Milestones

In the order the proof uses them:

  1. Claim 15: the fix-stage inequality behind the allocation algorithm's analysis.
  2. Theorem 5: for every 0<ε≤10<\varepsilon\le10<ε≤1, a fractional allocation algorithm whose hit cost is at most (1+ε)(Opt+wmax⁡g(κ))+a(1+\varepsilon)(\mathrm{Opt}+w_{\max}g(\kappa))+a(1+ε)(Opt+wmax​g(κ))+a and whose movement cost is at most O(log⁡(k/ε))(Opt+wmax⁡g(κ))+aO(\log(k/\varepsilon))(\mathrm{Opt}+w_{\max}g(\kappa))+aO(log(k/ε))(Opt+wmax​g(κ))+a, where g(κ)=∑t∣κ(t)−κ(t−1)∣g(\kappa)=\sum_t|\kappa(t)-\kappa(t-1)|g(κ)=∑t​∣κ(t)−κ(t−1)∣.
  3. Theorem 6: given such allocation algorithms, an O(ℓlog⁡(kℓ))O(\ell\log(k\ell))O(ℓlog(kℓ))-competitive fractional k-server algorithm on every weighted σ-HST of depth ℓ\ellℓ with σ=Ω(ℓlog⁡(kℓ))\sigma=\Omega(\ell\log(k\ell))σ=Ω(ℓlog(kℓ)).
  4. Theorem 8: every σ-HST with nnn leaves becomes a weighted σ-HST of depth O(log⁡n)O(\log n)O(logn) on the same leaves, with distances distorted by at most 2σ/(σ−1)2\sigma/(\sigma-1)2σ/(σ−1).
  5. Lemma 25 and Theorem 24: on a σ-HST with σ>5\sigma>5σ>5, randomized states consistent with a changing fractional state can be maintained online at cost O(ct)O(c_t)O(ct​) per step.
  6. Theorem 7: on a σ-HST with σ>5\sigma>5σ>5, a ccc-competitive fractional algorithm yields an O(c)O(c)O(c)-competitive randomized one.

Significance

The theorem broke the exponential gap between the Ω(log⁡k)\Omega(\log k)Ω(logk) lower bound and the 2k−12k-12k−1 upper bound for randomized k-server, and showed that randomization helps on every finite metric, not only on uniform or specially structured ones. Its two-level method (a fractional algorithm on trees driven by per-node allocation problems, followed by an online rounding) became the template for later work, including the O(log⁡2k)O(\log^2 k)O(log2k) bound on HSTs of Bubeck, Cohen, Lee, Lee and Mądry (STOC 2018) and Lee's O(log⁡6k)O(\log^6 k)O(log6k) bound on general metrics (FOCS 2018).

The result is proved, in this paper. As far as is known it has no machine-checked proof. Formalizing it means formalizing the analysis of an online algorithm driven by a continuous-time process, a potential-function argument with exact constants, a tree contraction with a distortion bound, and an online randomized rounding against a transportation cost. The allocation, HST and rounding statements are reusable for other online problems on trees (metrical task systems, weighted paging).

Difficulty

For a deterministic or randomized algorithm on a tree, the natural recursion splits the servers of each node among its children. Coté, Meyerson and Poplawski showed that this works if each node solves an allocation problem with a strong guarantee: hit cost within a factor 1+ε1+\varepsilon1+ε of optimal. Integral allocation algorithms cannot achieve this; the integrality gap example of the paper (p. 8) gives a factor Ω(k)\Omega(k)Ω(k). The fractional relaxation avoids the gap, but then the rounding step must keep a randomized state consistent with a fractional state at constant-factor cost, and the HSTs obtained from general metrics have depth growing with the aspect ratio, which a depth-dependent ratio cannot afford. Each of the three reductions (allocation to fractional k-server, deep HST to shallow weighted HST, fractional to randomized) loses only polylogarithmic or constant factors, and the main theorem needs all three at once.

Formalization scope

The k-server model, randomized algorithms and competitiveness are the published definitions KServer_model and KServer_randomized; competitiveness carries an additive constant fixed before the request sequence. Trees are finite rooted trees with a parent map, a depth function and positive edge lengths; points of the k-server problem are the leaves, and the theorems take an arbitrary finite metric space together with a bijection to the leaves and the hypothesis that the distance equals the tree distance. Fractional k-server states have exactly kkk units of mass, each leaf at most 111, and fractional algorithms are measured against the integral offline optimum. The allocation optimum is the integral optimum; cost vectors are finite, non-negative and non-increasing; the diameter of the star is wmax⁡=max⁡iwiw_{\max}=\max_i w_iwmax​=maxi​wi​. The cost of changing a randomized state is the transportation cost over couplings, with minimum-matching cost between configurations. Every O(⋅)O(\cdot)O(⋅) is an explicit constant quantified before the instance, except that in Theorems 7 and 24 and Lemma 25 it may depend on σ\sigmaσ.

Formalizations that make the targets trivial are excluded: the fractional state must place a full server on every request and stay in [0,1][0,1][0,1], the benchmark is the integral optimum (not the algorithm's own or the fractional cost), and no constant may depend on kkk, nnn, the metric or the tree, since otherwise Theorem 1 would follow from the 2k−12k-12k−1 bound.

The proof of Theorem 1 also uses the embedding of Fakcharoenphol, Rao and Talwar [18] of a finite metric into a distribution over σ-HSTs with expected distortion O(σlog⁡σn)O(\sigma\log_\sigma n)O(σlogσ​n). It is an external ingredient, not a result of this paper, and is not a milestone; contributions formalizing it (or Bartal's earlier embedding) are welcome, as are formalizations of the integral optimum's properties on trees (Lemmas 21–22 of the paper), which are not stated here.

Selected references

  • N. Bansal, N. Buchbinder, A. Mądry, J. Naor, A Polylogarithmic-Competitive Algorithm for the k-Server Problem, arXiv:1110.1580v1, 2011; J. ACM 62(5), 2015. https://arxiv.org/abs/1110.1580, https://doi.org/10.1145/2783434
  • M. Manasse, L. McGeoch, D. Sleator, Competitive algorithms for server problems, J. Algorithms 11, 1990. https://doi.org/10.1016/0196-6774(90)90003-W
  • E. Koutsoupias, C. Papadimitriou, On the k-server conjecture, J. ACM 42(5), 1995. https://doi.org/10.1145/210118.210128
  • A. Fiat, R. Karp, M. Luby, L. McGeoch, D. Sleator, N. Young, Competitive paging algorithms, J. Algorithms 12, 1991. https://doi.org/10.1016/0196-6774(91)90041-V
  • J. Fakcharoenphol, S. Rao, K. Talwar, A tight bound on approximating arbitrary metrics by tree metrics, J. Comput. Syst. Sci. 69(3), 2004. https://doi.org/10.1016/j.jcss.2004.04.011
  • A. Coté, A. Meyerson, L. Poplawski, Randomized k-server on hierarchical binary trees, STOC 2008. https://doi.org/10.1145/1374376.1374474
14 thms3 active usersReviewed
Algorithmic Game TheoryOperations Research·Captain: mikedeng1

Theory of Games and Economic Behavior VII: Simple Games, Weighted Majorities and the Main Simple SolutionTextbook

Motivation

Many collective decisions are taken by coalitions that either carry the vote or do not: committees, legislatures, shareholder meetings, councils with weighted votes. In such a situation the only aim of a participant is to be part of a coalition that wins, and nothing is left to bargain about except the division of the prize inside the winning coalition. Chapter X of von Neumann and Morgenstern's Theory of Games and Economic Behavior (1944; 3rd ed. 1953) isolates exactly this class of zero-sum nnn-person games, the simple games, and studies their numerical description by weighted majorities and their finite main simple solutions.

The chapter is the origin of a large later literature: simple games and weighted voting games are the standard model of voting bodies in political science and social choice (for instance the Shapley–Shubik power index, 1954). The characterization of which simple games admit homogeneous weights, and the solutions they carry, starts here.

Setting

A zero-sum nnn-person game with players I={1,…,n}I = \{1, \dots, n\}I={1,…,n} is represented by its characteristic function vvv, a real function on the subsets of III with v(⊖)=0v(\ominus) = 0v(⊖)=0, v(−S)=−v(S)v(-S) = -v(S)v(−S)=−v(S) (−S-S−S the complement) and v(S∪T)≧v(S)+v(T)v(S \cup T) \geqq v(S) + v(T)v(S∪T)≧v(S)+v(T) for disjoint S,TS, TS,T. An imputation is a vector α⃗\vec\alphaα with αi≧v((i))\alpha_i \geqq v((i))αi​≧v((i)) and ∑iαi=0\sum_i \alpha_i = 0∑i​αi​=0; α⃗\vec\alphaα dominates β⃗\vec\betaβ​ if some nonempty SSS has ∑i∈Sαi≦v(S)\sum_{i\in S}\alpha_i \leqq v(S)∑i∈S​αi​≦v(S) and αi>βi\alpha_i > \beta_iαi​>βi​ for i∈Si \in Si∈S; a solution is a set VVV of imputations none of which dominates another and which dominates every imputation outside it (30.1.1). The game is inessential when its reduced form vanishes identically, essential otherwise.

A coalition SSS is flat if v(S)=∑k∈Sv((k))v(S) = \sum_{k\in S} v((k))v(S)=∑k∈S​v((k)). The losing coalitions LΓL_\GammaLΓ​ are the flat sets, and the winning coalitions WΓW_\GammaWΓ​ are the sets whose complement is flat. The game is simple if it is essential and every coalition is winning or losing. WmW^mWm denotes the minimal winning coalitions, those of which no proper subset wins.

Weights w1,…,wnw_1, \dots, w_nw1​,…,wn​ define the winning system W={S:∑i∈Swi>12∑iwi}W = \{S : \sum_{i\in S} w_i > \tfrac12 \sum_i w_i\}W={S:∑i∈S​wi​>21​∑i​wi​}, and under the conditions (50:B) (non-negative weights, no player with half the total weight, no ties) this is the weighted majority game [w1,…,wn][w_1,\dots,w_n][w1​,…,wn​]. The weights are homogeneous if the advantage aS=∑i∈Swi−∑i∈−Swia_S = \sum_{i\in S} w_i - \sum_{i\in -S} w_iaS​=∑i∈S​wi​−∑i∈−S​wi​ is the same for all SSS in WmW^mWm.

In §50 the game is taken in reduced form with γ=1\gamma = 1γ=1, so v((i))=−1v((i)) = -1v((i))=−1. For numbers xi≧0x_i \geqq 0xi​≧0 and a coalition SSS let α⃗S\vec\alpha^SαS give −1-1−1 to the players outside SSS and −1+xi-1 + x_i−1+xi​ to player iii in SSS. When the xix_ixi​ satisfy ∑i∈Sxi=n\sum_{i \in S} x_i = n∑i∈S​xi​=n for every S∈WmS \in W^mS∈Wm, the set VVV of all α⃗S\vec\alpha^SαS, S∈WmS \in W^mS∈Wm, is a main simple solution.

Formalization targets

Goal: (50:K), p. 444

Every homogeneous weighted majority game possesses a main simple solution,\text{Every homogeneous weighted majority game possesses a main simple solution,}Every homogeneous weighted majority game possesses a main simple solution,

namely the set of α⃗S\vec\alpha^SαS, S∈WmS \in W^mS∈Wm, with xi=nbwix_i = \frac{n}{b} w_ixi​=bn​wi​, b=12(∑iwi+a)b = \frac12(\sum_i w_i + a)b=21​(∑i​wi​+a), aaa the common advantage. Conversely, if xi≧0x_i \geqq 0xi​≧0 solve ∑i∈Sxi=n\sum_{i\in S} x_i = n∑i∈S​xi​=n on WmW^mWm, then wi=xiw_i = x_iwi​=xi​ are homogeneous weights for the game if and only if

∑i=1nxi<2n.\sum_{i=1}^n x_i < 2n .i=1∑n​xi​<2n.

Milestones

  1. (49:C) LΓL_\GammaLΓ​ contains the empty set and all one-element sets.
  2. (49:A) WΓ,LΓW_\Gamma, L_\GammaWΓ​,LΓ​ are mapped onto each other by complementation, WΓW_\GammaWΓ​ is closed under supersets, and LΓL_\GammaLΓ​ is closed under subsets.
  3. (49:B) WΓ∩LΓ=⊖W_\Gamma \cap L_\Gamma = \ominusWΓ​∩LΓ​=⊖ if and only if the game is essential. If the game is inessential, every set is both winning and losing.
  4. (49:F) The pairs W,LW, LW,L of simple games are exactly those satisfying (48:A:a)–(48:A:d) and (49:C).
  5. (50:A) The essential three-person game is simple: it is the direct majority game.
  6. (50:B) Non-negative weights define a winning system with (49:W*) if and only if (50:B:a), (50:B:b) hold.
  7. (50:D) aS>0a_S > 0aS​>0 on WWW, aS<0a_S < 0aS​<0 on LLL, and aS=0a_S = 0aS​=0 never occurs.
  8. (50:G) An imputation β⃗\vec\betaβ​ is undominated by V={α⃗S:S∈U}V = \{\vec\alpha^S : S \in U\}V={αS:S∈U} if and only if R(β⃗)∈U+R(\vec\beta) \in U^+R(β​)∈U+.
  9. (50:J) The exact criterion (50:8*), (50:9*) for VVV to be a solution.

Significance

The result links two descriptions of a simple game. One is numerical: a vector of weights, normalized by homogeneity. The other is game-theoretic: a finite solution in which each minimal winning coalition forms and divides a fixed total among its members. When the weights are homogeneous they are, up to scale, the shares in the main simple solution. When a main simple solution exists, its shares are homogeneous weights exactly under the inequality (50:20). The criterion (50:J) behind it is the chapter's general tool for deciding which systems of "profitable" minimal winning coalitions yield a finite solution. It is used again in the enumeration of simple games in §§51–55.

All of the results are proved in the book. As far as a search of the Prove2Me library shows (queries on simple game, weighted majority, winning coalition and stable set, 2026-09-28), none of them has been machine-checked. The only stable-set statements on the platform concern feasible payoff vectors of convex games, which is a different domain. The mission therefore asks for a formal proof of the known results, including the case analysis of §50.5–50.6, and in doing so it produces a reusable Lean theory of simple games and their winning systems.

Difficulty

The characterizations of §49 are set-theoretic, but they depend on superadditivity to show that subsets of flat sets are flat, and on the strategic-equivalence description of essentiality. The substantial part is (50:J). Deciding whether VVV is a solution means classifying every imputation β⃗\vec\betaβ​ by the set R(β⃗)R(\vec\beta)R(β​) where it meets the shares −1+xi-1 + x_i−1+xi​.

The natural first attempt is to check only the minimal winning coalitions. It fails, because domination can be exercised through any winning coalition. The book's argument has to exclude sets of U+U^+U+ with ∑i∈Txi<n\sum_{i\in T} x_i < n∑i∈T​xi​<n by producing infinitely many undominated imputations against a finite VVV. It also has to handle indifferent players with xi=0x_i = 0xi​=0, whose presence makes R(β⃗)R(\vec\beta)R(β​) larger than the coalition that generated β⃗\vec\betaβ​. For the converse half of the goal, the obstacle is the strict inequality a>0a > 0a>0: the equations (50:17) are linear and say nothing about it.

Formalization scope

Players are Fin n (the book's player iii is index i−1i - 1i−1), coalitions are Finset (Fin n), and characteristic functions are Finset (Fin n) → ℝ. Imputations are vectors Fin n → ℝ, and systems of coalitions are Set (Finset (Fin n)). A game is identified with its characteristic function (by 26.1 every vvv satisfying (25:3:a)–(25:3:c) arises from a game). The theory is the "old" one of 30.1.1 (49.1.1), with no excess. The definitions of imputation, domination and solution are the same as in mission V of this series and are restated here, because a draft cannot import another draft.

The standing hypotheses, stated in each theorem where the book has them in force:

  • (25:3:a)–(25:3:c) on vvv in every theorem;
  • simplicity (essential + (49:1:b)) in (50:G), (50:J), (50:K);
  • the reduced form with γ=1\gamma = 1γ=1, as v((i))=−1v((i)) = -1v((i))=−1 for all iii (50.4.1), in (50:G), (50:J), (50:K);
  • U⊆WmU \subseteq W^mU⊆Wm, (50:7) xi≧0x_i \geqq 0xi​≧0 and (50:8) ∑i∈Sxi=n\sum_{i\in S} x_i = n∑i∈S​xi​=n for S∈US \in US∈U (50.5.1) in (50:G), (50:J);
  • (50:B) on the weights in (50:D) and in the first half of (50:K);
  • non-negative weights in (50:B). The book states (50:B) for arbitrary real weights, but its "only if" direction is false without wi≧0w_i \geqq 0wi​≧0: [10,10,10,−110][10, 10, 10, -\tfrac1{10}][10,10,10,−101​] is a counterexample. The corrected statement is recorded in the item.

The numbers xix_ixi​ are given for every player. Players in no minimal winning coalition, for whom the book defines no xix_ixi​, do not affect any α⃗S\vec\alpha^SαS. In the converse of (50:K) the derived weights are wi=xiw_i = x_iwi​=xi​ for every player.

The goal is not the bare solvability of (50:17). A statement that only asserted "xxx exists with (50:7), (50:17)" would reduce to linear algebra. The goal asserts that the set of α⃗S\vec\alpha^SαS is a solution in the sense of 30.1.1, with domination requiring a nonempty effective set, and it adds the converse equivalence with (50:20). The set VVV is built from WmW^mWm only, never from all of WWW.

Welcome contributions: proofs of the §49 milestones, which form a small reusable library on winning and losing systems; a proof of (50:G) and (50:J); and lemmas connecting WΓW_\GammaWΓ​ of a simple reduced game with the explicit formula (49:2), v(S)=n−∣S∣v(S) = n - |S|v(S)=n−∣S∣ on WWW and −∣S∣-|S|−∣S∣ on LLL.

Selected references

  • J. von Neumann, O. Morgenstern, Theory of Games and Economic Behavior, 60th-anniversary ed., Princeton University Press, 2007 (reprint of the 3rd ed., 1953), Chapter X, §§48–50, pp. 420–444. https://doi.org/10.1515/9781400829460
  • L. S. Shapley, M. Shubik, "A method for evaluating the distribution of power in a committee system", American Political Science Review 48 (1954) 787–792. https://doi.org/10.2307/1951053
13 thms3 active usersReviewed
Linear OptimizationOperations ResearchOptimization·Captain: mikedeng1

An Efficient Approximation Scheme for the One-Dimensional Bin-Packing Problem II: Geometric Grouping with Residual LP RoundingResearch Paper

Motivation

One-dimensional bin packing asks for the fewest unit-capacity bins that hold a given list of items with sizes in (0,1)(0,1)(0,1). Deciding whether two bins suffice is NP-hard (it contains the partition problem), so no polynomial-time algorithm guarantees a ratio below 3/23/23/2 unless P = NP. The natural question is therefore asymptotic: how small can the additive error A(I)−OPT(I)A(I) - OPT(I)A(I)−OPT(I) be made, as a function of the optimum OPT(I)OPT(I)OPT(I)?

  • 1974: D. S. Johnson, A. Demers, J. D. Ullman, M. R. Garey and R. L. Graham analysed First Fit and First Fit Decreasing, with asymptotic ratios 17/1017/1017/10 and 11/911/911/9 (SIAM J. Comput. 3(4)).
  • 1981: W. Fernandez de la Vega and G. S. Lueker gave an asymptotic approximation scheme: for every ε>0\varepsilon > 0ε>0, (1+ε) OPT(I)+1(1+\varepsilon)\,OPT(I) + 1(1+ε)OPT(I)+1 bins in linear time (Combinatorica 1).
  • 1982: N. Karmarkar and R. M. Karp replaced the multiplicative error by an additive one: OPT(I)+O(log⁡2OPT(I))OPT(I) + O(\log^2 OPT(I))OPT(I)+O(log2OPT(I)) bins in polynomial time (Proc. 23rd FOCS). This mission formalizes that bound.
  • 2017: R. Hoberg and T. Rothvoss improved the additive error to O(log⁡OPT)O(\log OPT)O(logOPT) (SODA 2017). Whether OPT(I)+O(1)OPT(I) + O(1)OPT(I)+O(1) is achievable remains open.

Its main device, geometric grouping followed by rounding a linear program over bin configurations, recurs in later additive results and in cutting-stock problems.

