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Jordan canonical form: existence and uniqueness of the block multiset

Proved
HefferonLinAlg.jordan_canonical_form

by tianyipeng · 1 vote · Aug 7, 2026 · Mathlib c5ea003 (Lean v4.30.0)

canonical-formjordan-formlinear-algebrasimilarityuniqueness

Let AAA be an n×nn \times nn×n matrix over C\mathbb{C}C. There is exactly one multiset BBB of (block size,eigenvalue)(\text{block size}, \text{eigenvalue})(block size,eigenvalue) pairs arising as the Jordan block data of AAA: some Jordan form of AAA has block multiset BBB, and every Jordan form of AAA has that same multiset.

Existence is Hefferon's Theorem 2.8 — every square complex matrix is similar to a Jordan matrix. Uniqueness is his Remark 2.9, which observes that to be a genuine canonical form for matrix similarity the Jordan form must be unique, and which the book states but does not prove. Together they are what the phrase canonical form means.

Passing to a multiset is what expresses 'unique up to reordering the blocks': the blocks may be listed in any order, but which blocks occur, and with what multiplicity, is determined by AAA. Requiring every block to be nonempty is what makes this true — empty blocks could otherwise be padded on carrying arbitrary eigenvalues. Mathlib has the generalized eigenspace decomposition but no Jordan canonical form, so this is a genuine formalization target.

Preamble
import Mathlib
import Definitions.Def_HefferonLinAlg_jordan

open Matrix
Formal statement
namespace HefferonLinAlg

theorem jordan_canonical_form
    {n : ℕ} (A : Matrix (Fin n) (Fin n) ℂ) :
    ∃! B : Multiset (ℕ × ℂ),
      ∃ (k : ℕ) (sz : Fin k → ℕ) (lam : Fin k → ℂ),
        IsJordanFormOf A sz lam ∧ jordanBlocks sz lam = B := by
  sorry

end HefferonLinAlg
Source
Jim Hefferon, *Linear Algebra*, Saint Michael's College, 2020 printing, Chapter Five, Section IV.2, Theorem 2.8 (printed p. 454) and Remark 2.9 (printed p. 456)
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What the Lean code literally says, in plain math · claude-opus-5

Read-back: HefferonLinAlg.jordan_canonical_form

What the declaration asserts. For every natural number nnn (implicitly quantified, including n=0n = 0n=0) and every n×nn \times nn×n matrix AAA with complex entries, indexed by {0,1,…,n−1}\{0,1,\dots,n-1\}{0,1,…,n−1} in both rows and columns, there exists exactly one finite multiset BBB of pairs (m,μ)∈N×C(m,\mu) \in \mathbb{N} \times \mathbb{C}(m,μ)∈N×C having the following property:

there exist a natural number kkk, a function s:{0,…,k−1}→Ns : \{0,\dots,k-1\} \to \mathbb{N}s:{0,…,k−1}→N, and a function λ:{0,…,k−1}→C\lambda : \{0,\dots,k-1\} \to \mathbb{C}λ:{0,…,k−1}→C such that (s,λ)(s,\lambda)(s,λ) "is a Jordan form of" AAA (unfolded below) and the multiset { ⁣{ (s0,λ0), (s1,λ1), …, (sk−1,λk−1) } ⁣}\{\!\{\,(s_0,\lambda_0),\ (s_1,\lambda_1),\ \dots,\ (s_{k-1},\lambda_{k-1})\,\}\!\}{{(s0​,λ0​), (s1​,λ1​), …, (sk−1​,λk−1​)}} — one entry per index iii, counted with multiplicity, order discarded — is equal to BBB.

Unfolding "(s,λ)(s,\lambda)(s,λ) is a Jordan form of AAA". This is the conjunction of two conditions:

  1. Positivity of every block size: si>0s_i > 0si​>0 for all i∈{0,…,k−1}i \in \{0,\dots,k-1\}i∈{0,…,k−1}.
  2. Existence of a relabelling and a similarity: there exists a bijection
e:{0,…,n−1}  → ∼   Is:={ (i,a):i∈{0,…,k−1}, a∈{0,…,si−1} }e : \{0,\dots,n-1\} \;\xrightarrow{\ \sim\ }\; I_s := \{\,(i,a) : i \in \{0,\dots,k-1\},\ a \in \{0,\dots,s_i-1\}\,\}e:{0,…,n−1} ∼ ​Is​:={(i,a):i∈{0,…,k−1}, a∈{0,…,si​−1}}