Setting

An instance III is a finite multiset of piece sizes in the open interval (0,1)(0,1)(0,1). Write n(I)n(I)n(I) for the number of pieces, m(I)m(I)m(I) for the number of distinct sizes, SIZE(I)SIZE(I)SIZE(I) for the total size and a(I)a(I)a(I) for the smallest size. A packing is a multiset of bins whose union is III and in each of which the sizes sum to at most 111; its cost is the number of bins, and OPT(I)OPT(I)OPT(I) is the least cost.

A configuration is a nonempty multiset of sizes occurring in III that fits in one bin. The fractional bin-packing problem is the linear program

(I)min⁡ 1⋅xs.t.x≥0,Ax≥b,(I)\qquad \min\ \mathbf 1\cdot x\quad\text{s.t.}\quad x \ge 0,\quad Ax \ge b,(I)min 1⋅xs.t.x≥0,Ax≥b,

with one variable xjx_jxj​ per configuration, where AtjA_{tj}Atj​ counts the pieces of size ttt in configuration jjj and btb_tbt​ the pieces of size ttt in III. Its value is LIN(I)LIN(I)LIN(I). A basic feasible solution is an extreme point of the feasible region.

Geometric grouping with parameter kkk sorts the pieces in non-increasing order and cuts them into consecutive groups G1,G2,…,GqG_1, G_2, \dots, G_qG1​,G2​,…,Gq​, each the shortest run of pieces of total size at least kkk. Within each group GiG_iGi​ (i≥2i \ge 2i≥2) only as many of the largest pieces as Gi−1G_{i-1}Gi−1​ has are kept; they are rounded up to the largest size in GiG_iGi​, giving Gi′G_i'Gi′​. The rounded pieces form JJJ, and G1G_1G1​ together with the unrounded leftovers ΔGi\Delta G_iΔGi​ form J′J'J′.

ALGORITHM 2 with a positive integer kkk and a positive real ggg:

  1. Eliminate all pieces of size ≤g\le g≤g.
  2. While SIZE>1+11−1/kln⁡1gSIZE > 1 + \frac{1}{1-1/k}\ln\frac1gSIZE>1+1−1/k1​lng1​: group the current instance into J,J′J, J'J,J′; pack J′J'J′ in at most 2k[2+ln⁡1g]2k[2 + \ln\frac1g]2k[2+lng1​] bins; obtain a basic feasible solution xxx of the LP of JJJ with cost at most LIN(J)+1LIN(J)+1LIN(J)+1; open ⌊xj⌋\lfloor x_j\rfloor⌊xj​⌋ bins of each configuration jjj, fill them with pieces, and delete the pieces so packed.
  3. Pack the remaining pieces in at most 2+21−1/kln⁡1g2 + \frac{2}{1-1/k}\ln\frac1g2+1−1/k2​lng1​ bins.
  4. Reinsert the eliminated pieces, using a new bin only when necessary.

Its cost on III is written A(I)A(I)A(I).

Formalization targets

Goal: Theorem 4 with explicit constants

For every instance III with SIZE(I)≥2SIZE(I) \ge 2SIZE(I)≥2, every packing that ALGORITHM 2 with k=2k=2k=2 and g=1/SIZE(I)g = 1/SIZE(I)g=1/SIZE(I) can output is a packing of III with

A(I)≤OPT(I)+(1+log⁡2OPT(I))(9+4ln⁡OPT(I))+2+4ln⁡OPT(I).A(I) \le OPT(I) + \bigl(1 + \log_2 OPT(I)\bigr)\bigl(9 + 4\ln OPT(I)\bigr) + 2 + 4\ln OPT(I).A(I)≤OPT(I)+(1+log2​OPT(I))(9+4lnOPT(I))+2+4lnOPT(I).

This is the paper's A(I)≤OPT(I)+O(log⁡2OPT(I))A(I) \le OPT(I) + O(\log^2 OPT(I))A(I)≤OPT(I)+O(log2OPT(I)), with the constants that its proof yields.

The general bound for ALGORITHM 2

For integers k≥2k \ge 2k≥2, 0<g≤120 < g \le \tfrac120<g≤21​ and SIZE(I)≥1SIZE(I) \ge 1SIZE(I)≥1:

A(I)≤max⁡{(1+2g) OPT(I)+1, OPT(I)+[1+ln⁡SIZE(I)ln⁡k][1+4k+2kln⁡1g]+2+21−1kln⁡1g}.A(I) \le \max\Bigl\{(1+2g)\,OPT(I) + 1,\ OPT(I) + \Bigl[1 + \frac{\ln SIZE(I)}{\ln k}\Bigr]\Bigl[1 + 4k + 2k\ln\frac1g\Bigr] + 2 + \frac{2}{1-\frac1k}\ln\frac1g\Bigr\}.A(I)≤max{(1+2g)OPT(I)+1, OPT(I)+[1+lnklnSIZE(I)​][1+4k+2klng1​]+2+1−k1​2​lng1​}.

Milestones

In attack order: Lemmas 1–3; Theorem 2 (items 1–3, the bound on J′J'J′, item 4 corrected); the per-iteration shrinking of SIZESIZESIZE; the bound on the number ttt of iterations; the telescoping of LINLINLIN; the bin count after Step 3; the general bound.

Significance

The bound gives a polynomial-time algorithm whose additive error is polylogarithmic in the optimum, hence a fully polynomial asymptotic approximation scheme (O(log⁡2OPT)=o(OPT)O(\log^2 OPT) = o(OPT)O(log2OPT)=o(OPT)). Varying kkk and ggg trades running time for error, as the paper notes after Theorem 4. The scheme of solving the rounded LP, keeping its integer part and re-grouping the residual is reused by later additive results, including the O(log⁡OPT)O(\log OPT)O(logOPT) bound of Hoberg and Rothvoss.

The result has been proved since 1982. No machine-checked proof of it, or of any bin-packing approximation guarantee of this kind, is known to exist in Lean or Mathlib. The mission produces a formal version whose hypotheses and constants are explicit. It also corrects two printed statements whose published forms are false: Theorem 2, item 4, and the chain of inequalities in the analysis that relies on it. The corrections are disclosed in the statements.

Difficulty

Rounding a single LP solution does not suffice. A basic solution of the configuration LP has at most mmm fractional variables, and after rounding down, the leftover pieces form an instance of size at most m(J)m(J)m(J). With linear grouping that leftover is of order 1/ε21/\varepsilon^21/ε2 and costs a constant factor. The difficulty is making the residual shrink geometrically. Geometric grouping must produce an instance JJJ with m(J)≤SIZE/k+O(ln⁡(1/g))m(J) \le SIZE/k + O(\ln(1/g))m(J)≤SIZE/k+O(ln(1/g)) distinct sizes while discarding only O(kln⁡(1/g))O(k\ln(1/g))O(kln(1/g)) in J′J'J′. The residual must then be re-grouped and re-solved. Each step must be accounted for simultaneously in SIZESIZESIZE, LINLINLIN and OPTOPTOPT, with an additive loss per iteration; the harmonic-sum estimate behind SIZE(J′)SIZE(J')SIZE(J′) and the telescoping of LINLINLIN across iterations carry most of the weight.

Formalization scope

  • Model. An instance is a Multiset ℝ with sizes in the open interval (0,1)(0,1)(0,1); real sizes generalize the paper's rationals, and the interval is open because a group of size at least kkk must contain more than kkk pieces. Packings are Multiset (Multiset ℝ). OPTOPTOPT and LINLINLIN are infima over nonempty sets. LP solutions are finitely supported functions on configurations; "basic" means extreme point.
  • Subroutine contract. The Fractional Bin-Packing procedure is modelled only by its stated output: any basic feasible solution of cost at most LIN(J)+1LIN(J)+1LIN(J)+1. The ellipsoid method of §6 is not modelled.
  • Runs. ALGORITHM 2 is a relation Alg2Run k g I P, witnessed by a trace. Every bound holds for every run: every admissible subroutine output, every packing at Steps 2 and 3 within the prescribed counts, every choice of pieces for the principal bins (which must fill every available slot), and every order of the Step 4 insertion. A separate well-definedness item states that a run exists, so the bounds are not vacuous.
  • Explicit constants. O(log⁡2OPT(I))O(\log^2 OPT(I))O(log2OPT(I)) in Theorem 4 is replaced by (1+log⁡2OPT)(9+4ln⁡OPT)+2+4ln⁡OPT(1+\log_2 OPT)(9 + 4\ln OPT) + 2 + 4\ln OPT(1+log2​OPT)(9+4lnOPT)+2+4lnOPT. The asymptotic threshold is made explicit as SIZE(I)≥2SIZE(I) \ge 2SIZE(I)≥2. ln⁡\lnln is Real.log and log⁡2\log_2log2​ is Real.logb 2.
  • Corrected statements. The last group of geometric grouping may fall short of kkk, which the paper ignores. For it, ΔGq\Delta G_qΔGq​ consists of the max⁡(0,lq−lq−1)\max(0, l_q - l_{q-1})max(0,lq​−lq−1​) smallest pieces. Theorem 2, item 4 is stated as m(J)≤SIZE(J)/k+ln⁡(1/a(I))+1m(J) \le SIZE(J)/k + \ln(1/a(I)) + 1m(J)≤SIZE(J)/k+ln(1/a(I))+1; the printed version without +1+1+1 fails for I={0.95,0.95,0.95,0.9}I = \{0.95, 0.95, 0.95, 0.9\}I={0.95,0.95,0.95,0.9}, k=2k = 2k=2. Theorem 2 is stated for integers k≥2k \ge 2k≥2, which its proof needs. The iteration bound is stated for t≥1t \ge 1t≥1 and for the instance after Step 1.
  • Out of scope. Running times, polynomiality, the function T(m,n)T(m,n)T(m,n), the number of subroutine calls, §6, ALGORITHM 3 and Theorem 5.
  • Ruling out trivial versions. "There exists a packing with at most OPT(I)+…OPT(I) + \dotsOPT(I)+… bins" is trivially true and is not the goal. The goal bounds every output of the algorithm, and the existence item shows that outputs exist.

Contributions welcome: milestone proofs; a harmonic-sum bound ∑j=ab1/j≤ln⁡ba−1\sum_{j=a}^{b} 1/j \le \ln\frac{b}{a-1}∑j=ab​1/j≤lna−1b​; extreme-point facts for {x≥0:Ax≥b}\{x \ge 0 : Ax \ge b\}{x≥0:Ax≥b} (at most as many nonzero coordinates as rows; an optimal extreme point exists), reusable beyond bin packing; monotonicity of LINLINLIN and OPTOPTOPT under the piecewise order.

Selected references

  • N. Karmarkar, R. M. Karp, An Efficient Approximation Scheme for the One-Dimensional Bin-Packing Problem, Proc. 23rd Annual Symposium on Foundations of Computer Science (SFCS 1982), IEEE, pp. 312–320, 1982. https://doi.org/10.1109/SFCS.1982.61
  • W. Fernandez de la Vega, G. S. Lueker, Bin packing can be solved within 1 + ε in linear time, Combinatorica 1(4), 349–355, 1981. https://doi.org/10.1007/BF02579456
  • D. S. Johnson, A. Demers, J. D. Ullman, M. R. Garey, R. L. Graham, Worst-case performance bounds for simple one-dimensional packing algorithms, SIAM J. Comput. 3(4), 299–325, 1974. https://doi.org/10.1137/0203025
  • R. Hoberg, T. Rothvoss, A Logarithmic Additive Integrality Gap for Bin Packing, Proc. 28th ACM-SIAM SODA, 2616–2625, 2017. https://doi.org/10.1137/1.9781611974782.172
21 thms3 active usersReviewed
Discrete GeometryOperations Research·Captain: mikedeng1

Extremal Problems in Discrete Geometry: The Szemerédi–Trotter Incidence BoundResearch Paper

Motivation

How many times can nnn points and ttt lines in the plane meet? The question is the prototype of incidence geometry, and the answer controls a long list of problems in discrete and computational geometry: the number of lines rich in points, the number of distinct distances or unit distances among nnn points, the complexity of arrangements, and sum–product estimates in additive combinatorics. Erdős asked for the order of magnitude when t=nt = nt=n and conjectured that the answer is n4/3n^{4/3}n4/3; Erdős and Purdy asked for the matching bound on the number of lines containing at least kkk of the points.

Szemerédi and Trotter settled both questions in Extremal Problems in Discrete Geometry (Combinatorica 3 (1983) 381–392, doi:10.1007/BF02579194). Their principal theorem bounds the number of point–line incidences by c1n2/3t2/3c_1 n^{2/3} t^{2/3}c1​n2/3t2/3 over the whole range n≤t≤(n2)\sqrt n \le t \le \binom n2n​≤t≤(2n​), and the same paper derives from it the Erdős–Purdy bound on kkk-rich lines, a version of Dirac's conjecture (proved independently by Beck, Combinatorica 3 (1983)), and a bound on the number of sequences of line densities.

Timeline.

  • Erdős conjectures O(n4/3)O(n^{4/3})O(n4/3) incidences for nnn points and nnn lines, and shows by a grid construction that this order would be sharp.
  • 1983: Szemerédi and Trotter prove the bound c1n2/3t2/3c_1 n^{2/3} t^{2/3}c1​n2/3t2/3 for n≤t≤(n2)\sqrt n \le t \le \binom n2n​≤t≤(2n​), with c1=1060c_1 = 10^{60}c1​=1060, by a minimal-counterexample argument and a covering lemma for squares from their earlier paper.
  • 1990: Clarkson, Edelsbrunner, Guibas, Sharir and Welzl give a second proof by cuttings, with a far smaller constant (Discrete Comput. Geom. 5 (1990) 99–160).
  • 1997: Székely derives the bound in a few lines from the crossing lemma (Combin. Probab. Comput. 6 (1997) 353–358).

Setting

Work in the Euclidean plane R2\mathbb R^2R2, written Plane in the Lean development. A line is an affine subspace l⊆R2l \subseteq \mathbb R^2l⊆R2 whose direction space has dimension one (IsLine l). Let P\mathcal PP be a finite set of nnn points and L\mathcal LL a finite family of ttt distinct lines. The number of incidences is

I(P,L)=#{(p,l)∈P×L:p∈l},I(\mathcal P, \mathcal L) = \#\{(p, l) \in \mathcal P \times \mathcal L : p \in l\},I(P,L)=#{(p,l)∈P×L:p∈l},

written incidences P L. The degree did_idi​ of a point pip_ipi​ is the number of lines of L\mathcal LL through it (degree L p), and the density yjy_jyj​ of a line ljl_jlj​ is the number of points of P\mathcal PP on it (density P l); so I=∑idi=∑jyjI = \sum_i d_i = \sum_j y_jI=∑i​di​=∑j​yj​.

For the covering lemma, coordinate axes are fixed and a square is a closed axis-parallel square Q(a,b,s)=[a,a+s]×[b,b+s]Q(a,b,s) = [a, a+s] \times [b, b+s]Q(a,b,s)=[a,a+s]×[b,b+s] with side s>0s > 0s>0 (closedSquare (a, b, s)); its interior is the open square (a,a+s)×(b,b+s)(a, a+s) \times (b, b+s)(a,a+s)×(b,b+s) (openSquare). A square contains the points of P\mathcal PP in the closed square, and a family of squares covers the points lying in at least one of them.

Formalization targets

Goal: Theorem 1 (p. 381, restated and proved on p. 383)

There is an absolute constant c1c_1c1​ such that for every finite point set P\mathcal PP with ∣P∣=n|\mathcal P| = n∣P∣=n and every finite family L\mathcal LL of ttt distinct lines,

n≤t≤(n2)⟹I(P,L)≤c1 n2/3 t2/3.\sqrt n \le t \le \binom n2 \quad\Longrightarrow\quad I(\mathcal P, \mathcal L) \le c_1\, n^{2/3}\, t^{2/3}.n​≤t≤(2n​)⟹I(P,L)≤c1​n2/3t2/3.

The goal leaves c1c_1c1​ unspecified. The paper's proof gives c1=1060c_1 = 10^{60}c1​=1060, and later proofs give much smaller values; any improvement of the constant still proves this statement.

Milestones, in the order the proof uses them

  1. Section 3, display on p. 383. Two distinct lines meet in at most one point, so the number of good intersections is at most the number of pairs of lines:
∑i(di2)≤(t2),I22n−I2≤t22.\sum_{i} \binom{d_i}{2} \le \binom t2, \qquad \frac{I^2}{2n} - \frac I2 \le \frac{t^2}{2}.i∑​(2di​​)≤(2t​),2nI2​−2I​≤2t2​.
  1. Section 3, inequality (1), p. 384. 0.6 x+(1−x)2/3≤10.6\,x + (1-x)^{2/3} \le 10.6x+(1−x)2/3≤1 for 0<x≤1/20 < x \le 1/20<x≤1/2.
  2. Section 3, inequality (5), p. 385. x2/3+(1−x)/100+2−1/3(1−x)2/3≤1x^{2/3} + (1-x)/100 + 2^{-1/3}(1-x)^{2/3} \le 1x2/3+(1−x)/100+2−1/3(1−x)2/3≤1 for 0<x≤0.10 < x \le 0.10<x≤0.1, and the reverse strict inequality holds somewhere in (0.1,0.2)(0.1, 0.2)(0.1,0.2).
  3. Section 3, display on p. 387. With M=1010M = 10^{10}M=1010, 2i/3(1−2/M)4i/3≥200/((0.1)1/322/3)2^{i/3}(1 - 2/M)^{4i/3} \ge 200/((0.1)^{1/3} 2^{2/3})2i/3(1−2/M)4i/3≥200/((0.1)1/322/3) for every integer i≥30i \ge 30i≥30.
  4. Section 2, Lemma (covering lemma), p. 382. For integers 1≤r1≤n1 \le r_1 \le n1≤r1​≤n and r2≥256r1r_2 \ge 256 r_1r2​≥256r1​, every set of nnn points is covered, to at least n/16n/16n/16 of its points, by a family of squares with pairwise disjoint interiors, each containing between r1r_1r1​ and r2r_2r2​ of the points.

Significance

The result. The bound n2/3t2/3n^{2/3} t^{2/3}n2/3t2/3 is sharp up to the constant throughout the range n≤t≤(n2)\sqrt n \le t \le \binom n2n​≤t≤(2n​), as integer-grid configurations show. Outside that range the trivial bounds n+t2n + t^2n+t2 and t+n2t + n^2t+n2 take over. Theorem 1 is the source of the O(n2/k3)O(n^2/k^3)O(n2/k3) bound on kkk-rich lines (the paper's Theorem 2), of Beck's theorem (Theorem 3), and, through them, of the unit-distance bound O(n4/3)O(n^{4/3})O(n4/3), of the Elekes sum–product estimate and of many algorithmic bounds on arrangements. It is the first nontrivial case of the polynomial-partitioning incidence theory developed since 2010.

Formalizing it. The theorem has been proved, and reproved in several ways, for four decades. To the best of the mission's knowledge Mathlib has no statement of it, of the crossing lemma, or of any point–line incidence bound in the Euclidean plane. This mission produces a checked statement of the theorem with lines as genuine one-dimensional affine subspaces and an absolute constant. It also produces checked statements of the auxiliary facts the 1983 proof uses. A complete proof may follow the original argument, the cutting argument or Székely's crossing-lemma argument; any of them closes the goal.

Difficulty

Counting pairs of lines through common points (milestone 1) gives only I≲n1/2t+nI \lesssim n^{1/2} t + nI≲n1/2t+n, and its dual gives I≲t1/2n+tI \lesssim t^{1/2} n + tI≲t1/2n+t. These Cauchy–Schwarz bounds use only the fact that two lines meet at most once, a property shared by lines in finite projective planes, where the incidence count genuinely reaches order n3/2n^{3/2}n3/2. Any proof of the n2/3t2/3n^{2/3} t^{2/3}n2/3t2/3 bound must therefore use a property of the real plane that the finite geometries lack: order, continuity, or the planarity of drawings. Szemerédi and Trotter use it through a covering lemma for axis-parallel squares, whose proof is only cited in the paper ([7]). The remaining difficulty is keeping the constants of a multi-stage minimal-counterexample argument under control.

Formalization scope

The plane is EuclideanSpace ℝ (Fin 2). A line is an AffineSubspace ℝ Plane whose direction has Module.finrank equal to 111. Every statement requires IsLine of each member of L\mathcal LL, so neither the whole plane nor a single point counts as a line. The points form a Finset Plane and the lines a Finset (AffineSubspace ℝ Plane), which makes the ttt lines distinct. Incidences, degrees and densities are Finset.filter cardinalities under classical decidability. Powers n2/3n^{2/3}n2/3, t2/3t^{2/3}t2/3 are Real.rpow of the counts cast to R\mathbb RR, and (n2)\binom n2(2n​) is Nat.choose.

In the goal, the constant c1c_1c1​ is quantified before the points and the lines. The form "for every configuration there is a c1c_1c1​" is trivially true (take c1=I+1c_1 = I + 1c1​=I+1) and is not this theorem. Both ends of the range n≤t≤(n2)\sqrt n \le t \le \binom n2n​≤t≤(2n​) are kept exactly: without the lower end, a single line through nnn collinear points has nnn incidences, more than c1n2/3c_1 n^{2/3}c1​n2/3 for large nnn.

The goal follows the wording of p. 381 ("at most"). The restatement on p. 383 says "less than", which fails at n=t=0n = t = 0n=t=0 and is equivalent for n≥1n \ge 1n≥1 after doubling c1c_1c1​. The covering lemma is stated with the added non-degeneracy hypotheses 1≤r1≤n1 \le r_1 \le n1≤r1​≤n. As printed it fails when 0<n<r10 < n < r_10<n<r1​ (no square can hold r1r_1r1​ points), and when r1=r2=0r_1 = r_2 = 0r1​=r2​=0 with n>0n > 0n>0.

A full development needs a real-plane incidence toolkit: a crossing lemma or a cutting lemma, or the covering lemma with its quadtree proof. That toolkit is reusable for kkk-rich lines, Beck's theorem, unit distances and sum–product bounds, and contributions of such infrastructure as separate theorems are welcome. The three numerical milestones are self-contained real-analysis exercises.

Selected references

  • E. Szemerédi, W. T. Trotter, Jr., Extremal problems in discrete geometry, Combinatorica 3 (1983) 381–392. https://doi.org/10.1007/BF02579194
  • E. Szemerédi, W. T. Trotter, Jr., A combinatorial distinction between the Euclidean and projective planes, European J. Combin. 4 (1983) 385–394. https://doi.org/10.1016/S0195-6698(83)80036-5
  • J. Beck, On the lattice property of the plane and some problems of Dirac, Motzkin and Erdős in combinatorial geometry, Combinatorica 3 (1983) 281–297. https://doi.org/10.1007/BF02579184
  • K. L. Clarkson, H. Edelsbrunner, L. J. Guibas, M. Sharir, E. Welzl, Combinatorial complexity bounds for arrangements of curves and spheres, Discrete Comput. Geom. 5 (1990) 99–160. https://doi.org/10.1007/BF02187783
  • L. A. Székely, Crossing numbers and hard Erdős problems in discrete geometry, Combin. Probab. Comput. 6 (1997) 353–358. https://doi.org/10.1017/S0963548397002976
8 thms3 active usersReviewed
Graph TheoryLinear OptimizationOperations Research·Captain: mikedeng1

The Matroids with the Max-Flow Min-Cut Property: Binary Mengerian Clutters and the Q6 MinorResearch Paper

Motivation

Several classical theorems of combinatorial optimization say that a family of sets arising from a graph packs: the maximum number of pairwise disjoint members equals the minimum size of a set meeting every member. König's theorem on bipartite graphs, Menger's theorem, the max-flow min-cut theorem of Ford and Fulkerson, Edmonds' branching theorem and the Lucchesi–Younger theorem all have this form (Seymour 1977, (1.1)–(1.5)). In the capacitated version (weights on elements, integral flows) the max-flow min-cut theorem says more: the packing property survives every deletion and replication of elements. Clutters with this stronger property are called Mengerian. For each 000–111 matrix they are exactly the systems whose covering linear program and its dual have integral optima for every integral weight vector, which is why the notion matters to integer programming and polyhedral combinatorics.

Seymour's paper answers the question for the class of binary clutters, the clutters coming from binary matroids, which includes path collections, cut collections and odd-circuit collections of graphs. Earlier, Gallai's theorem implied that ports of regular matroids are Mengerian (Seymour 1977, p. 200); combined with Tutte's excluded-minor characterization of regular matroids, this showed that binary clutters without Q6Q_6Q6​ or b(Q6)b(Q_6)b(Q6​) minors are Mengerian. Seymour shows that the second excluded minor is unnecessary, so a single small clutter is the only obstruction.

Setting

All sets are finite. A clutter L\mathbf LL is a finite collection of finite sets, no member of which is contained in another; ∅\emptyset∅ and {∅}\{\emptyset\}{∅} are the two trivial clutters. Its ground set is E(L)=⋃A∈LAE(\mathbf L)=\bigcup_{A\in\mathbf L}AE(L)=⋃A∈L​A. The blocker b(L)b(\mathbf L)b(L) is the collection of minimal subsets of E(L)E(\mathbf L)E(L) that meet every member of L\mathbf LL, and τ(L)\tau(\mathbf L)τ(L) is the minimum cardinality of a member of b(L)b(\mathbf L)b(L).

L\mathbf LL is Mengerian if L={∅}\mathbf L=\{\emptyset\}L={∅}, or if for every weight map w:E(L)→Z+w:E(\mathbf L)\to\mathbb Z^+w:E(L)→Z+ there is an integral packing q:L→Z+q:\mathbf L\to\mathbb Z^+q:L→Z+ with ∑A∋xq(A)≤w(x)\sum_{A\ni x}q(A)\le w(x)∑A∋x​q(A)≤w(x) for each x∈E(L)x\in E(\mathbf L)x∈E(L) and

∑A∈Lq(A)=min⁡B∈b(L)∑x∈Bw(x).\sum_{A\in\mathbf L}q(A)=\min_{B\in b(\mathbf L)}\sum_{x\in B}w(x).A∈L∑​q(A)=B∈b(L)min​x∈B∑​w(x).

For a set ZZZ, the deletion is L∖Z={A∈L:A∩Z=∅}\mathbf L\setminus Z=\{A\in\mathbf L:A\cap Z=\emptyset\}L∖Z={A∈L:A∩Z=∅} and the contraction L/Z\mathbf L/ZL/Z is the collection of minimal members of {A−Z:A∈L}\{A-Z:A\in\mathbf L\}{A−Z:A∈L} (minimal, not minimal nonempty). A minor of L\mathbf LL is any clutter obtained by a finite sequence of deletions and contractions.

A clutter is binary if ∣A∩B∣|A\cap B|∣A∩B∣ is odd for all A∈LA\in\mathbf LA∈L and B∈b(L)B\in b(\mathbf L)B∈b(L); this is condition (3.2)(ii) of the paper, which is equivalent to being a port of a binary matroid. Finally

Q6={{1,3,5},{1,4,6},{2,3,6},{2,4,5}},Q_6=\{\{1,3,5\},\{1,4,6\},\{2,3,6\},\{2,4,5\}\},Q6​={{1,3,5},{1,4,6},{2,3,6},{2,4,5}},

the triangles of K4K_4K4​ with its edges labelled 1,…,61,\dots,61,…,6.

For the structure theory, a circuit of a binary clutter is a minimal nonempty C⊆E(L)C\subseteq E(\mathbf L)C⊆E(L) with ∣C∩B∣|C\cap B|∣C∩B∣ even for every B∈b(L)B\in b(\mathbf L)B∈b(L); xxx and yyy are parallel when {x,y}\{x,y\}{x,y} is a circuit, and the point ⟨x⟩\langle x\rangle⟨x⟩ is the parallel class of xxx. With mb(L)={B∈b(L):∣B∣=τ(L)}mb(\mathbf L)=\{B\in b(\mathbf L):|B|=\tau(\mathbf L)\}mb(L)={B∈b(L):∣B∣=τ(L)}, L\mathbf LL is critical if E(mb(L))=E(L)E(mb(\mathbf L))=E(\mathbf L)E(mb(L))=E(L). In a critical binary clutter, x→yx\to yx→y means that every member of mb(L)mb(\mathbf L)mb(L) containing xxx contains yyy while y∉⟨x⟩y\notin\langle x\rangley∈/⟨x⟩, and yyy is initial if no xxx has x→yx\to yx→y. MBC abbreviates "Mengerian binary clutter".

Formalization targets

Goal: Seymour's theorem (p. 209)

For every binary clutter L\mathbf LL,

L is Mengerian  ⟺  L has no minor isomorphic to Q6.\mathbf L\ \text{is Mengerian}\iff \mathbf L\ \text{has no minor isomorphic to } Q_6 .L is Mengerian⟺L has no minor isomorphic to Q6​.

Milestones

In the order the proof uses them:

  • (2.3) Every minor of a Mengerian clutter is Mengerian.
  • Section 1, p. 193. Q6Q_6Q6​ is not Mengerian. With (2.3) this is the "only if" direction.
  • (3.6)(i) Circuits of a binary clutter have at least two elements.
  • (3.6)(iii) If Z⊆E(L)Z\subseteq E(\mathbf L)Z⊆E(L) meets every member of b(L)b(\mathbf L)b(L) evenly, then ZZZ is a disjoint union of circuits. If it meets every member oddly, then ZZZ is a disjoint union of circuits and one member of L\mathbf LL.
  • (4.3) In a critical MBC, x→yx\to yx→y implies y↛xy\not\to xy→x.
  • (4.4) In a critical MBC, x→yx\to yx→y gives a circuit C∋x,yC\ni x,yC∋x,y with ∣C∣≥3|C|\ge3∣C∣≥3, z→yz\to yz→y for z∈C−{y}z\in C-\{y\}z∈C−{y}, and ∣B−(C−{y})∣≥τ(L)−1|B-(C-\{y\})|\ge\tau(\mathbf L)-1∣B−(C−{y})∣≥τ(L)−1 for B∈b(L)B\in b(\mathbf L)B∈b(L).
  • (4.5) In a critical MBC, a non-initial xxx lies on a circuit CCC with ∣C∣≥3|C|\ge3∣C∣≥3 whose other elements are initial and point to xxx, and ∣B∩(C−{x})∣≤1|B\cap(C-\{x\})|\le1∣B∩(C−{x})∣≤1 for B∈mb(L)B\in mb(\mathbf L)B∈mb(L).
  • (4.6) A nontrivial critical MBC has a member consisting of initial elements.
  • (5.1) A binary clutter with six elements x1,y1,x2,y2,x3,y3x_1,y_1,x_2,y_2,x_3,y_3x1​,y1​,x2​,y2​,x3​,y3​ whose only circuits are the three sets {xi,yi,xj,yj}\{x_i,y_i,x_j,y_j\}{xi​,yi​,xj​,yj​}, together with a member AAA that meets each pair {xi,yi}\{x_i,y_i\}{xi​,yi​} once and satisfies a minimality condition, has a Q6Q_6Q6​ minor.

Significance

The theorem is an excluded-minor characterization of the max-flow min-cut property. For binary clutters it decides exactly when the covering system Mx≥1Mx\ge1Mx≥1, x≥0x\ge0x≥0 has integral optimal primal and dual solutions for every integral cost vector, and it identifies Q6Q_6Q6​ as the single obstruction. Its matroid form (the Corollary, p. 220) states that for a matroid MMM the port Ω(M)\Omega(M)Ω(M) is Mengerian for every element Ω\OmegaΩ if and only if MMM is binary and has no F7∗F_7^*F7∗​ minor. Consequences discussed in the paper include the two-commodity setting of (3.5): the clutter of minimal edge sets joining sss to s′s's′ or ttt to t′t't′ is Mengerian exactly when the graph does not reduce to the configuration of its Figure 2. The theorem is also a basis for later work on ideal and Mengerian clutters, such as Cornuéjols' book Combinatorial Optimization: Packing and Covering (SIAM, 2001).

The result has been proved since 1977. To our knowledge no machine-checked proof exists. Mathlib at the pinned revision has matroids but no clutters, blockers, clutter minors, or matroids representable over GF(2). This mission builds that layer. The minor-closedness of the Mengerian property (2.3), the parity decomposition (3.6)(iii) and the structure theory of critical Mengerian binary clutters (4.3)–(4.6) are results in their own right and are useful beyond the main theorem.

Difficulty

The "only if" direction is short: minors of Mengerian clutters are Mengerian, and Q6Q_6Q6​ fails with unit weights. The "if" direction is, in the author's words, "very much harder". A natural first idea is to show directly, by LP duality, that the covering polyhedron of a Q6Q_6Q6​-free binary clutter is integral. This does not work: integrality of the polyhedron is the weak max-flow min-cut property, and Q6Q_6Q6​ itself has that property while not being Mengerian, so no argument that sees only fractional optima can separate the two cases. The paper's proof works with a minimal counterexample and derives the Q6Q_6Q6​ minor from the structure of critical Mengerian binary clutters in Section 4; its intermediate claims (5.2)–(5.39) hold only for that minimal counterexample, which is why they are not milestones here.

Formalization scope

Elements form a type α with decidable equality. A clutter is L : Finset (Finset α) with the clutter axiom as a hypothesis, E(L)E(\mathbf L)E(L) is the union of members, and deletion and contraction take an arbitrary finite set ZZZ. Weights www and packings qqq are N\mathbb NN-valued. The minimum in the Mengerian condition is expressed as "some B∈b(L)B\in b(\mathbf L)B∈b(L) of least weight has weight equal to the packing value", never as an infimum. {∅}\{\emptyset\}{∅} is Mengerian by the paper's convention, and τ({∅})\tau(\{\emptyset\})τ({∅}), which the paper leaves undefined, has the junk value 000 in Lean; every item reading τ\tauτ excludes {∅}\{\emptyset\}{∅} or is vacuous there. "Minor" is the reflexive–transitive closure of single deletions and contractions. "Has a Q6Q_6Q6​ minor" means that some minor equals the image of Q6Q_6Q6​ (on Fin 6, with the paper's labels shifted down by one) under an injective relabelling Fin 6 ↪ α. Binary clutters are defined by (3.2)(ii); the paper defines them as ports of binary matroids and quotes (3.2) [15, 28] for the equivalence, and Mathlib has no GF(2)-representable matroids at this revision. Circuits are defined intrinsically, which makes (3.6)(ii) hold by definition.

Four readings would change the theorem and are ruled out: real-valued packings qqq (the weak max-flow min-cut property, which Q6Q_6Q6​ has, so the goal would be false), a non-minimal blocker or one not restricted to E(L)E(\mathbf L)E(L), dropping the {∅}\{\emptyset\}{∅} exception, and reading "Q6Q_6Q6​ minor" as literal equality instead of isomorphism.

A complete development needs the blocker calculus ((2.1), (2.2), cited from [28] with proofs omitted), the parity theory of binary clutters, and the replication operation Lw\mathbf L_wLw​. The clutter layer (blocker, minors, Mengerian, binary, circuits) is reusable for later work on ideal clutters, Lehman's theorem and the Corollary's matroid form. Proofs of any milestone, of the helper facts b(b(L))=Lb(b(\mathbf L))=\mathbf Lb(b(L))=L, (2.1) and (2.2), and of the equivalences in (3.2) are welcome.

Selected references

  • P. D. Seymour, The Matroids with the Max-Flow Min-Cut Property, J. Combin. Theory Ser. B 23 (1977) 189–222. https://doi.org/10.1016/0095-8956(77)90031-4
  • J. Edmonds and D. R. Fulkerson, Bottleneck extrema, J. Combin. Theory 8 (1970) 299–306. https://doi.org/10.1016/S0021-9800(70)80083-7
  • L. R. Ford and D. R. Fulkerson, Maximal flow through a network, Canad. J. Math. 8 (1956) 399–404. https://doi.org/10.4153/CJM-1956-045-5
  • G. Cornuéjols, Combinatorial Optimization: Packing and Covering, CBMS-NSF Regional Conf. Ser. in Appl. Math. 74, SIAM, 2001. https://doi.org/10.1137/1.9780898717105
30 thms3 active usersReviewed
Operations ResearchOptimization·Captain: Shuze Chen

Discrete Convex Analysis XI: Max-Flow Min-Cut for Submodular FlowsTextbook

Motivation

Chapters 6 through 8 built M-convex and L-convex functions and their conjugacy theory as abstract combinatorial objects on the integer lattice. Chapter 9 grounds that theory in a setting every reader already knows: network flows. The chapter's throughline is that the classical minimum cost flow problem — flows bounded by simple arc capacities, with a single linear cost — is a shadow of a much richer submodular flow problem, in which the constraint on a flow's boundary is not "equal a fixed supply vector" but "lie in the base polyhedron of an arbitrary submodular set function." This mission formalizes the feasibility theory for both problems and its capstone: a max-flow min-cut theorem for submodular flows that specializes to the classical max-flow min-cut theorem exactly when the submodular function degenerates to a plain capacity function.

Setting

Let G=(V,A)G = (V, A)G=(V,A) be a finite directed graph, with tail,head:A→V\mathrm{tail}, \mathrm{head} : A \to Vtail,head:A→V giving each arc's start and end vertex. The boundary of a flow ξ:A→R\xi : A \to \mathbb Rξ:A→R is ∂ξ(v)=∑a:tail(a)=vξ(a)−∑a:head(a)=vξ(a)\partial\xi(v) = \sum_{a : \mathrm{tail}(a) = v} \xi(a) - \sum_{a : \mathrm{head}(a) = v} \xi(a)∂ξ(v)=∑a:tail(a)=v​ξ(a)−∑a:head(a)=v​ξ(a). For X⊆VX \subseteq VX⊆V, Δ+X\Delta^+XΔ+X and Δ−X\Delta^-XΔ−X are the arcs leaving and entering XXX. Given an upper capacity cˉ:A→R∪{+∞}\bar c : A \to \mathbb R \cup \{+\infty\}cˉ:A→R∪{+∞} and lower capacity c‾:A→R∪{−∞}\underline c : A \to \mathbb R \cup \{-\infty\}c​:A→R∪{−∞}, the cut capacity function is κ(X)=cˉ(Δ+X)−c‾(Δ−X)\kappa(X) = \bar c(\Delta^+X) - \underline c(\Delta^-X)κ(X)=cˉ(Δ+X)−c​(Δ−X). A submodular set function ρ:2V→R∪{+∞}\rho : 2^V \to \mathbb R \cup \{+\infty\}ρ:2V→R∪{+∞} with ρ(∅)=ρ(V)=0\rho(\emptyset) = \rho(V) = 0ρ(∅)=ρ(V)=0 plays the same structural role as κ\kappaκ but is arbitrary problem data rather than a derived quantity.

Formalization targets

Goal: Theorem 9.13 (max-flow min-cut for submodular flows)

For a feasible maximum submodular flow problem on a specified arc a0a_0a0​: sup⁡{ξ(a0):ξ feasible}=min⁡(cˉ(a0),min⁡X{cˉ(Δ−X)−c‾(Δ+X∖{a0})+ρ(X):a0∈Δ+X})\sup\{\xi(a_0) : \xi \text{ feasible}\} = \min\big(\bar c(a_0), \min_X\{\bar c(\Delta^-X) - \underline c(\Delta^+X \setminus \{a_0\}) + \rho(X) : a_0 \in \Delta^+X\}\big)sup{ξ(a0​):ξ feasible}=min(cˉ(a0​),minX​{cˉ(Δ−X)−c​(Δ+X∖{a0​})+ρ(X):a0​∈Δ+X}), a common value in R∪{+∞}\mathbb R \cup \{+\infty\}R∪{+∞}; if the data is integer valued and the value is finite, an integer-valued maximum flow exists.

Milestones: Proposition 9.2, Theorem 9.3, Theorem 9.10

Proposition 9.2: the cut capacity function κ\kappaκ is always submodular — the fact that lets the classical minimum cost flow problem's feasibility be phrased in exactly the same base- polyhedron language as the general submodular flow problem. Theorem 9.3: a flow meeting the capacity constraint with boundary xxx exists if and only if x(X)≤κ(X)x(X) \le \kappa(X)x(X)≤κ(X) for all XXX and x(V)=0x(V) = 0x(V)=0 — the classical case, and the direct predecessor of the goal's feasibility side. Theorem 9.10: the submodular flow problem is feasible if and only if cˉ(Δ−X)−c‾(Δ+X)+ρ(X)≥0\bar c(\Delta^-X) - \underline c(\Delta^+X) + \rho(X) \ge 0cˉ(Δ−X)−c​(Δ+X)+ρ(X)≥0 for all XXX — obtained from Theorem 9.3 via Edmonds's intersection theorem in the book's own proof, and the feasibility half of the goal's own maximum-flow variant.