(the disjoint-union index set of the blocks) and there exists an n×nn \times nn×n complex matrix PPP with det⁡P\det PdetP a unit of C\mathbb{C}C (equivalently det⁡P≠0\det P \neq 0detP=0) such that

(P−1AP)u,v  =  J e(u), e(v)for all u,v∈{0,…,n−1},\bigl(P^{-1} A P\bigr)_{u,v} \;=\; J_{\,e(u),\,e(v)} \qquad \text{for all } u,v \in \{0,\dots,n-1\},(P−1AP)u,v​=Je(u),e(v)​for all u,v∈{0,…,n−1},

where JJJ is the block-diagonal matrix on the index set IsI_sIs​ described next, and P−1P^{-1}P−1 is the total inverse operation (a genuine two-sided inverse here, since det⁡P\det PdetP is a unit). Note the direction of the conjugation: it is P−1APP^{-1} A PP−1AP that equals the relabelled Jordan matrix, not PAP−1P A P^{-1}PAP−1.

Unfolding the Jordan matrix JJJ. JJJ is indexed by pairs (i,a)∈Is(i,a) \in I_s(i,a)∈Is​ and is block-diagonal:

J(i,a),(j,b)  =  {(Jordan block of size si with eigenvalue λi)a,b,i=j,0,i≠j,J_{(i,a),(j,b)} \;=\; \begin{cases} \bigl(\text{Jordan block of size } s_i \text{ with eigenvalue } \lambda_i\bigr)_{a,b}, & i = j,\\[2pt] 0, & i \neq j,\end{cases}J(i,a),(j,b)​={(Jordan block of size si​ with eigenvalue λi​)a,b​,0,​i=j,i=j,​

where the Jordan block of size mmm with eigenvalue μ\muμ has entries

(block)a,b  =  {μ,a=b,1,a=b+1,0,otherwise,\bigl(\text{block}\bigr)_{a,b} \;=\; \begin{cases} \mu, & a = b,\\ 1, & a = b+1,\\ 0, & \text{otherwise},\end{cases}(block)a,b​=⎩⎨⎧​μ,1,0,​a=b,a=b+1,otherwise,​

i.e. μ\muμ on the diagonal and 111's on the subdiagonal (below the diagonal), zeros elsewhere.

Exactly what is claimed unique. The uniqueness is asserted only for the multiset BBB. In particular the statement does not claim uniqueness of:

  • the number of blocks kkk, or the functions sss and λ\lambdaλ themselves (these are existentially quantified inside the property, so many different (k,s,λ)(k,s,\lambda)(k,s,λ) may realise the same BBB);
  • the relabelling bijection eee;
  • the change-of-basis matrix PPP.

Because the multiset forgets the ordering of the blocks, the assertion is that the unordered collection of (block size, eigenvalue) pairs, with multiplicities, is determined by AAA.

What the uniqueness statement packages together. The "exactly one" claim carries both halves: (i) existence — at least one such multiset BBB arises, i.e. every complex square matrix admits a decomposition of the above kind; and (ii) uniqueness — any two multisets arising this way from AAA coincide.

Degenerate and implicit cases.

  • n=0n = 0n=0 is included: AAA is the empty 0×00\times 00×0 matrix, and k=0k = 0k=0 with the empty block data satisfies the property vacuously (the positivity condition is vacuous, the empty bijection exists, and the empty matrix is similar to itself), so BBB is the empty multiset.
  • k=0k = 0k=0 is permitted in general (the empty multiset BBB); it is compatible with the property only when the index set has n=0n = 0n=0 elements.
  • The existence of the bijection eee forces n=∑isin = \sum_{i} s_in=∑i​si​; this is a consequence of the statement rather than something written separately.
  • The positivity condition si>0s_i > 0si​>0 rules out zero-size blocks, so no entry of BBB has first coordinate 000.
  • Nothing in the statement requires the values λi\lambda_iλi​ to be distinct, nor states explicitly that they are eigenvalues of AAA, nor imposes any ordering on block sizes or eigenvalues.
  • The multiset BBB ranges over pairs whose first coordinate is a natural number and second coordinate a complex number; multiplicities are significant, order is not.
  • The scalar field is fixed to C\mathbb{C}C and the index type to a finite range {0,…,n−1}\{0,\dots,n-1\}{0,…,n−1}; no statement is made over other rings or index types.

Proof status. The declaration's proof is not supplied; the body is left as an admitted goal.

Human review
  • Endorsed by Shuze Chen · Aug 7, 2026

  • Endorsed by tianyipeng · Aug 7, 2026

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

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