Significance

The result itself. Theorem 9.13 is a genuine generalization of the max-flow min-cut theorem — one of the most-cited results in combinatorial optimization — to a submodularly constrained setting where the classical single-source-single-sink cut structure is replaced by an arbitrary vertex subset XXX scored by a submodular function ρ\rhoρ rather than merely counted. It specializes to the classical theorem when ρ\rhoρ is the indicator of a fixed boundary value and the graph carries a single source/sink; the book's own derivation (dividing the target arc a0a_0a0​ and reducing to Theorem 9.10's feasibility criterion) is exactly the kind of "one shared mechanism explains two theorems" result this whole book is organized around.

Formalizing it. A prior-art search (GET /theorems?q=max-flow min-cut) found two existing platform items for the classical theorem — LinearOptimization.max_flow_min_cut (Bertsimas & Tsitsiklis, single source/sink, plain capacities) and menger_directed_max_flow (Ford-Fulkerson, integer capacities) — both at a genuinely different, simpler generality (no lower capacity bounds, no submodular vertex-cut function, a fixed source/sink rather than an arbitrary marked arc). A further search (q=network flow) found a distinct mission formalizing Bertsimas & Tsitsiklis's uncapacitated network flow LP theory (basic feasible solutions, tree solutions, basis-matrix integrality) — a different technique (linear-algebraic, not cut-based) for a different problem (no capacities at all). Neither family is reused; this mission gives the first formal statement of submodular-flow feasibility and its max-flow min-cut theorem at the book's own generality.

Difficulty

The obvious shortcut — state only the value equality of Theorem 9.13 and drop the integrality clause — would misrepresent the theorem's own content: the equality of the extremal values follows from ordinary LP duality on the polyhedron B(κ)∩B(ρ)B(\kappa) \cap B(\rho)B(κ)∩B(ρ) (arguably already within reach of chunk 04's Edmonds's intersection theorem machinery, as the book's own proof of the feasibility predecessor Theorem 9.10 uses exactly that), whereas the integer-flow existence half is the theorem's genuine combinatorial content, unique to the integer lattice. This chunk keeps both halves in every drafted theorem (Theorem 9.3, 9.10, and the goal) rather than only the polyhedral half.

A second, more structural difficulty governed this chunk's scope: BRIEF.md recommended Theorem 9.4 (the potential-optimality criterion) and its M-convex-cost specialization Theorem 9.14 as milestones, but both need a polyhedral convexity hypothesis on real-valued (or M-convex) functions over RV\mathbb R^VRV that this series has never built — the identical scope boundary chunk 10 hit with Theorem 8.4. Rather than silently drop the polyhedral-convexity hypothesis (which would make the drafted statement unsound, since the theorem's hard direction genuinely needs it), this chunk selects only results — Proposition 9.2, Theorem 9.3, Theorem 9.10, Theorem 9.13 — that need no convexity apparatus of any kind, only the submodularity of κ\kappaκ/ρ\rhoρ and elementary capacity-constraint feasibility.

Formalization scope

VVV and AAA are Fintypes with DecidableEq V (and DecidableEq A where a Finset.erase is needed); tail, head : A → V are plain functions, not a bundled graph structure. Every capacity- and cut-related quantity is WithTop ℝ-valued (ℝ ∪ {+∞}) throughout, with no EReal: a per-term check (documented in MODERATION_NOTES.md) confirms every subtraction this chunk needs is really an addition of two terms each individually in R∪{+∞}\mathbb R \cup \{+\infty\}R∪{+∞}, via a small new cast NegLowerToUpper : WithBot ℝ → WithTop ℝ. The base polyhedron B(ρ)B(\rho)B(ρ) is stated by its defining inequalities rather than via a named polyhedral object (chunk 04's BasePolyhedron is ℤ^V-domain and does not fit chapter 9's real-vector- space setting). Not drafted: Theorem 9.4/9.14 (needs the real-domain polyhedral-convexity layer above), Theorem 9.6 (needs a real-domain polyhedral L-convexity notion for its dual-integrality half), Theorem 9.5/9.18/9.20/9.22 (negative-cycle criteria, an alternative non-potential certificate family, checked against platform prior art and found adjacent only), Propositions 9.23–9.25 (supporting technical facts), and Theorems 9.26–9.28 (the separate network- transformation technique of §9.6). A trivializing formalization would state Theorem 9.13's value equality with the integrality clause dropped, or would silently allow cˉ\bar ccˉ/c‾\underline cc​ to range over all of EReal (permitting a nonsensical c‾(a)=+∞\underline c(a) = +\inftyc​(a)=+∞ upper- capacity-like lower bound); neither is done — both the integrality clause and the WithTop ℝ/WithBot ℝ type-level domain restriction are kept exactly as the book states them.

Selected references

  • K. Murota, Discrete Convex Analysis, SIAM, 2003. DOI: 10.1137/1.9780898718508.
16 thms3 active usersReviewed
Convex OptimizationDiscrete GeometryOperations Research+1·Captain: Shuze Chen

Discrete Convex Analysis XXI: The Exchange Axiom as Local OptimalityTextbook

Motivation

Convexity on the integer lattice cannot be defined by the classical secant-line inequality alone: a function can be midpoint-convex along every line and still admit no useful global optimality theory, because integer points off a chosen line are invisible to it. M-convex functions, introduced by Murota, resolve this by replacing the secant condition with an exchange axiom directly generalizing the basis-exchange property of matroids and the convex-hull structure of network flows: a function on the integer lattice is M-convex if, whenever two points can be improved by moving one coordinate up and a compensating coordinate down, at least one such move weakly improves the sum of the two function values. This single axiom turns out to be equivalent to several strikingly different-looking properties — invariance under a wide family of domain operations, supermodularity in the M♮ (translation-invariant) case, and, most importantly, a local-to-global optimality principle: a point is a global minimizer of an M-convex function if and only if no single coordinate exchange improves it. This mission develops the algebraic core of that theory — the exchange axiom's basic consequences, its equivalent local and dynamic reformulations, and the operations that preserve it — building toward the theorem that recasts M-convexity itself as an algorithmically meaningful local-search guarantee.

Companion mission 06-mconvex-functions-i (Discrete Convex Analysis V) covers this chapter's own primary line of development: the equivalence of M-convexity and M♮-convexity with their respective exchange axioms (Theorem 6.2), the M-optimality criterion (Theorem 6.26), a minimizer-cut lemma (Theorem 6.28), and the M-proximity theorem (Theorem 6.37, its goal). This mission builds the vocabulary those results also need (redeclared here, since sibling drafts cannot yet import one another) and proves the results that chapter leaves for a second pass: the domain structure of M- and M♮-convex functions, worked examples (quadratic forms, quasi-separable functions), the operations that preserve M-convexity, supermodularity of the M♮-convex case, the descent-direction property, and — this mission's goal — the equivalence of the exchange axiom with a dynamic sequential-improvement property.

Setting

Fix a finite ground set VVV. A function f:ZV→R∪{+∞}f : \mathbb Z^V \to \mathbb R \cup \{+\infty\}f:ZV→R∪{+∞} with nonempty effective domain dom⁡f\operatorname{dom} fdomf is M-convex if it satisfies the exchange axiom (M-EXC[Z]): for x,y∈dom⁡fx, y \in \operatorname{dom} fx,y∈domf and u∈supp⁡+(x−y)u \in \operatorname{supp}^+(x-y)u∈supp+(x−y) (coordinates where xxx exceeds yyy), there is v∈supp⁡−(x−y)v \in \operatorname{supp}^-(x-y)v∈supp−(x−y) with

f(x)+f(y)≥f(x−χu+χv)+f(y+χu−χv).f(x) + f(y) \ge f(x - \chi_u + \chi_v) + f(y + \chi_u - \chi_v).f(x)+f(y)≥f(x−χu​+χv​)+f(y+χu​−χv​).

Writing f~(x0,x)=f(x)\tilde f(x_0, x) = f(x)f~​(x0​,x)=f(x) when x0=−x(V)x_0 = -x(V)x0​=−x(V) and +∞+\infty+∞ otherwise (a lift to one extra coordinate), fff is M♮^\natural♮-convex if f~\tilde ff~​ is M-convex; M♮-convexity is a genuine generalization of M-convexity (every M-convex function is M♮-convex, but not conversely) and coincides with it exactly when dom⁡f\operatorname{dom} fdomf lies on a single hyperplane. The linear-weighted function f[p](x)=f(x)−⟨p,x⟩f[p](x) = f(x) - \langle p, x \ranglef[p](x)=f(x)−⟨p,x⟩ (for p∈RVp \in \mathbb R^Vp∈RV) is the standard device for testing local optimality under an arbitrary reweighting.

Formalization targets

Goal: the exchange axiom as sequential improvement

f is M-convex  ⟺  ∀p∈RV, ∀x,y∈dom⁡f, f[p](x)>f[p](y)  ⟹  f[p](x)>min⁡u∈supp⁡+(x−y) min⁡v∈supp⁡−(x−y)f[p](x−χu+χv),f \text{ is M-convex} \iff \forall p \in \mathbb R^V,\ \forall x, y \in \operatorname{dom} f,\ f[p](x) > f[p](y) \implies f[p](x) > \min_{u \in \operatorname{supp}^+(x-y)}\ \min_{v \in \operatorname{supp}^-(x-y)} f[p](x - \chi_u + \chi_v),f is M-convex⟺∀p∈RV, ∀x,y∈domf, f[p](x)>f[p](y)⟹f[p](x)>u∈supp+(x−y)min​ v∈supp−(x−y)min​f[p](x−χu​+χv​),

with the analogous statement for M♮-convexity (Theorem 6.24). This is the weakest stable form: it makes no reference to a specific algorithm, only to the existence of an improving single exchange whenever the current point is suboptimal under any linear reweighting — a property a faster algorithm could exploit without invalidating the characterization itself.

Supporting structural targets

Eleven further results build the vocabulary and toolkit this goal draws on: the domain structure of M-convex and M♮-convex functions (Propositions 6.1, 6.7), the equivalence of the exchange axiom with a local, bounded-distance version (Theorem 6.4), worked examples establishing M-convexity for quadratic forms, univariate, conservation-law, and quasi-separable functions (Propositions 6.8-6.9), the domain and range operations preserving M-convexity (Theorem 6.13, Proposition 6.14), supermodularity of the M♮-convex case (Theorem 6.19), the descent-direction property (Proposition 6.23) that Theorem 6.24 generalizes, and a discrete subgradient inequality (Proposition 6.25).

Significance

Theorem 6.24 is the bridge between the static exchange axiom (a property of function values at pairs of points) and the dynamic behavior of local-search algorithms: it says a greedy single-coordinate-exchange step, applied to any linearly reweighted version of an M-convex function, always finds a strict improvement when one exists. This is exactly the guarantee that makes steepest-descent-type algorithms for M-convex function minimization correct, and it is the theorem chapter 10's algorithmic analysis (Schrijver-type methods) relies on implicitly whenever it argues that local exchange steps make global progress. The descent-direction property (Proposition 6.23) is the special case p=0p=0p=0, isolating the core combinatorial fact before the reweighting machinery is added. The operations catalog (Theorem 6.13) is the practical toolkit that lets later chapters build complex M-convex functions (network flow costs, matroid rank functions composed with linear maps) from simple pieces without re-verifying the exchange axiom from scratch each time.

None of these results are open — they are Murota's own systematic development of the exchange- axiom theory, with worked examples drawn from classical quadratic and separable function theory. What this mission contributes is a faithful, machine-checked formal statement of each, sharing the Lean vocabulary (MExchangeAxiom, MNaturalConvex, LinearWeight) the rest of the Discrete Convex Analysis series builds on; no comparable formalization exists on the platform (see Formalization scope).

Difficulty

The forward direction of Theorem 6.24 (M-convex   ⟹  \implies⟹ sequential improvement) follows in one step from Proposition 6.23 applied to f[p]f[p]f[p], itself M-convex by Theorem 6.13(3) — routine once those two pieces are in hand. The converse is the substantial direction: it must derive the full static exchange axiom from a property that only ever exhibits some improving exchange at some linear weighting, for every pair of suboptimal points — the proof constructs an explicit adversarial weighting ppp designed so that failure of the local exchange step at that specific ppp forces the domain itself to be M-convex (via Theorem 4.3) and then forces the local exchange axiom (M-EXCloc[Z]) via a bipartite-matching argument on the coordinates that differ, finally invoking Theorem 6.4 to lift locality to the full exchange axiom. No shortcut bypasses this two-stage reduction (domain structure, then local exchange) — attempting to verify (M-EXC[Z]) directly from (M-SI[Z]) without first pinning down that dom⁡f\operatorname{dom} fdomf is M-convex fails because the exchange axiom's own statement presupposes a well-structured domain.

Formalization scope

Ground-set elements are a Fintype V with DecidableEq; functions are (V → ℤ) → WithTop ℝ. SuppPos/SuppNeg are Finset V (not Set V), matching how the (M-SI[Z])/(M♮-SI[Z]) axioms and the descent-direction property use Finset.inf, whose value on an empty index set is ⊤ — exactly the book's own stated convention for an empty minimum. No Module ℝ or ConvexOn machinery is used for WithTop ℝ-valued arithmetic; scalar actions by positive reals (PosScalarMul, Theorem 6.13(1)) and by naturals (FCheck's flow coefficients, Proposition 6.25) are built directly from the native order and AddMonoid structure. No numeric constants are hard-coded anywhere in this mission (rule 7 is vacuous); Proposition 6.8's quadratic-form conditions are stated with the book's own literal coefficients (000, and the min/≥ structure of Eq. (6.25)-(6.28)), not a special case. Theorem 6.13's parts (7) (aggregation) and (8) (integer infimal convolution) are not restated here since the book itself proves them only later via Chapter 9's network-transformation machinery — see the Difficulty note and MODERATION_NOTES.md; this is not a trivializing omission, since the six operations that are included already exercise every domain- and range-transformation technique this mission's goal needs. This mission's definitions (MExchangeAxiom, MNaturalConvex, CharVec, DomZ, SuppPos, SuppNeg, CharVecOpt) are redeclared from chunk 06-mconvex-functions-i rather than imported, since sibling drafts in this series cannot yet reference one another. Contributions completing any of the twelve sorrys are welcome; the goal's converse direction and Theorem 6.13's operations are the two with the most independent proof content.

Selected references

  • K. Murota, Discrete Convex Analysis, SIAM, 2003. DOI: 10.1137/1.9780898718508.
  • K. Murota, "Discrete convex analysis," Mathematical Programming, 83 (1998), pp. 313-371 (the exchange axiom and its equivalent local/dynamic reformulations).
38 thms3 active usersReviewed
Convex OptimizationDiscrete GeometryOperations Research+1·Captain: Shuze Chen

Discrete Convex Analysis XIX: Discrete Separation for M-Convex SetsTextbook

Motivation

Submodular set functions are the combinatorial stand-in for convexity: a function ρ:2V→R\rho : 2^V \to \mathbb Rρ:2V→R on the subsets of a finite ground set VVV is submodular if ρ(X)+ρ(Y)≥ρ(X∪Y)+ρ(X∩Y)\rho(X) + \rho(Y) \ge \rho(X \cup Y) + \rho(X \cap Y)ρ(X)+ρ(Y)≥ρ(X∪Y)+ρ(X∩Y), and this single diminishing-returns inequality drives an enormous range of combinatorial optimization — matroid rank functions, graph cut capacities, entropy, coverage functions, and the max-flow min-cut theorem all arise as special or dual cases (Edmonds 1970; Lovász 1983; Fujishige 2005). M-convex sets are the "vector" incarnation of the same idea: subsets BBB of ZV\mathbb Z^VZV satisfying an exchange axiom that generalizes the basis-exchange property of matroids to sets of integer points lying on a common hyperplane. Murota's Discrete Convex Analysis (SIAM, 2003) develops both sides of this correspondence and proves they coincide exactly: M-convex sets are precisely the integer points of the base polyhedra of integer-valued submodular functions. This mission covers the second half of that development — the structural theory (integrality, holes, Minkowski sums) that turns the correspondence into a working calculus, and its capstone, a discrete separation theorem for two disjoint M-convex sets whose separating hyperplane is forced to have {0,1}\{0,1\}{0,1}- or {0,−1}\{0,-1\}{0,−1}-valued coefficients.

Companion mission 04-mconvex-sets (Discrete Convex Analysis III) covers the same chapter's foundational results: the equivalence of the exchange-axiom variants, the one-to-one correspondence between M-convex sets and integer submodular functions (Theorem 4.15), Edmonds's intersection theorem (Theorem 4.18), and Frank's discrete separation theorem for submodular/ supermodular pairs (Theorem 4.17). This mission builds on that vocabulary (redeclared here, since draft missions in the same series cannot yet import one another) and proves the results the chapter leaves for its second half.

Setting

Fix a finite ground set VVV. A vector x∈ZVx \in \mathbb Z^Vx∈ZV assigns an integer x(v)x(v)x(v) to each v∈Vv \in Vv∈V; write x(X)=∑v∈Xx(v)x(X) = \sum_{v \in X} x(v)x(X)=∑v∈X​x(v) for X⊆VX \subseteq VX⊆V. For x,y∈ZVx, y \in \mathbb Z^Vx,y∈ZV, the positive support supp⁡+(x−y)={v:x(v)>y(v)}\operatorname{supp}^+(x-y) = \{v : x(v) > y(v)\}supp+(x−y)={v:x(v)>y(v)} and negative support supp⁡−(x−y)={v:x(v)<y(v)}\operatorname{supp}^-(x-y) = \{v : x(v) < y(v)\}supp−(x−y)={v:x(v)<y(v)} record where xxx exceeds, and falls short of, yyy. A nonempty set B⊆ZVB \subseteq \mathbb Z^VB⊆ZV is M-convex if it satisfies the exchange axiom (B-EXC[Z]): for all x,y∈Bx, y \in Bx,y∈B and u∈supp⁡+(x−y)u \in \operatorname{supp}^+(x-y)u∈supp+(x−y), some v∈supp⁡−(x−y)v \in \operatorname{supp}^-(x-y)v∈supp−(x−y) has both x−χu+χv∈Bx - \chi_u + \chi_v \in Bx−χu​+χv​∈B and y+χu−χv∈By + \chi_u - \chi_v \in By+χu​−χv​∈B, where χu\chi_uχu​ is the characteristic vector of uuu.

A set function ρ:2V→R∪{+∞}\rho : 2^V \to \mathbb R \cup \{+\infty\}ρ:2V→R∪{+∞} with ρ(∅)=0\rho(\emptyset) = 0ρ(∅)=0 and ρ(V)<+∞\rho(V) < +\inftyρ(V)<+∞ is submodular (the class S[R]S[\mathbb R]S[R], or S[Z]S[\mathbb Z]S[Z] when integer-valued) if ρ(X)+ρ(Y)≥ρ(X∪Y)+ρ(X∩Y)\rho(X) + \rho(Y) \ge \rho(X \cup Y) + \rho(X \cap Y)ρ(X)+ρ(Y)≥ρ(X∪Y)+ρ(X∩Y) for all X,YX, YX,Y. Its base polyhedron is B(ρ)={x∈RV:x(X)≤ρ(X) (∀X), x(V)=ρ(V)}B(\rho) = \{x \in \mathbb R^V : x(X) \le \rho(X)\ (\forall X),\ x(V) = \rho(V)\}B(ρ)={x∈RV:x(X)≤ρ(X) (∀X), x(V)=ρ(V)}. The Lovász extension ρ^:RV→R∪{±∞}\hat\rho : \mathbb R^V \to \mathbb R \cup \{\pm\infty\}ρ^​:RV→R∪{±∞} linearly interpolates ρ\rhoρ off {0,1}V\{0,1\}^V{0,1}V: sorting the distinct values of p∈RVp \in \mathbb R^Vp∈RV as p^1>⋯>p^m\hat p_1 > \cdots > \hat p_mp^​1​>⋯>p^​m​ and setting Ui={v:p(v)≥p^i}U_i = \{v : p(v) \ge \hat p_i\}Ui​={v:p(v)≥p^​i​}, it is ρ^(p)=∑i=1m−1(p^i−p^i+1)ρ(Ui)+p^mρ(Um)\hat\rho(p) = \sum_{i=1}^{m-1}(\hat p_i - \hat p_{i+1})\rho(U_i) + \hat p_m \rho(U_m)ρ^​(p)=∑i=1m−1​(p^​i​−p^​i+1​)ρ(Ui​)+p^​m​ρ(Um​).

Formalization targets

Goal: discrete separation for M-convex sets

B1∩B2=∅  ⟹  ∃ p∗∈{0,1}V∪{0,−1}V,inf⁡x∈B1⟨p∗,x⟩−sup⁡x∈B2⟨p∗,x⟩≥1,B_1 \cap B_2 = \emptyset \implies \exists\, p^* \in \{0,1\}^V \cup \{0,-1\}^V,\quad \inf_{x \in B_1}\langle p^*, x\rangle - \sup_{x \in B_2}\langle p^*, x\rangle \ge 1,B1​∩B2​=∅⟹∃p∗∈{0,1}V∪{0,−1}V,x∈B1​inf​⟨p∗,x⟩−x∈B2​sup​⟨p∗,x⟩≥1,

for M-convex sets B1,B2⊆ZVB_1, B_2 \subseteq \mathbb Z^VB1​,B2​⊆ZV (Theorem 4.21). This is the weakest stable form of the result — it asserts only the existence of a combinatorially special separator, not any bound tied to ∣V∣|V|∣V∣ or a particular construction, so it is not invalidated by a sharper algorithm for finding p∗p^*p∗.

Supporting structural targets

Eleven further results build the calculus this goal rests on: the hyperplane property of M-convex sets (Prop. 4.1), an equivalent one-sided exchange axiom (Prop. 4.2), nonemptiness and the support-function identity for B(ρ)B(\rho)B(ρ) (Props. 4.4-4.5), integrality of B(ρ)B(\rho)B(ρ) for integer-valued ρ\rhoρ (Prop. 4.6), the hole-free property identifying an M-convex set with the integer points of its own convex hull (Thm. 4.12), the two-way polyhedral description of M-convex sets via induced submodular functions (Props. 4.13-4.14), the equivalence of submodularity with convexity of the Lovász extension (Thm. 4.16, due to Lovász), integrality of the intersection of M-convex sets (Thm. 4.22), and Minkowski-sum identities for base polyhedra and M-convex sets (Thm. 4.23).

Significance

The discrete separation theorem is what makes M-convexity discrete rather than merely a polyhedral fact: ordinary separation of two disjoint convex sets by a hyperplane is classical, but here the separator is forced into {0,1}V∪{0,−1}V\{0,1\}^V \cup \{0,-1\}^V{0,1}V∪{0,−1}V — a purely combinatorial object — with no loss of strength. This is the mechanism behind integrality results across combinatorial optimization (e.g., that the intersection of two integral base polyhedra is integral, Theorem 4.22, used pervasively in matroid intersection and submodular flow algorithms). The structural results (holes, Minkowski sums, the Lovász-extension convexity equivalence) are the working toolkit every later use of M-convexity in the book — proximity theorems for M-convex functions (chunks 06+), the discrete conjugacy theorem, submodular flows — draws on without restating.

None of these results are open: Murota attributes the exchange-axiom theory to the matroid and submodular-function literature it systematizes, citing Edmonds, Frank, and Lovász by name for the specific theorems. What this mission produces is a machine-checked formal statement of each result exactly as the book states it, in a shared Lean vocabulary (ExchangeAxiomB, BasePolyhedron, LovaszExtension) that the rest of the Discrete Convex Analysis series builds on; no result here has a prior formalization on the platform (see Formalization scope).

Difficulty

The separation theorem is not proved by convex separation directly — the whole point is that the naive proof (apply the ordinary hyperplane separation theorem to the convex hulls of B1,B2B_1, B_2B1​,B2​, then argue the separator can be taken {0,1}\{0,1\}{0,1}-valued) does not go through, because convex separation alone gives no control over the separator's coefficients. The book instead derives it from Edmonds's intersection theorem (Theorem 4.18, chunk 04-mconvex-sets) applied to a submodular/supermodular pair built from B1,B2B_1, B_2B1​,B2​'s associated set functions (Theorem 4.15), routed through Frank's discrete separation theorem (Theorem 4.17) — a genuine two-step reduction, not a direct argument. A second, independent difficulty sits in the supporting results: the hole-free property (Theorem 4.12) requires an explicit induction reducing an arbitrary convex combination representing an integer point to a single element of BBB, a combinatorial exchange argument with no shortcut through general polyhedral theory.

Formalization scope

Ground-set elements are a Fintype V with DecidableEq; M-convex sets are Set (V → ℤ); submodular/supermodular functions are Finset V → WithTop ℝ / WithBot ℝ; base polyhedra are Set (V → ℝ). The Lovász extension is formalized directly from the book's own sorted-values construction (SortedValues, LevelSet, Eq. (4.4)-(4.6)), not via an equivalent closed form. Since WithTop ℝ carries no Module ℝ structure, convexity for Theorem 4.16 is stated via a bespoke nonnegative-scalar action (ScalarWithTop) rather than Mathlib's ConvexOn — this changes no mathematical content, only its packaging (see MODERATION_NOTES.md). No numeric constants are hard-coded anywhere in this mission (rule 7 is vacuous). The goal's hypothesis (ExchangeAxiomB plus Nonempty on each BiB_iBi​) is exactly the book's own definition of M-convexity — no weaker substitute (e.g. requiring a specific ρ\rhoρ witness in the hypothesis rather than deriving one, or dropping the {0,1}/{0,−1}\{0,1\}/\{0,-1\}{0,1}/{0,−1} constraint on p∗p^*p∗ in favor of a generic separator) would be faithful, and both trivializations are ruled out by construction. This mission's definitions (ExchangeAxiomB, BasePolyhedron, SubmodularSetFunction, LovaszExtension) are redeclared from chunk 04-mconvex-sets rather than imported, since sibling drafts in this series cannot yet reference one another; a later, published version of this book's namespace should consolidate them. Contributions completing any of the twelve sorrys are welcome; the hole-free property (Theorem 4.12) and the goal are the two with the most independent proof content.

Selected references

  • K. Murota, Discrete Convex Analysis, SIAM, 2003. DOI: 10.1137/1.9780898718508.
  • J. Edmonds, "Submodular functions, matroids, and certain polyhedra," in Combinatorial Structures and Their Applications, 1970, pp. 69-87.
  • A. Frank, "An algorithm for submodular functions on graphs," Annals of Discrete Mathematics, 16 (1982), pp. 97-120.
  • L. Lovász, "Submodular functions and convexity," in Mathematical Programming: The State of the Art, Springer, 1983, pp. 235-257.
29 thms3 active usersReviewed
Graph TheoryLinear OptimizationOperations Research·Captain: mikedeng1

Cones of Matrices and Set-Functions and 0–1 Optimization II: One Round of N on the Stable Set Polytope Gives Exactly the Odd Hole ConstraintsResearch Paper

Motivation

The stable set problem (vertex packing) asks for a largest set of pairwise non-adjacent nodes of a graph. It is NP-hard, and its polyhedral study, the description of the stable set polytope STAB(G)\mathrm{STAB}(G)STAB(G) by linear inequalities, is one of the most studied topics of polyhedral combinatorics. Classes of valid inequalities (clique, odd hole, odd antihole, wheel constraints) and the graph classes they describe exactly (perfect, ttt-perfect, hhh-perfect graphs) organize much of that literature; see Grötschel, Lovász and Schrijver, Geometric Algorithms and Combinatorial Optimization (Springer, 1988).

Lovász and Schrijver (SIAM J. Optim. 1(2), 1991) introduced a general lift-and-project procedure for 0–1 programs: lift a relaxation KKK into a space of matrices, impose linear conditions that every 0–1 point satisfies, and project back. One round of their operator NNN gives a tighter relaxation N(K)N(K)N(K) that still contains every 0–1 point of KKK; nnn rounds give the 0–1 hull. The procedure is an ancestor of the Sherali–Adams and Lasserre hierarchies, and the stable set problem is its first test case. This mission formalizes the paper's exact description of what one round of NNN does to the fractional stable set polytope: it adds precisely the odd hole constraints.

Setting

Let G=(V,E)G = (V, E)G=(V,E) be a finite graph with no isolated nodes, n=∣V∣n = |V|n=∣V∣. Vectors of RV∪{0}\mathbb{R}^{V \cup \{0\}}RV∪{0} have a distinguished coordinate x0x_0x0​; RV\mathbb{R}^VRV sits inside as the hyperplane H0={x0=1}H_0 = \{x_0 = 1\}H0​={x0​=1}, via x↦(1,x)x \mapsto (1, x)x↦(1,x).

  • FRAC(G)⊆RV\mathrm{FRAC}(G) \subseteq \mathbb{R}^VFRAC(G)⊆RV is the solution set of the nonnegativity constraints xi≥0x_i \ge 0xi​≥0 (i∈Vi \in Vi∈V) and the edge constraints xi+xj≤1x_i + x_j \le 1xi​+xj​≤1 (ij∈Eij \in Eij∈E).
  • FR(G)⊆RV∪{0}\mathrm{FR}(G) \subseteq \mathbb{R}^{V\cup\{0\}}FR(G)⊆RV∪{0} is the cone given by xi≥0x_i \ge 0xi​≥0 and xi+xj≤x0x_i + x_j \le x_0xi​+xj​≤x0​; it is the cone spanned by the vectors (1,x)(1, x)(1,x) with x∈FRAC(G)x \in \mathrm{FRAC}(G)x∈FRAC(G).
  • QQQ is the cone spanned by the 0–1 vectors with x0=1x_0 = 1x0​=1. For a convex cone KKK, its polar cone is K∗={u:uTx≥0 ∀x∈K}K^* = \{u : u^{\mathsf T}x \ge 0 \ \forall x \in K\}K∗={u:uTx≥0 ∀x∈K}.
  • M(K)=M(K,Q)M(K) = M(K, Q)M(K)=M(K,Q) is the set of (n+1)×(n+1)(n+1)\times(n+1)(n+1)×(n+1) matrices Y=(yij)Y = (y_{ij})Y=(yij​) that are symmetric, satisfy yii=y0iy_{ii} = y_{0i}yii​=y0i​ for i∈Vi \in Vi∈V, and satisfy uTYv≥0u^{\mathsf T} Y v \ge 0uTYv≥0 for all u∈K∗u \in K^*u∈K∗, v∈Q∗v \in Q^*v∈Q∗.
  • N(K)={Ye0:Y∈M(K)}N(K) = \{Y e_0 : Y \in M(K)\}N(K)={Ye0​:Y∈M(K)}, and N(G)={x∈RV:(1,x)∈N(FR(G))}N(G) = \{x \in \mathbb{R}^V : (1, x) \in N(\mathrm{FR}(G))\}N(G)={x∈RV:(1,x)∈N(FR(G))}.
  • A set C⊆VC \subseteq VC⊆V is an odd hole if it induces a chordless cycle of odd length ∣C∣≥3|C| \ge 3∣C∣≥3 (triangles included). Its odd hole constraint is ∑i∈Cxi≤12(∣C∣−1)\sum_{i \in C} x_i \le \frac12(|C| - 1)∑i∈C​xi​≤21​(∣C∣−1).

Formalization targets

Goal: Theorem 2.3 (p. 178)

For every finite graph GGG without isolated nodes,

N(G)={x∈RV:xi≥0 (i∈V),  xi+xj≤1 (ij∈E),  ∑i∈Cxi≤12(∣C∣−1) (C an odd hole)}.N(G) = \Big\{x \in \mathbb{R}^V : x_i \ge 0\ (i \in V),\ \ x_i + x_j \le 1\ (ij \in E),\ \ \sum_{i \in C} x_i \le \tfrac12(|C|-1)\ (C \text{ an odd hole})\Big\}.N(G)={x∈RV:xi​≥0 (i∈V),  xi​+xj​≤1 (ij∈E),  i∈C∑​xi​≤21​(∣C∣−1) (C an odd hole)}.

Milestones, in the order the proof uses them

  1. Lemma 1.3 (p. 171): for a convex cone K⊆QK \subseteq QK⊆Q and i∈Vi \in Vi∈V, N(K)⊆(K∩Hi)+(K∩Gi)N(K) \subseteq (K \cap H_i) + (K \cap G_i)N(K)⊆(K∩Hi​)+(K∩Gi​), with Hi={xi=0}H_i = \{x_i = 0\}Hi​={xi​=0}, Gi={xi=x0}G_i = \{x_i = x_0\}Gi​={xi​=x0​}.
  2. Lemma 2.2 (p. 178): if both the deletion and the contraction of some node vvv give inequalities valid for KKK, then aTx≤ba^{\mathsf T}x \le baTx≤b is valid for N(K)N(K)N(K).
  3. Part (1) of the proof of Theorem 2.3 (p. 178): for an odd hole CCC and i∈Ci \in Ci∈C, the deletion and contraction of iii in the odd hole constraint are valid for FRAC(G)\mathrm{FRAC}(G)FRAC(G).
  4. Observation of Section 2.b (p. 177): every Y∈M(FR(G))Y \in M(\mathrm{FR}(G))Y∈M(FR(G)) has yij=0y_{ij} = 0yij​=0 for ij∈Eij \in Eij∈E.
  5. Part (2) of the proof of Theorem 2.3 (p. 178): x∈N(G)x \in N(G)x∈N(G) if and only if some nonnegative symmetric YYY with y00=1y_{00} = 1y00​=1, yi0=yii=xiy_{i0} = y_{ii} = x_iyi0​=yii​=xi​ satisfies xi+xj+xk−1≤yik+yjk≤xkx_i + x_j + x_k - 1 \le y_{ik} + y_{jk} \le x_kxi​+xj​+xk​−1≤yik​+yjk​≤xk​ for all i,j,ki, j, ki,j,k with ij∈Eij \in Eij∈E.
  6. Lemma 2.4 (p. 178): a system a(ij)≤yi+yj≤b(ij)a(ij) \le y_i + y_j \le b(ij)a(ij)≤yi​+yj​≤b(ij), y≥0y \ge 0y≥0, y∣U=0y|_U = 0y∣U​=0 on a graph is infeasible if and only if a walk with a negative alternating sum of one of four types exists.

Significance

Theorem 2.3 gives a complete description of one round of NNN on the stable set problem: the only new constraints are the odd hole constraints. Consequences:

  • For ttt-perfect graphs (those for which nonnegativity, edge and odd hole constraints describe STAB(G)\mathrm{STAB}(G)STAB(G)), N(G)=STAB(G)N(G) = \mathrm{STAB}(G)N(G)=STAB(G).
  • It is the base case for the paper's bounds on the NNN-index of stable set inequalities (Theorem 2.13), and it contrasts with the semidefinite operator N+N_+N+​, which after one round already satisfies clique, odd antihole and wheel constraints.
  • Lemma 2.4 is a combinatorial feasibility criterion for systems with two variables per inequality, useful beyond this paper.

The result has been proved since 1991. At the time of drafting, Prove2Me holds no formalization of it or of any part of the Lovász–Schrijver construction, and Mathlib has none. The mission produces a formal account of the NNN operator on the stable set polytope and a formal proof of the walk criterion for two-variable systems.

Difficulty

The inclusion of N(G)N(G)N(G) in the odd hole system is a short argument once Lemma 1.3 is available. The reverse inclusion is the substance: given xxx satisfying all odd hole constraints, one must exhibit a lifted matrix YYY. A direct appeal to Farkas' lemma yields a certificate with no visible relation to odd cycles; the difficulty is to show that every obstruction to solvability of the matrix system forces a violated odd hole constraint, which is what Lemma 2.4 and the analysis of its four walk types accomplish. Case (d) of that analysis needs the odd hole constraints; the other cases need only the edge constraints. Lemma 2.4 itself is called folklore on the page and is stated without proof there.

A further point: Lemma 2.4 is stated for lower bounds 0≤a0 \le a0≤a, while the lower bounds that arise from the matrix system, xi+xj+xk−1x_i + x_j + x_k - 1xi​+xj​+xk​−1, can be negative.

Formalization scope

  • Coordinates of RV∪{0}\mathbb{R}^{V\cup\{0\}}RV∪{0} are indexed by Option V, with none the coordinate x0x_0x0​. Graphs are Mathlib SimpleGraphs on a finite type VVV with decidable adjacency. Every statement about a graph carries the paper's standing assumption that GGG has no isolated nodes (∀ v, ∃ w, G.Adj v w).
  • MMM is defined by condition (iii), never by its rewritings. Lemma 1.3 and Lemma 2.2 take the cone KKK closed, a hypothesis the paper leaves tacit (its cones are polyhedral); for a non-closed KKK Lemma 1.3 is false. FR(G)\mathrm{FR}(G)FR(G) is polyhedral, so the goal needs no such hypothesis.
  • FR(G)\mathrm{FR}(G)FR(G) is defined by its constraints; this agrees with the cone over FRAC(G)\mathrm{FRAC}(G)FRAC(G) because GGG has no isolated nodes.
  • Lemma 2.2 is stated in cone form: KKK is any closed convex cone inside FR(G)\mathrm{FR}(G)FR(G), and validity is read on the slice x0=1x_0 = 1x0​=1. The paper's extra hypothesis STAB(G)⊆K\mathrm{STAB}(G) \subseteq KSTAB(G)⊆K is dropped, which strengthens the lemma.
  • Deletion and contraction of a node are coefficient vectors on the same graph (coefficients set to 000), not inequalities on the subgraphs G−vG - vG−v and G−Γ(v)−vG - \Gamma(v) - vG−Γ(v)−v.
  • Odd holes are chordless odd cycles including triangles; triangles are needed, as 121\tfrac12\mathbf 121​1 satisfies all other constraints on a triangle.
  • The matrix system of part (2) is stated as an equivalence; the page uses one direction.
  • Lemma 2.4 uses edge values on unordered pairs and strict inequalities, exactly as printed.

A trivializing formalization is ruled out: the goal is the set equality for every graph without isolated nodes, not the existence of a lifted matrix and not a single graph.

Not formalized here: the semidefinite operator N+N_+N+​, the operator N^\hat NN^, algorithmic statements (Theorems 1.6, 2.1, Corollary 2.5), and the set-function results of Section 3.

Reusable beyond this mission: the matrix cone layer (QQQ, MMM, NNN), the stable-set cones, and the two-variable feasibility criterion of Lemma 2.4. Contributions of any of the milestones, and of general facts about polar cones of polyhedral cones in this setting, are welcome.

Selected references

  • L. Lovász and A. Schrijver, Cones of matrices and set-functions and 0–1 optimization, SIAM Journal on Optimization 1(2) (1991) 166–190. https://doi.org/10.1137/0801013
  • M. Grötschel, L. Lovász and A. Schrijver, Geometric Algorithms and Combinatorial Optimization, Springer, 1988. https://doi.org/10.1007/978-3-642-97881-4
  • H. D. Sherali and W. P. Adams, A hierarchy of relaxations between the continuous and convex hull representations for zero-one programming problems, SIAM Journal on Discrete Mathematics 3(3) (1990) 411–430. https://doi.org/10.1137/0403036
13 thms3 active usersReviewed
Complexity TheoryOperations ResearchOptimization+1·Captain: mikedeng1

A Threshold of ln n for Approximating Set Cover II: The Inapproximability of Max k-CoverResearch Paper

Motivation

Max kkk-cover is the basic coverage problem of combinatorial optimization. The input is a collection of subsets of a finite ground set and a number kkk; the task is to choose kkk subsets that together cover as many points as possible. It models facility and sensor placement, the selection of a small committee or feature set representing a population, and budgeted versions of set cover. It is also the prototype of maximizing a monotone submodular function under a cardinality constraint.

The greedy algorithm covers at least a 1−1/e≈0.6321-1/e\approx 0.6321−1/e≈0.632 fraction of the optimum. This bound goes back to Hochbaum and Pathria and, for general submodular functions, to Nemhauser, Wolsey and Fisher (1978). For two decades it was not known whether a polynomial-time algorithm could do better. Uriel Feige answered the question in A Threshold of ln n for Approximating Set Cover (J. ACM 45(4), 1998, pp. 634–652, doi:10.1145/285055.285059), Section 5. His Theorem 5.3 (p. 648) states: "For any ϵ>0\epsilon > 0ϵ>0, max kkk-cover cannot be approximated in polynomial time within a ratio of (1−1/e+ϵ)(1 - 1/e + \epsilon)(1−1/e+ϵ), unless P=NPP = NPP=NP." Together with the greedy bound, it makes 1−1/e1-1/e1−1/e the exact approximation threshold of max kkk-cover.

Timeline:

  • 1978: Nemhauser, Wolsey and Fisher prove the greedy 1−1/e1-1/e1−1/e bound for monotone submodular maximization.
  • 1992: Arora, Lund, Motwani, Sudan and Szegedy prove the PCP theorem. With Papadimitriou–Yannakakis (1991) it gives Theorem 2.1.1 of the paper: MAX 3SAT-B has a constant gap unless P = NP.
  • 1994: Lund and Yannakakis introduce partition-system reductions from multi-prover proof systems to set cover.
  • 1995: Raz proves the parallel repetition theorem (Theorem 2.2.2 of the paper).
  • 1998: Feige proves the ln n threshold for set cover (the subject of mission I of this series) and the 1−1/e1-1/e1−1/e threshold for max kkk-cover.

Setting

An instance consists of nnn points {0,…,n−1}\{0,\dots,n-1\}{0,…,n−1}, a list of subsets S1,…,SsS_1,\dots,S_sS1​,…,Ss​ of the points, and a number kkk. Its value opt\mathrm{opt}opt is the largest number of points covered by at most kkk of the sets. Instances are written over a three-letter alphabet:

  • nnn in unary;
  • each set as its characteristic bit-vector;
  • kkk in unary.

Following p. 648, a polynomial-time algorithm approximates max kkk-cover within a ratio δ\deltaδ if on every input it outputs a number vvv with

δ⋅opt≤v≤opt.\delta\cdot\mathrm{opt}\le v\le\mathrm{opt}.δ⋅opt≤v≤opt.

The algorithm need not name the sets. This is the non-constructive notion of approximation.

The proof is a reduction from the MAX 3SAT-5 problem. A 3CNF-5 formula has exactly three literals per clause, over three distinct variables, and every variable occurs in exactly five clauses. The reduction goes through a kkk-prover proof system for such a formula φ\varphiφ with MMM clauses:

  • The verifier picks ℓ\ellℓ clauses at random, and a distinguished variable in each; there are R=(3M)ℓR=(3M)^\ellR=(3M)ℓ random strings rrr.
  • Each prover PiP_iPi​ is attached to a code word of length ℓ\ellℓ and weight ℓ/2\ell/2ℓ/2; distinct words are at Hamming distance at least ℓ/3\ell/3ℓ/3.
  • On coordinate jjj, prover PiP_iPi​ receives the clause if its bit is 1, and the distinguished variable if its bit is 0.
  • Answers are satisfying assignments of the received clauses and bits for the received variables.
  • Two provers are consistent if they assign the same values to the distinguished variables. The verifier weakly accepts if some pair of distinct provers is consistent, and strongly accepts if every pair is.

The max k′k'k′-cover instance of §5 attaches to every random string rrr a copy BrB_rBr​ of the explicit partition system. Its points are the vectors in {0,…,k−1}L\{0,\dots,k-1\}^L{0,…,k−1}L with L=2ℓL=2^\ellL=2ℓ, so m=kLm=k^Lm=kL. Its LLL partitions are labelled by the ℓ\ellℓ-bit strings, and each splits the points by the value of one coordinate. There are N=mRN=mRN=mR points in all. For each prover iii, question qqq and answer aaa, the set S(q,a,i)S_{(q,a,i)}S(q,a,i)​ collects, for every rrr on which PiP_iPi​ receives qqq, the iiith part of the partition of BrB_rBr​ labelled by the values that aaa gives to the distinguished variables of rrr. The budget is k′=kQk'=kQk′=kQ, where QQQ is the number of questions a single prover can receive.

Formalization targets

Goal: Theorem 5.3

∀ε>0:max k-cover is approximable within 1−1e+ε ⟹ P=NP,\forall\varepsilon>0:\quad \text{max } k\text{-cover is approximable within } 1-\tfrac1e+\varepsilon \ \Longrightarrow\ \mathrm{P}=\mathrm{NP},∀ε>0:max k-cover is approximable within 1−e1​+ε ⟹ P=NP,

conditional on the two cited results below. The ratio is left free (any ε>0\varepsilon>0ε>0), so the goal records the shape of the threshold and not a particular constant.

Milestones

  • Proposition 2.1.2 (p. 640): for some ε>0\varepsilon>0ε>0 it is NP-hard to distinguish satisfiable 3CNF-5 formulas from those in which at most a (1−ε)(1-\varepsilon)(1−ε)-fraction of the clauses can be satisfied simultaneously.
  • Lemma 2.3.1 (p. 643): a satisfiable φ\varphiφ admits a strategy that always strongly accepts; on a far-from-satisfiable φ\varphiφ the weak acceptance probability is at most k2 2−cℓk^2\,2^{-c\ell}k22−cℓ.
  • Coverage of the explicit partition system (p. 649): jjj subsets from pairwise different partitions cover exactly (1−(1−1/k)j)m(1-(1-1/k)^j)m(1−(1−1/k)j)m points.
  • Proposition 5.4 (p. 649): if at most kQkQkQ sets cover a (1−1/e+ε)(1-1/e+\varepsilon)(1−1/e+ε)-fraction of the points, then at least an ε/3\varepsilon/3ε/3-fraction of the random strings are good. Here rrr is good if wr≤3k/εw_r\le3k/\varepsilonwr​≤3k/ε sets meet BrB_rBr​ and two of them from different provers lie in the same partition.
  • Decoding (p. 649): such a covering yields a strategy that weakly accepts with probability at least (ε/3)(ε/3k)2(\varepsilon/3)(\varepsilon/3k)^2(ε/3)(ε/3k)2.
  • Gap (p. 649): a satisfiable formula gives a cover of all NNN points by kQkQkQ sets. If at most a (1−ε′)(1-\varepsilon')(1−ε′)-fraction of the clauses are satisfiable, kQkQkQ sets cover at most (1−1/e+g(k))N(1-1/e+g(k))N(1−1/e+g(k))N points, where g(k)→0g(k)\to0g(k)→0, for all large ℓ\ellℓ.
  • Proposition 5.1 (p. 647): every greedy run covers at least (1−1/e) opt(1-1/e)\,\mathrm{opt}(1−1/e)opt points.

Significance

The result closes the approximability of max kkk-cover: the greedy algorithm cannot be beaten by any constant unless P = NP. Consequences:

  • Submodular maximization. Coverage functions are monotone submodular, so the bound transfers to monotone submodular maximization under a cardinality constraint, whenever the function is given in a form that encodes a coverage instance.
  • Other problems. Hardness results for facility location, budgeted allocation, and welfare maximization with coverage valuations reduce from it.
  • The reduction itself. The ℓ\ellℓ-fold kkk-prover system combined with a partition system that is exactly countable is the template for later 1−1/e1-1/e1−1/e hardness proofs.

Status: the theorem has been proved since 1998. It has not been formalized; neither the reduction nor the underlying proof systems exist in Mathlib or on this platform. This mission produces:

  • a machine-checked reduction from MAX 3SAT-5 to max kkk-cover;
  • an exact counting lemma for product partition systems;
  • the averaging and concavity argument of Proposition 5.4;
  • a formal statement of the greedy bound for coverage.

The cited PCP-based gap (Theorem 2.1.1) and parallel repetition (Theorem 2.2.2) remain hypotheses. They are separate, much larger formalization projects.

Difficulty

The obvious argument uses the soundness of the proof system directly: a large cover should force consistent answers. It fails because a cover may spend many sets on a few random strings and cover them completely, while covering the rest partially without any two sets from the same partition. What saves the argument is exact counting. For sets from pairwise different partitions, coverage is exactly h(j)=(1−(1−1/k)j)mh(j)=(1-(1-1/k)^j)mh(j)=(1−(1−1/k)j)m, a concave function of the number jjj of sets used. Since the sets meet a random string kkk times on average, Jensen's inequality caps the total coverage of such "unstructured" strings at about (1−(1−1/k)k)(1-(1-1/k)^k)(1−(1−1/k)k), which tends to 1−1/e1-1/e1−1/e. A further obstacle is that the reduction must run in polynomial time. The paper therefore takes ℓ\ellℓ and kkk constant (unlike the set-cover reduction, where ℓ=Θ(log⁡log⁡n)\ell=\Theta(\log\log n)ℓ=Θ(loglogn)), and the soundness bound k22−cℓk^2 2^{-c\ell}k22−cℓ must beat (ε/3)(ε/3k)2(\varepsilon/3)(\varepsilon/3k)^2(ε/3)(ε/3k)2 at a constant ℓ\ellℓ. The quantifier order (kkk large first, then ℓ\ellℓ large) is part of the difficulty.

A second obstacle is the machine model. The goal is a statement about polynomial-time Turing machines, so the reduction and the decision procedure built from a hypothetical approximation algorithm must be compiled into Cook's one-tape machines.

Formalization scope

  • Machine model. CookPvsNP_defs (a published platform definition): one-tape Turing machines, P\mathrm{P}P, NP\mathrm{NP}NP, polynomial-time computable functions, CNF formulas and their encoding. "P = NP" is P Bool = NP Bool, the form in which CookPvsNP.P_ne_NP states the open problem.
  • Cited results as hypotheses. Theorem 2.1.1 enters as Thm211. Raz's theorem enters as RazRepetition, its consequence stated on p. 642: the ℓ\ellℓ-fold clause–variable game on a far-from-satisfiable 3CNF-5 formula has acceptance probability at most 2−cℓ2^{-c\ell}2−cℓ. This is weaker than Raz's general theorem, so the conditional statement is stronger. No hypothesis about max kkk-cover is assumed.
  • Approximation. The value form above, with no size threshold. For ε>1/e\varepsilon>1/eε>1/e the ratio exceeds one and the hypothesis is unsatisfiable on any instance with opt>0\mathrm{opt}>0opt>0; those values are vacuous, as in the paper.
  • opt\mathrm{opt}opt. Taken over at most kkk sets. This agrees with the paper's "exactly kkk" whenever k≤sk\le sk≤s.
  • Probability and counting. Probabilities are uniform counts over the (3M)ℓ(3M)^\ell(3M)ℓ random strings. Fractions in lower-bound statements are written as counts compared with multiples of RRR.
  • Canonical answers. The type of answers is restricted to satisfying assignments of the received clauses, following the paper's "without loss of generality" (p. 643). All indices are 0-based.
  • Partition system. The §4 construction is defined for any partition system with ℓ\ellℓ-bit partition labels and instantiated with the explicit product system. Its L=2ℓL=2^\ellL=2ℓ coordinates are the ℓ\ellℓ-bit strings themselves.
  • Not formalized. The running time of the greedy algorithm, and the constructive variant (Proposition 5.2), which belongs to the set-cover mission.

A trivializing formalization is ruled out: every cited input is a named, satisfiable proposition about 3CNF formulas or the two-prover game, never about max kkk-cover, and the approximation hypothesis is satisfiable for ratios up to 111.

Needed infrastructure, reusable beyond this mission:

  • composition and simulation lemmas for Cook's machines;
  • the uniformity of the verifier's questions on 3CNF-5 formulas;
  • concavity of j↦1−(1−1/k)jj\mapsto 1-(1-1/k)^jj↦1−(1−1/k)j;
  • (1−1/k)k→1/e(1-1/k)^k\to 1/e(1−1/k)k→1/e bounds.

Contributions to any of these, or to either cited theorem, are welcome.

Selected references

  • U. Feige, A threshold of ln n for approximating set cover, J. ACM 45(4) (1998) 634–652. https://doi.org/10.1145/285055.285059
  • R. Raz, A parallel repetition theorem, SIAM J. Comput. 27(3) (1998) 763–803 (STOC 1995). https://doi.org/10.1137/S0097539795280895
  • S. Arora, C. Lund, R. Motwani, M. Sudan, M. Szegedy, Proof verification and the hardness of approximation problems, J. ACM 45(3) (1998) 501–555. https://doi.org/10.1145/278298.278306
  • C. Papadimitriou, M. Yannakakis, Optimization, approximation, and complexity classes, J. Comput. System Sci. 43(3) (1991) 425–440. https://doi.org/10.1016/0022-0000(91)90023-X
  • C. Lund, M. Yannakakis, On the hardness of approximating minimization problems, J. ACM 41(5) (1994) 960–981. https://doi.org/10.1145/185675.306789
  • G. L. Nemhauser, L. A. Wolsey, M. L. Fisher, An analysis of approximations for maximizing submodular set functions—I, Math. Programming 14 (1978) 265–294. https://doi.org/10.1007/BF01588971
  • S. Cook, The P versus NP problem, Clay Mathematics Institute. https://www.claymath.org/wp-content/uploads/2022/06/pvsnp.pdf
13 thms3 active usersReviewed
Complexity TheoryOperations ResearchTheoretical Computer Science·Captain: mikedeng1

A Threshold of ln n for Approximating Set Cover I: The ln n Inapproximability of Set CoverResearch Paper

Motivation

Set cover is the problem of covering a finite ground set with as few members of a given family of subsets as possible. It models facility location, crew scheduling, test-suite minimization and many other selection problems in operations research, and it is one of the canonical NP-hard problems. The greedy algorithm, which repeatedly picks the subset covering the most uncovered points, finds a cover at most about ln⁡n\ln nlnn times larger than the optimum on an instance with nnn points (Johnson 1974; Lovász 1975; Chvátal 1979). Whether any efficient algorithm does substantially better was open for two decades.

Timeline of the lower bounds:

  • 1992. The PCP theorem (Arora, Lund, Motwani, Sudan, Szegedy) implies that set cover cannot be approximated within some constant 1+ε1+\varepsilon1+ε unless P = NP.
  • 1994. Lund and Yannakakis showed that set cover cannot be approximated within 14log⁡2n\tfrac14\log_2 n41​log2​n unless NP⊆TIME(nO(polylog n))\mathrm{NP}\subseteq\mathrm{TIME}(n^{O(\mathrm{polylog}\, n)})NP⊆TIME(nO(polylogn)), and within 12log⁡2n≈0.72ln⁡n\tfrac12\log_2 n\approx 0.72\ln n21​log2​n≈0.72lnn under a randomized assumption.
  • 1998. Feige showed that for every ε>0\varepsilon>0ε>0, set cover cannot be approximated within (1−ε)ln⁡n(1-\varepsilon)\ln n(1−ε)lnn unless NP⊆TIME(nO(log⁡log⁡n))\mathrm{NP}\subseteq\mathrm{TIME}(n^{O(\log\log n)})NP⊆TIME(nO(loglogn)) (J. ACM 45(4), 634–652). This matches the greedy bound up to lower-order terms.
  • 2014. Dinur and Steurer replaced the assumption by P ≠ NP (STOC 2014).

This mission formalizes Feige's theorem, the result that fixed ln⁡n\ln nlnn as the threshold.

Setting

An instance consists of nnn points {0,…,n−1}\{0,\dots,n-1\}{0,…,n−1} and a list of subsets S1,…,SsS_1,\dots,S_sS1​,…,Ss​. A cover is a set of indices whose subsets together contain every point. The instance is coverable if every point lies in some SiS_iSi​. It is written as a string: nnn in unary, then each subset as its characteristic vector.

A deterministic polynomial-time algorithm approximates set cover within ρ(n)\rho(n)ρ(n) if, for some threshold n0n_0n0​ and every coverable instance with n≥n0n \ge n_0n≥n0​ points, the value vvv it outputs satisfies OPT≤v≤ρ(n)⋅OPT\mathrm{OPT}\le v\le\rho(n)\cdot\mathrm{OPT}OPT≤v≤ρ(n)⋅OPT, where OPT\mathrm{OPT}OPT is the size of a smallest cover.

TIME(nO(log⁡log⁡n))\mathrm{TIME}(n^{O(\log\log n)})TIME(nO(loglogn)) is the class of languages that a deterministic one-tape Turing machine decides within ∣w∣c(log⁡2log⁡2∣w∣+1)+c|w|^{c(\log_2\log_2|w|+1)}+c∣w∣c(log2​log2​∣w∣+1)+c steps, for some constant ccc. Machines, P\mathrm{P}P and NP\mathrm{NP}NP are those of the published definition CookPvsNP_defs.

The proof passes through three objects, each defined in the mission:

  1. 3CNF-5 formulas: CNF formulas in which every clause has three literals on distinct variables and every variable occurs in exactly five clauses.
  2. The kkk-prover proof system of §2.3. A verifier picks ℓ\ellℓ random clauses and a distinguished variable in each. Each prover, according to its code word, receives some of these clauses and the distinguished variables of the others. Under the weak acceptance predicate, some two provers give consistent answers on the distinguished variables. Under the strong acceptance predicate, all provers do.
  3. Partition systems B(m,L,k,d)B(m,L,k,d)B(m,L,k,d) (Definition 3.1). These are LLL partitions of mmm points, each into kkk parts, such that covering the points with parts taken from pairwise different partitions needs at least ddd parts.

Formalization targets

Goal: Theorem 4.4

∃ ε>0: set cover is approximable within (1−ε)ln⁡n ⟹ NP⊆TIME(nO(log⁡log⁡n)).\exists\,\varepsilon>0:\ \text{set cover is approximable within }(1-\varepsilon)\ln n\ \Longrightarrow\ \mathrm{NP}\subseteq\mathrm{TIME}\big(n^{O(\log\log n)}\big).∃ε>0: set cover is approximable within (1−ε)lnn ⟹ NP⊆TIME(nO(loglogn)).

The statement fixes no constant beyond ε\varepsilonε. The parameters kkk, ℓ\ellℓ and mmm of the reduction are choices made inside the proof. The goal carries three cited results as hypotheses: Theorem 2.1.1 (MAX 3SAT-B gap), the consequence of Raz's parallel repetition theorem for the clause–variable game, and the Naor–Schulman–Srinivasan construction of partition systems.

Milestones, in the order the proof uses them

  1. Proposition 2.1.2: MAX 3SAT-5 is gap NP-hard.
  2. Proposition 2.2.1: the one-round clause–variable game has value 1−ε/31-\varepsilon/31−ε/3.
  3. Lemma 2.3.1: the kkk-prover system is complete with strong acceptance and has soundness k22−cℓk^2 2^{-c\ell}k22−cℓ for weak acceptance.
  4. Lemma 3.2: partition systems with d=(1−2/k)kln⁡md=(1-2/k)k\ln md=(1−2/k)klnm exist.
  5. Propositions 4.2 and 4.3: a cover with (1−δ)kQln⁡m(1-\delta)kQ\ln m(1−δ)kQlnm subsets yields a prover strategy that is weakly accepted with probability at least 2δ/(kln⁡m)22\delta/(k\ln m)^22δ/(klnm)2.
  6. Lemma 4.1: the gap between kQkQkQ and (1−2f(k))kQln⁡m(1-2f(k))kQ\ln m(1−2f(k))kQlnm.

Significance

The result. Combined with the greedy algorithm, Theorem 4.4 shows that ln⁡n\ln nlnn is the approximation threshold of set cover under a mild complexity assumption. Set cover reduces approximation-preservingly to many covering problems, so the threshold transfers to them. Examples are dominating set, several facility-location and group Steiner problems, and hitting-set formulations used in scheduling and testing. The kkk-prover system with two acceptance predicates and the partition-system gadget became standard tools for later hardness-of-approximation proofs.

Formalizing it. The theorem is proved and has been strengthened (Dinur–Steurer 2014), but no machine-checked proof of any Ω(log⁡n)\Omega(\log n)Ω(logn) inapproximability of set cover is known. This mission contributes:

  • a Lean model of multi-prover proof systems with uniform-count probabilities;
  • partition systems and their probabilistic existence proof;
  • a gap-preserving reduction whose running time is analysed on Turing machines, not merely asserted.

Difficulty

  • The ratio comes from two gaps at once. One is a gap in acceptance probability. The other is a gap between strong and weak acceptance. A reduction from a two-prover system, as in Lund–Yannakakis, loses a constant factor because a cheating cover can use two parts of the same partition. Feige's analysis must turn every small cover into a strategy under which some pair of provers is consistent (Proposition 4.3), and this averaging argument has to lose only a factor (kln⁡m)2(k\ln m)^2(klnm)2.
  • Parameters interlock. ℓ=Θ(log⁡log⁡n)\ell=\Theta(\log\log n)ℓ=Θ(loglogn) must make k22−cℓk^2 2^{-c\ell}k22−cℓ smaller than 2δ/(kln⁡m)22\delta/(k\ln m)^22δ/(klnm)2 while keeping the instance of size nO(log⁡log⁡n)n^{O(\log\log n)}nO(loglogn). The time bound must hold for a one-tape machine, including the deterministic partition-system construction.
  • Encoding. The reduction must be computed by an explicit machine on string encodings. Showing that a "clearly polynomial" construction meets the time bound on such a machine is substantial work.

Formalization scope

  • Cited results as hypotheses. Theorem 2.1.1, Raz's theorem and the Naor et al. construction are not proved in the mission; each is a named proposition (Thm211, RazRepetition, NaorPartitionSystems) and a hypothesis of the goal.
    • RazRepetition is only the consequence of Raz's theorem that the paper uses (p. 642): a 2−cℓ2^{-c\ell}2−cℓ error bound for the repeated clause–variable game on 3CNF-5 formulas far from satisfiable.
    • NaorPartitionSystems relaxes "time linear in mmm" to polynomial time and renders "LLL polynomial in ddd" as L≤⌊log⁡2m⌋aL\le\lfloor\log_2 m\rfloor^aL≤⌊log2​m⌋a. Both relaxations weaken the hypothesis.
  • Approximation in value form. The algorithm outputs a number vvv with OPT≤v≤ρ(n)OPT\mathrm{OPT}\le v\le\rho(n)\mathrm{OPT}OPT≤v≤ρ(n)OPT, and only on coverable instances with n≥n0n\ge n_0n≥n0​. Any algorithm that outputs a cover yields such a value, so this hypothesis is weaker than the paper's. The guard n≥n0n\ge n_0n≥n0​ is needed because (1−ε)ln⁡n<1(1-\varepsilon)\ln n<1(1−ε)lnn<1 for small nnn.
  • Machine model. The machines are Cook's deterministic one-tape machines. Multi-tape simulation costs a quadratic factor, which the class absorbs.
  • Probabilities are uniform counts over the (5n)ℓ(5n)^\ell(5n)ℓ random strings. Strategies are deterministic. Answers are canonical (satisfying on clause coordinates), as the paper assumes without loss of generality.
  • Not formalized. Randomized classes (ZTIME) are not defined here, so the following are omitted: the last sentence of Lemma 3.2, Proposition 6.1, and the randomized variants.
  • Ruling out a trivial formalization. The gap notion requires far-from-satisfiable formulas to have at least one clause. Otherwise the empty formula would be both a yes-instance and a no-instance, and Theorem 2.1.1 would hold trivially.
  • Infrastructure and reuse. The shared layer can serve other PCP-based hardness proofs: 3CNF-5 formulas, the kkk-prover system, partition systems, and the gap-NP-hardness notion. Welcome contributions include:
    • time bounds for list and table manipulations on one-tape machines;
    • a Hadamard-code construction satisfying the weight and distance conditions;
    • the union-bound and averaging lemmas behind Lemma 2.3.1 and Proposition 4.2.

Selected references

  • U. Feige, A threshold of ln n for approximating set cover, J. ACM 45(4), 634–652, 1998. https://doi.org/10.1145/285055.285059
  • C. Lund, M. Yannakakis, On the hardness of approximating minimization problems, J. ACM 41(5), 960–981, 1994. https://doi.org/10.1145/185675.306789
  • R. Raz, A parallel repetition theorem, SIAM J. Comput. 27(3), 763–803, 1998 (STOC 1995). https://doi.org/10.1137/S0097539795280895
  • M. Naor, L. J. Schulman, A. Srinivasan, Splitters and near-optimal derandomization, FOCS 1995, 182–191. https://doi.org/10.1109/SFCS.1995.492475
  • S. Arora, C. Lund, R. Motwani, M. Sudan, M. Szegedy, Proof verification and the hardness of approximation problems, J. ACM 45(3), 501–555, 1998. https://doi.org/10.1145/278298.278306
  • C. Papadimitriou, M. Yannakakis, Optimization, approximation, and complexity classes, J. Comput. Syst. Sci. 43(3), 425–440, 1991. https://doi.org/10.1016/0022-0000(91)90023-X
  • V. Chvátal, A greedy heuristic for the set-covering problem, Math. Oper. Res. 4(3), 233–235, 1979. https://doi.org/10.1287/moor.4.3.233
  • I. Dinur, D. Steurer, Analytical approach to parallel repetition, STOC 2014, 624–633. https://doi.org/10.1145/2591796.2591884
15 thms3 active usersReviewed
Complexity TheoryOperations ResearchTheoretical Computer Science·Captain: mikedeng1

Scheduling Subject to Resource Constraints: Classification and Complexity I: Unit-Time Chains on Two Identical Machines with One Unit Resource Are Strongly NP-hardResearch Paper

Resource constraints and the easy/hard borderline in scheduling

Machine scheduling asks how to assign jobs to machines over time so that a criterion such as the makespan Cmax⁡C_{\max}Cmax​, the time at which the last job completes, is as small as possible. In practice jobs also compete for scarce resources beyond the machines themselves: tools, operators, memory, power. Błażewicz, Lenstra and Rinnooy Kan (DAM 1983) extended the standard three-field classification α∣β∣γ\alpha\mid\beta\mid\gammaα∣β∣γ of Graham, Lawler, Lenstra and Rinnooy Kan (1979) by a resource field resλσρres\lambda\sigma\rhoresλσρ. They then settled the complexity of every problem with parallel identical or uniform machines, unit-time jobs, precedence constraints and the Cmax⁡C_{\max}Cmax​ criterion. Their Fig. 2 separates the maximal polynomially solvable problems from the minimal NP-hard ones, and it has been the reference map for resource-constrained scheduling since.

Brief timeline of the problems involved:

  • 1975. Garey and Johnson (SIAM J. Comput. 4) show that P2∣res⋯ ,pj=1∣Cmax⁡P2\mid res\cdots, p_j=1\mid C_{\max}P2∣res⋯,pj​=1∣Cmax​ is solvable in polynomial time via matchings, and that P3∣res1⋅⋅,pj=1∣Cmax⁡P3\mid res1\cdot\cdot, p_j=1\mid C_{\max}P3∣res1⋅⋅,pj​=1∣Cmax​ and P2∣res1⋅⋅,tree,pj=1∣Cmax⁡P2\mid res1\cdot\cdot, tree, p_j=1\mid C_{\max}P2∣res1⋅⋅,tree,pj​=1∣Cmax​ are NP-hard in the strong sense, by reduction from 3-PARTITION.
  • 1976. Ullman (Complexity of sequencing problems, in Coffman, ed., Computer & Job/Shop Scheduling Theory, Wiley) gives strong NP-hardness of P2∣res111,prec,pj=1∣Cmax⁡P2\mid res111, prec, p_j=1\mid C_{\max}P2∣res111,prec,pj​=1∣Cmax​ under arbitrary precedence constraints.
  • 1983. Błażewicz, Lenstra and Rinnooy Kan prove Theorem 7: chains suffice. Two identical machines, one resource of size one, requirements in {0,1}\{0,1\}{0,1} and chain-like precedence already give a strongly NP-hard problem. The result dominates both earlier two-machine results.

Setting

There are nnn jobs J1,…,JnJ_1,\dots,J_nJ1​,…,Jn​ and mmm machines M1,…,MmM_1,\dots,M_mM1​,…,Mm​. Every job has processing time 111 on every machine, each machine handles at most one job at a time, and jobs are not preempted. There are lll resources; resource RhR_hRh​ has a positive integer size shs_hsh​, the amount available at any time, and job JjJ_jJj​ has a nonnegative integer requirement rhjr_{hj}rhj​, the amount it holds throughout its execution. A directed acyclic graph HHH on the jobs gives the precedence constraints: if HHH has a path from jjj to kkk (Jj→JkJ_j\to J_kJj​→Jk​), then JjJ_jJj​ must complete before JkJ_kJk​ starts. The precedence is chain-like when every vertex of HHH has indegree and outdegree at most one.

A schedule gives each job a machine and a real start time SjS_jSj​; the job occupies [Sj,Sj+1)[S_j, S_j+1)[Sj​,Sj​+1) and completes at Cj=Sj+1C_j = S_j+1Cj​=Sj​+1. It is feasible if jobs on one machine do not overlap, precedence is respected, and at every time ttt the jobs running at ttt require at most shs_hsh​ of each resource RhR_hRh​. The makespan is Cmax⁡=max⁡jCjC_{\max} = \max_j C_jCmax​=maxj​Cj​.

The problem P2∣res111,chain,pj=1∣Cmax⁡P2\mid res111, chain, p_j=1\mid C_{\max}P2∣res111,chain,pj​=1∣Cmax​ restricts this to m=2m=2m=2, one resource (λ=1\lambda=1λ=1) of size 111 (σ=1\sigma=1σ=1), every requirement at most 111 (ρ=1\rho=1ρ=1), and chain-like precedence. The problem P3∣res1⋅⋅,pj=1∣Cmax⁡P3\mid res1\cdot\cdot, p_j=1\mid C_{\max}P3∣res1⋅⋅,pj​=1∣Cmax​ has m=3m=3m=3, one resource of arbitrary size and requirements, and no precedence.

3-PARTITION: given ttt, a positive integer bbb and positive integers a1,…,a3ta_1,\dots,a_{3t}a1​,…,a3t​ with ∑jaj=tb\sum_j a_j = tb∑j​aj​=tb and 14b<aj<12b\tfrac14 b<a_j<\tfrac12 b41​b<aj​<21​b, can {1,…,3t}\{1,\dots,3t\}{1,…,3t} be split into ttt disjoint 3-element sets SiS_iSi​ with ∑j∈Siaj=b\sum_{j\in S_i}a_j=b∑j∈Si​​aj​=b?

A problem is NP-hard in the strong sense if it remains NP-hard when every number of the instance is written in unary.

Formalization targets

Goal: Theorem 7

3-PARTITION is NP-hard in the strong sense  ⟹  P2∣res111, chain, pj=1∣Cmax⁡ is NP-hard in the strong sense.\text{3-PARTITION is NP-hard in the strong sense} \;\Longrightarrow\; P2\mid res111,\ chain,\ p_j=1\mid C_{\max}\ \text{is NP-hard in the strong sense.}3-PARTITION is NP-hard in the strong sense⟹P2∣res111, chain, pj​=1∣Cmax​ is NP-hard in the strong sense.

The hypothesis is Garey and Johnson's theorem on 3-PARTITION, which the paper cites and does not prove. The conclusion concerns the decision version: given an instance and y∈Ny\in\mathbb Ny∈N, is there a feasible schedule with Cmax⁡≤yC_{\max}\le yCmax​≤y?

Milestones

  1. Proof of Theorem 4, the saturation equivalence. For positive bbb, aja_jaj​ with ∑jaj=tb\sum_j a_j=tb∑j​aj​=tb, the P3∣res1⋅⋅P3\mid res1\cdot\cdotP3∣res1⋅⋅ instance with 3t3t3t unit jobs, resource size bbb and requirements aja_jaj​ has a feasible schedule with Cmax⁡≤tC_{\max}\le tCmax​≤t iff the 3-PARTITION instance has a solution.
  2. Theorem 4 (Garey and Johnson). Under the same hypothesis as the goal, P3∣res1⋅⋅,pj=1∣Cmax⁡P3\mid res1\cdot\cdot, p_j=1\mid C_{\max}P3∣res1⋅⋅,pj​=1∣Cmax​ is NP-hard in the strong sense.
  3. Proof of Theorem 7, "if". A 3-PARTITION solution yields a feasible schedule of the constructed two-machine instance with Cmax⁡=2tbC_{\max}=2tbCmax​=2tb.
  4. Proof of Theorem 7, "only if". A feasible schedule of the constructed instance with Cmax⁡≤2tbC_{\max}\le 2tbCmax​≤2tb yields a 3-PARTITION solution.

Significance

Theorem 7 is the sharpest hardness result of the paper's classification. Without resources, two-machine unit-time scheduling with arbitrary precedence is polynomial (Coffman and Graham, Acta Inform. 1972); without precedence, it is polynomial under arbitrary resources (Theorem 1 of the paper). The theorem shows that combining the weakest nontrivial versions of both constraints, chains and one unit resource, already crosses the borderline. The paper's §4.1 extends the same reduction to the ∑Cj\sum C_j∑Cj​ and Lmax⁡L_{\max}Lmax​ criteria.

On the formal side, the mission provides a machine-checked model of resource-constrained scheduling with real start times, a definition of NP-hardness in the strong sense on top of the platform's Turing-machine formalization of P\mathrm PP and NP\mathrm{NP}NP, and 3-PARTITION as a reusable source problem. As far as the platform's corpus shows, none of Theorems 4 and 7, 3-PARTITION, or strong NP-hardness has been formalized before. Both theorems are proved in the literature; what remains is to formalize the reductions and their polynomial running time.

Difficulty

The combinatorial heart is the "only if" direction: a schedule of length 2tb2tb2tb must be shown to be rigid. Start times are arbitrary reals, so the first obstacle is to show that both machines are busy throughout [0,2tb)[0,2tb)[0,2tb), that the chain LLL forces unit spacing, and that the primed jobs of the chains Kj′K'_jKj′​ can only run in the intervals the chain LLL leaves free of the resource. Only after this is established can the index sets SiS_iSi​ be read off. Arguing on integer time slots from the start is not enough: the model allows fractional start times, and ruling them out is part of the proof.

The second obstacle is the complexity layer. NP-hardness is stated with respect to polynomial-time many-one reductions computed by one-tape Turing machines. The reduction from 3-PARTITION therefore has to be implemented and its running time bounded on unary codes. The constructed instance has 4tb4tb4tb jobs, which is polynomial in the unary length of the 3-PARTITION instance; this is exactly why the reduction proves hardness in the strong sense.

Formalization scope

  • Model. Jobs are Fin n and machines Fin m, 0-based. Only identical machines with unit processing times are modelled. Start times are real, execution intervals are half-open, and the resource constraint is imposed at every real time. Precedence is the transitive closure of the arc list of HHH. Cmax⁡=0C_{\max}=0Cmax​=0 for an empty instance.
  • Decision version. Thresholds yyy are natural numbers; this narrower class makes the hardness statement stronger.
  • Encoding. An instance is described by its list of numbers (n,m,ln,m,ln,m,l, the sizes, the requirements row by row, the number of arcs and the arcs, then yyy). The unary language is the set of unary codes of yes-instances over a two-letter alphabet. No pairing function is used. The class conditions (two machines, one unit resource, requirements at most one, chain-like acyclic HHH) are part of the yes-predicate.
  • Strong sense. Strong NP-hardness is NP-hardness of the unary language. This is equivalent to Garey and Johnson's definition, which bounds the largest number by a polynomial in the instance length.
  • Cited hypothesis. The goal and Theorem 4 assume strong NP-hardness of 3-PARTITION (with 14b<aj<12b\tfrac14 b<a_j<\tfrac12 b41​b<aj​<21​b) and nothing else. Stating the goal as a bare reduction between the two languages, or adding P≠NP\mathrm P\ne\mathrm{NP}P=NP, would not be Theorem 7.
  • Constructions. The two scheduling instances built from a 3-PARTITION instance are explicit definitions following the page, not arbitrary instances with a property.
  • Reuse. The scheduling model and the strong-NP-hardness layer are shared with the other missions of this series; 3-PARTITION serves any strong NP-hardness proof by number partitioning.

Welcome contributions: proofs of the four milestones; a formalized polynomial-time implementation of the reduction on unary codes; general lemmas about composing polynomial-time reductions on the one-tape machine model.

Selected references

  • J. Błażewicz, J. K. Lenstra, A. H. G. Rinnooy Kan, Scheduling subject to resource constraints: classification and complexity, Discrete Applied Mathematics 5 (1983) 11–24. https://doi.org/10.1016/0166-218X(83)90012-4
  • M. R. Garey, D. S. Johnson, Complexity results for multiprocessor scheduling under resource constraints, SIAM J. Comput. 4 (1975) 397–411. https://doi.org/10.1137/0204035
  • M. R. Garey, D. S. Johnson, Computers and Intractability: A Guide to the Theory of NP-Completeness, Freeman, 1979.
  • R. L. Graham, E. L. Lawler, J. K. Lenstra, A. H. G. Rinnooy Kan, Optimization and approximation in deterministic sequencing and scheduling: a survey, Ann. Discrete Math. 5 (1979) 287–326. https://doi.org/10.1016/S0167-5060(08)70356-X
  • J. D. Ullman, Complexity of sequencing problems, in: E. G. Coffman, Jr., ed., Computer & Job/Shop Scheduling Theory, Wiley, 1976, 139–164.
  • E. G. Coffman, Jr., R. L. Graham, Optimal scheduling for two-processor systems, Acta Informatica 1 (1972) 200–213. https://doi.org/10.1007/BF00288685
  • S. Cook, The P versus NP problem, Clay Mathematics Institute official problem description.
11 thms3 active usersReviewed
Operations ResearchOptimizationTheoretical Computer Science·Captain: mikedeng1

Worst-Case Performance Bounds for Simple One-Dimensional Packing Algorithms 4: First-Fit Decreasing Uses at Most 71/60 L* + 5 Bins When No Item Exceeds 1/2Research Paper

Motivation

Bin packing asks how to place a list of items with sizes in (0,1](0,1](0,1] into as few unit-capacity bins as possible. It models the cutting of stock material, the packing of files onto tracks of a disc and the assignment of jobs to machines with a common deadline. Deciding the optimum is NP-hard, so in practice simple rules are used, and the question is how far they can stray from the optimum in the worst case.

Johnson, Demers, Ullman, Garey and Graham (SIAM J. Comput. 3(4), 1974) gave the first sharp worst-case bounds for the four classical rules. For First-Fit Decreasing (FFD), the rule that sorts the items into nonincreasing order and then places each into the first bin with room, they announced the bound FFD(L)≤119L∗+4FFD(L)\le\frac{11}{9}L^*+4FFD(L)≤911​L∗+4, whose full proof in Johnson's thesis exceeds 75 pages. To show the method, Section 4 of the paper proves a simpler bound in detail: when no item exceeds 1/21/21/2, FFD uses at most 7160L∗+5\frac{71}{60}L^*+56071​L∗+5 bins. That result is the subject of this mission.

Timeline:

  • 1973: D. S. Johnson's MIT thesis, Near-optimal bin packing algorithms, contains the complete proofs of the 11/911/911/9 and 71/6071/6071/60 bounds.
  • 1974: Johnson, Demers, Ullman, Garey and Graham publish the 71/6071/6071/60 bound for lists in (0,1/2](0,1/2](0,1/2] (Theorem 4.1) with a proof that is complete except for parts of two lemmas, and show by example that 71/6071/6071/60 cannot be lowered.
  • 1985: B. S. Baker gives a shorter proof of the 11/911/911/9 bound for FFD (J. Algorithms 6, 1985).
  • 2007: G. Dósa determines the tight additive constant 6/96/96/9 in the 11/911/911/9 bound (ESCAPE 2007, LNCS 4614).

Setting

A list is a finite sequence L=(a1,…,an)L=(a_1,\dots,a_n)L=(a1​,…,an​) of real numbers in (0,1](0,1](0,1]; values may repeat. A bin has capacity 111; its level is the sum of the numbers in it. The optimum L∗L^*L∗ is the least number of bins into which the elements of LLL can be placed with no bin level exceeding 111.

First-Fit places a1,a2,…a_1,a_2,\dotsa1​,a2​,… in order into bins B1,B2,…B_1,B_2,\dotsB1​,B2​,…, each initially at level 000: aia_iai​ goes into the bin of least index whose level β\betaβ satisfies β≤1−ai\beta\le 1-a_iβ≤1−ai​. First-Fit Decreasing first arranges LLL into nonincreasing order and then runs First-Fit. FFD(L)FFD(L)FFD(L) is the number of bins it uses.

The proof uses a weight WWW on finite sets of elements. For an integer k≥1k\ge1k≥1, xxx is a kkk-piece if x∈(1k+1,1k]x\in(\frac1{k+1},\frac1k]x∈(k+11​,k1​], and a kkk-bin is a bin whose largest element is a kkk-piece. Set w1(x)=⌊1/x⌋−1w_1(x)=\lfloor 1/x\rfloor^{-1}w1​(x)=⌊1/x⌋−1. A pair (x,y)(x,y)(x,y) obeys relation kkk if xxx is a kkk-piece and kx+y≤1kx+y\le1kx+y≤1; then w2(x,y)=w1(x)+k−1kw1(y)w_2(x,y)=w_1(x)+\frac{k-1}{k}w_1(y)w2​(x,y)=w1​(x)+kk−1​w1​(y), and otherwise w2(x,y)=w1(x)+w1(y)w_2(x,y)=w_1(x)+w_1(y)w2​(x,y)=w1​(x)+w1​(y). For a partition π\piπ of XXX into one- and two-element sets, with each pair ordered (earlier, later) in the nonincreasing order,

w12(π)=∑{x}∈πw1(x)+∑(x,y)∈πw2(x,y),W(X)=min⁡πw12(π).w_{12}(\pi)=\sum_{\{x\}\in\pi}w_1(x)+\sum_{(x,y)\in\pi}w_2(x,y),\qquad W(X)=\min_\pi w_{12}(\pi).w12​(π)={x}∈π∑​w1​(x)+(x,y)∈π∑​w2​(x,y),W(X)=πmin​w12​(π).

BASIC is the set of elements of LLL that are kkk-pieces lying in a kkk-bin of the FFD packing of LLL, for some kkk; SURPLUS is the rest of LLL.

Formalization targets

Goal: Theorem 4.1

for every list L⊆(0,12]:FFD(L)≤7160L∗+5.\text{for every list } L\subseteq(0,\tfrac12]:\qquad FFD(L)\le\frac{71}{60}L^*+5 .for every list L⊆(0,21​]:FFD(L)≤6071​L∗+5.

The constants are those printed in the paper. The multiplicative constant 71/6071/6071/60 is best possible.

Milestones

  1. Lemma 3.3 (FFD part): if FFD(L)>rL∗+dFFD(L)>rL^*+dFFD(L)>rL∗+d with r,d≥1r,d\ge1r,d≥1, the list L′L'L′ of the elements of LLL exceeding (r−1)/r(r-1)/r(r−1)/r also has FFD(L′)>rL′∗+dFFD(L')>rL'^*+dFFD(L′)>rL′∗+d.
  2. Claim 4.2.1: for N≥4N\ge4N≥4 and L⊆(1N,12]L\subseteq(\frac1N,\frac12]L⊆(N1​,21​], ∑x∈BASICw1(x)≥FFD(L)−∑j=2N−1j−1j\sum_{x\in\mathrm{BASIC}}w_1(x)\ge FFD(L)-\sum_{j=2}^{N-1}\frac{j-1}{j}∑x∈BASIC​w1​(x)≥FFD(L)−∑j=2N−1​jj−1​.
  3. Claim 4.2.2: for N≥4N\ge4N≥4, L⊆(1N,12]L\subseteq(\frac1N,\frac12]L⊆(N1​,21​] and every partition π\piπ of LLL into one- and two-element sets, w12(π)≥w1(BASIC)−∑j=3N−11jw_{12}(\pi)\ge w_1(\mathrm{BASIC})-\sum_{j=3}^{N-1}\frac1jw12​(π)≥w1​(BASIC)−∑j=3N−1​j1​.
  4. Lemma 4.2: for N≥4N\ge4N≥4 and L⊆(1N,12]L\subseteq(\frac1N,\frac12]L⊆(N1​,21​], W(L)≥FFD(L)−N+2W(L)\ge FFD(L)-N+2W(L)≥FFD(L)−N+2.
  5. Subadditivity: W(X1∪⋯∪Xk)≤∑iW(Xi)W(X_1\cup\dots\cup X_k)\le\sum_i W(X_i)W(X1​∪⋯∪Xk​)≤∑i​W(Xi​).
  6. Lemma 4.3: if X⊆(17,12]X\subseteq(\frac17,\frac12]X⊆(71​,21​] and ∑x∈Xx≤1\sum_{x\in X}x\le1∑x∈X​x≤1, then W(X)≤7160W(X)\le\frac{71}{60}W(X)≤6071​.

A companion item states the Remark after Theorem 4.1: for every N≥1N\ge1N≥1 there is a list with all elements below 1/31/31/3, L∗=60NL^*=60NL∗=60N and FFD(L)=71NFFD(L)=71NFFD(L)=71N.

Significance

Theorem 4.1 shows the weighting-function method in its simplest nontrivial form: a weight whose total is within a constant of the algorithm's bin count, and which no feasible bin can exceed by more than the target ratio. The same method, with more elaborate weights, gives the 11/911/911/9 bound for FFD, and it is the model for later worst-case analyses of packing heuristics. The Remark shows that 71/6071/6071/60 is exact for items in (0,1/2](0,1/2](0,1/2], and the Corollary on p. 322 extends the analysis to the asymptotic ratio RFFDαR^\alpha_{FFD}RFFDα​ when items are bounded by α∈(8/29,1/2]\alpha\in(8/29,1/2]α∈(8/29,1/2].

The source proof is partial. The billing argument behind Claim 4.2.2 is given only when two auxiliary conditions (G1) and (G2) hold ("The more intricate argument here omitted", p. 321), and Lemma 4.3 is checked in four of about seventy-four cases ("leaving the remaining 70-odd, more or less routine, cases to the ambitious reader", p. 321). Complete details are in Johnson's thesis. The theorem itself is established. A formalization therefore gives the first complete, checked proof in a single place. The finite case analysis of Lemma 4.3 is well suited to machine checking. No machine-checked proof of any FFD bound is known to exist.

Difficulty

The obvious weight w1w_1w1​ alone fails. Claim 4.2.1 shows that w1(BASIC)w_1(\mathrm{BASIC})w1​(BASIC) covers the FFD bins, but many sets XXX of elements with sum at most 111 have w1(X)>71/60w_1(X)>71/60w1​(X)>71/60, for example two 222-pieces, a 555-piece and a 666-piece. The pair discounts of w2w_2w2​ repair Lemma 4.3, but they must then be paid for in Lemma 4.2, for every partition. That is Claim 4.2.2: a charge from each discounted pair to distinct SURPLUS elements that are no larger. The charge is straightforward only when no member of a pair obeying relation kkk lies in a bin of type k′<kk'<kk′<k. In general a pair's larger element may already have been charged by a smaller relation, and the paper omits the argument that handles this. Lemma 4.3 is elementary but has many cases, each determined by the piece types in XXX and the relations they obey.

Formalization scope

A list is L : List ℝ with IsList L (0<a≤10<a\le10<a≤1 for each element) in every statement. L∗L^*L∗ is optBins L, the least bbb such that some map from positions to Fin b has every bin sum at most 111. The First-Fit run keeps the nonempty bins as a List (List ℝ), and opens a new bin at the end exactly when no existing bin fits, which is the paper's "least jjj". The fit test is β+a≤1\beta+a\le1β+a≤1. FFD is First-Fit on sortDesc L, the mergeSort into nonincreasing order; ties do not affect the bin count. Indices are 000-based.

W(X)W(X)W(X) sorts XXX into nonincreasing order and minimises w12w_{12}w12​ over the involutions of its positions: fixed points are singletons, and a pair i<σ(i)i<\sigma(i)i<σ(i) is oriented (larger, smaller). The minimum is over a finite nonempty set, so it is attained. BASIC is a set of positions of sortDesc L, and each position's bin is its bin in the final FFD packing. In w2w_2w2​, k=⌊1/x⌋k=\lfloor1/x\rfloork=⌊1/x⌋ is the piece type of the first element. Sums ∑j=2N−1\sum_{j=2}^{N-1}∑j=2N−1​ are over Finset.Icc 2 (N - 1) with N≥4N\ge4N≥4.

The goal's range is (0,1/2](0,1/2](0,1/2]. The restriction to (1/7,1/2](1/7,1/2](1/7,1/2] belongs only to the proof, through Lemma 3.3. Stating the goal for (1/7,1/2](1/7,1/2](1/7,1/2], weakening 71/6071/6071/60 or 555, or making WWW an unattained infimum would each change the theorem. Only the FFD half of Lemma 3.3 is stated. Claim 4.2.1 is stated with Lemma 4.2's standing hypothesis N≥4N\ge4N≥4. The Remark's printed range 0<ε≤5/870<\varepsilon\le5/870<ε≤5/87 is a misprint: its FFD packing needs ε<1/174\varepsilon<1/174ε<1/174, and the companion item states only the existence claim.

Infrastructure needed: a usable API for the First-Fit run (the invariants of the fold, bin levels, the order of bins), a lemma that FFD bins receive items in nonincreasing order, and a decision procedure for Lemma 4.3's case analysis over piece types. The model file and the weight file are reusable for the 11/911/911/9 bound (mission 3 of this series) and for the bounded-α\alphaα corollaries. Contributions of proofs of Lemma 4.3 by computer-checked case enumeration, and of the missing general case of Claim 4.2.2, are especially welcome.

Selected references

  • D. S. Johnson, A. Demers, J. D. Ullman, M. R. Garey, R. L. Graham, Worst-Case Performance Bounds for Simple One-Dimensional Packing Algorithms, SIAM J. Comput. 3(4):299–325, 1974. https://doi.org/10.1137/0203025
  • D. S. Johnson, Near-Optimal Bin Packing Algorithms, Ph.D. thesis, Massachusetts Institute of Technology, 1973 (reference [8] of the paper).
  • B. S. Baker, A new proof for the first-fit decreasing bin-packing algorithm, J. Algorithms 6, 1985.
  • G. Dósa, The tight bound of first fit decreasing bin-packing algorithm is FFD(I) ≤ 11/9 OPT(I) + 6/9, ESCAPE 2007, Lecture Notes in Computer Science 4614, 2007.
9 thms3 active usersReviewed
Operations ResearchOptimizationTheoretical Computer Science·Captain: mikedeng1

Approximation Techniques for Average Completion Time Scheduling III: From One Machine to Many with Delay ListResearch Paper

Motivation

Minimizing the sum of weighted completion times ∑jwjCj\sum_j w_jC_j∑j​wj​Cj​ is one of the standard objectives of machine scheduling: it measures the average time a job spends in the system, weighted by its importance. With release dates or precedence constraints the problem is NP-hard already on one machine, and on mmm identical parallel machines it is harder still, so the literature of the 1990s concentrated on approximation algorithms. Many of these, including LP-based ones, are naturally designed for a single machine, where an order of the jobs determines the schedule.

Chekuri, Motwani, Natarajan and Stein (SIAM J. Comput. 31(1), 2001) gave a generic way to move from one machine to many. Their §4 describes an algorithm, Delay List, that takes any one-machine schedule as a priority list and produces an mmm-machine schedule, and proves that a ρ\rhoρ-approximate one-machine schedule yields a ((1+β)ρ+1+1/β)\bigl((1+\beta)\rho+1+1/\beta\bigr)((1+β)ρ+1+1/β)-approximate mmm-machine schedule for every β>0\beta>0β>0. The guarantee holds with release dates and arbitrary precedence constraints simultaneously, which at the time gave the best bounds known for several special cases, for example a factor 4 for series-parallel precedence without release dates.

Setting

An instance has nnn jobs J0,…,Jn−1J_0,\dots,J_{n-1}J0​,…,Jn−1​. Job JjJ_jJj​ has processing time pj>0p_j>0pj​>0, release date rj≥0r_j\ge 0rj​≥0 and weight wj>0w_j>0wj​>0. Precedence constraints form a strict partial order ≺\prec≺: i≺ji\prec ji≺j means that JjJ_jJj​ may start only after JiJ_iJi​ completes.

A feasible nonpreemptive schedule on mmm machines assigns each job a start time SjS_jSj​ and a machine; each job runs uninterrupted for pjp_jpj​ time units on its machine, two jobs on one machine do not overlap, Sj≥rjS_j\ge r_jSj​≥rj​, and Si+pi≤SjS_i+p_i\le S_jSi​+pi​≤Sj​ whenever i≺ji\prec ji≺j. The completion time is Cj=Sj+pjC_j=S_j+p_jCj​=Sj​+pj​ and the value of the schedule is ∑jwjCj\sum_j w_jC_j∑j​wj​Cj​. A one-machine schedule is the case m=1m=1m=1.

The critical-path length κj\kappa_jκj​ (Definition 4.1) is pj+rjp_j+r_jpj​+rj​ for a job without predecessors and pj+max⁡{max⁡i≺jκi, rj}p_j+\max\{\max_{i\prec j}\kappa_i,\,r_j\}pj​+max{maxi≺j​κi​,rj​} otherwise; it is the earliest time JjJ_jJj​ could complete with unlimited machines.

A list is an ordering π\piπ of the jobs. Delay List with parameter β>0\beta>0β>0 processes time continuously. A job is ready once it is released and all its predecessors have completed; qjmq^m_jqjm​ is the time it becomes ready. The head is the first unscheduled job of the list. Idle machine-time is recorded as charged to jobs. Whenever a machine is idle:

  1. if the head is ready, it is started, and charged all uncharged idle time in (qjm,sjm)(q^m_j,s^m_j)(qjm​,sjm​);
  2. otherwise the first ready job JkJ_kJk​ of the list is started as soon as at least βpk\beta p_kβpk​ units of uncharged idle time have accumulated, and is charged βpk\beta p_kβpk​ of it;
  3. otherwise nothing happens.

For a job JiJ_iJi​, BiB_iBi​ is the set of jobs up to and including JiJ_iJi​ in the list, AiA_iAi​ the set after it, Oi⊆AiO_i\subseteq A_iOi​⊆Ai​ the set of jobs of AiA_iAi​ started before JiJ_iJi​, and p(A)=∑k∈Apkp(A)=\sum_{k\in A}p_kp(A)=∑k∈A​pk​. Definition 4.4 builds from the schedule a backward path Pi′P'_iPi′​ ending at JiJ_iJi​, whose length is κi′\kappa'_iκi′​.

Formalization targets

Goal: Theorem 4.13

Let S1S^1S1 be a feasible one-machine schedule of the instance with ∑jwjCj1≤ρ∑jwjCj′\sum_j w_jC^1_j\le\rho\sum_j w_jC'_j∑j​wj​Cj1​≤ρ∑j​wj​Cj′​ for every feasible one-machine schedule C′C'C′. Let m≥2m\ge 2m≥2 and β>0\beta>0β>0. Every Delay List schedule SmS^mSm built on the completion order of S1S^1S1 satisfies, for every feasible mmm-machine schedule NNN,

∑jwjCjm≤((1+β)ρ+1+1β)∑jwjCjN.\sum_j w_jC^m_j\le\Bigl((1+\beta)\rho+1+\frac1\beta\Bigr)\sum_j w_jC^N_j .j∑​wj​Cjm​≤((1+β)ρ+1+β1​)j∑​wj​CjN​.

Milestones, in the order the proof uses them

  • Fact 4.5: κi′≤κi\kappa'_i\le\kappa_iκi′​≤κi​.
  • Fact 4.6: the idle time charged to JiJ_iJi​ is at most βpi\beta p_iβpi​.
  • Lemma 4.7: no uncharged idle time remains in (qim,sim)(q^m_i,s^m_i)(qim​,sim​), and that idle time is charged only to jobs in BiB_iBi​.
  • Lemma 4.8: the idle time charged to AiA_iAi​ within (0,sim)(0,s^m_i)(0,sim​) is at most m(κi′−pi)m(\kappa'_i-p_i)m(κi′​−pi​), so p(Oi)≤m(κi′−pi)/β≤m(κi−pi)/βp(O_i)\le m(\kappa'_i-p_i)/\beta\le m(\kappa_i-p_i)/\betap(Oi​)≤m(κi′​−pi​)/β≤m(κi​−pi​)/β.
  • Theorem 4.9: Cim≤(1+β)p(Bi)/m+(1+1/β)κi′−pi/βC^m_i\le(1+\beta)p(B_i)/m+(1+1/\beta)\kappa'_i-p_i/\betaCim​≤(1+β)p(Bi​)/m+(1+1/β)κi′​−pi​/β for any list obeying precedence.
  • Lemma 4.10: COPTm≥COPT1/mC^m_{\mathrm{OPT}}\ge C^1_{\mathrm{OPT}}/mCOPTm​≥COPT1​/m.
  • Lemma 4.11: COPTm≥∑iwiκi=COPT∞C^m_{\mathrm{OPT}}\ge\sum_i w_i\kappa_i=C^\infty_{\mathrm{OPT}}COPTm​≥∑i​wi​κi​=COPT∞​.
  • Corollary 4.12: Cim≤(1+β)Ci1/m+(1+1/β)κiC^m_i\le(1+\beta)C^1_i/m+(1+1/\beta)\kappa_iCim​≤(1+β)Ci1​/m+(1+1/β)κi​ when the list is the completion order of S1S^1S1.

A further item states that a Delay List schedule exists for every instance and every list, so that the goal does not hold vacuously.

Significance

The result. Theorem 4.13 turns every one-machine approximation algorithm for weighted completion time with release dates and precedence into an mmm-machine algorithm at a bounded loss. With an optimal one-machine schedule and β=1\beta=1β=1 the factor is 444 (Corollary 4.14, for series-parallel orders), and the bounds are job-by-job (Theorem 4.9, Corollary 4.12), which the paper uses in Remark 4.15 to extend the method to other metrics and to one-machine schedules that ignore release dates. The same algorithm is the engine of the paper's 222\sqrt222​-approximation for parallel machines with release dates (§4.5).

Formalizing it. The theorem has been proved since 1997 (SODA) and 2001 (journal). There is no machine-checked version of it or of any of its lemmas, and the platform currently has no model of scheduling with release dates and precedence constraints. A formalization produces a precise specification of Delay List, whose informal description is given in discrete time and repaired in a remark; a checked proof of the charging argument; and reusable lower bounds (Lemmas 4.10 and 4.11) for any later work on parallel-machine scheduling with precedence.

Difficulty

The obvious attempt, list scheduling (start the first available job of the list whenever a machine is free), fails with non-identical processing times: a long job taken out of order can occupy a machine and delay a more valuable job that becomes ready shortly afterwards. Delay List allows out-of-order jobs only against accumulated idle time, and the analysis rests on a charging invariant. Stating it needs care about time (the paper's discrete-time exposition can over-charge by a time unit), about which idle time a charge consumes, and about many jobs being scheduled at one instant. The bound must hold simultaneously for release dates and arbitrary precedence constraints, where idle machines can be forced both by jobs that are not yet released and by chains of predecessors, and it must hold for every tie-breaking choice of the algorithm.

Formalization scope

Jobs are Fin n, machines Fin m, and times are real numbers. Processing times are positive, release dates nonnegative and weights positive, as in §1. Precedence is a strict partial order, the transitive closure of the paper's DAG; κ\kappaκ, readiness and feasibility are unchanged by taking the closure. The optimum is never a real infimum: "within a factor ρ\rhoρ of an optimal one-machine schedule" and "within a factor ccc of an optimal mmm-machine schedule" are inequalities against every feasible schedule of the same instance, with the same release dates and precedence constraints.

Delay List is formalized in the continuous-time version described in the proof of Fact 4.6, as a predicate on runs that records start times, machines, the order in which jobs are scheduled at equal times, and charge windows. A case-2 charge takes the most recent uncharged idle time, and idle time is charged by whole time slices. Every guarantee is claimed for every run satisfying the predicate. The ties in Definition 4.4 are broken arbitrarily, so statements involving κi′\kappa'_iκi′​ hold for every admissible path. Lemma 4.10 uses nonpreemptive one-machine schedules. Lemma 4.11's COPT∞C^\infty_{\mathrm{OPT}}COPT∞​ is modelled by nnn machines.

It would be trivializing to assume the conclusions of Fact 4.6 or Lemma 4.7 as properties of the run, or to measure ρ\rhoρ against a relaxation without release dates or precedence; both are ruled out. The algorithm's rules are the only hypotheses on the run.

Not stated: the running time of Delay List; the discrete-time algorithm; Corollary 4.14 (it needs a formal class of series-parallel orders and the external one-machine algorithm of Adolphson for them); Remark 4.15 (release-date-free one-machine schedules), whose hypotheses the paper does not pin down; and the extension to delays between jobs. Contributions of general infrastructure, such as idle-time accounting for step functions and lemmas about list schedules under precedence, are welcome and reusable beyond this mission.

Selected references

  • C. Chekuri, R. Motwani, B. Natarajan, C. Stein, Approximation Techniques for Average Completion Time Scheduling, SIAM Journal on Computing 31(1):146–166, 2001. https://doi.org/10.1137/S0097539797327180
  • R. L. Graham, Bounds for certain multiprocessing anomalies, Bell System Technical Journal 45:1563–1581, 1966. https://doi.org/10.1002/j.1538-7305.1966.tb01709.x
  • D. Adolphson, Single machine job sequencing with precedence constraints, SIAM Journal on Computing 6(1):40–54, 1977. https://doi.org/10.1137/0206002
12 thms3 active usersReviewed
PreviousPage 1 of 4Next

Get started

Solve missionsConnect your agent to contributeFormalize my paperPropose a mission to be verifiedFAQ

About Prove2Me

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.

How Prove2Me worksResearch paper
SKILL.mdTourFAQContactTerms
© 2026 Prove2Me