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Arrow's impossibility theorem

Proved
AGT.arrow_theorem

by Shuze Chen · Sep 12, 2026 · Mathlib c5ea003 (Lean v4.30.0)

game-theorymechanism-designsocial-choice

Aggregating rankings over three or more alternatives under unanimity and independence of irrelevant alternatives forces a dictator — Arrow's impossibility theorem (Theorem 9.3 of Algorithmic Game Theory). Let AAA have more than two alternatives and let there be finitely many, and at least one, voters. Every social welfare function FFF — every aggregator carrying preference profiles to social preferences that are again strict total orders — satisfying

  1. unanimity: on each identical profile (r,…,r)(r, \dots, r)(r,…,r) the social preference is rrr, and
  2. independence of irrelevant alternatives: the social comparison of aaa with bbb depends only on the voters' comparisons of aaa with bbb,

has a dictator: a voter iii such that on every profile the social preference coincides with iii's.

A note on the hypotheses. Nonempty ι\mathrm{Nonempty}\ \iotaNonempty ι matches the book's setting of n≥1n \ge 1n≥1 voters; it is not needed for truth — with zero voters the identical-profile unanimity is already unsatisfiable over three or more alternatives (the empty profile would have to coincide with every strict total order at once), so that case is vacuous either way. Unanimity is the book's identical-profile form (Definition 9.2); combined with IIA it yields the pairwise form ("if all voters rank aaa above bbb, so does society") that the proof uses. ∣A∣≥3|A| \ge 3∣A∣≥3 enters as 2<∣A∣2 < |A|2<∣A∣; with two alternatives majority rule is a counterexample, so the bound is sharp.

Preamble
import Definitions.Def_agt_social
Formal statement
namespace AGT

/-- **Theorem 9.3 of *Algorithmic Game Theory* (Arrow)**: every social
welfare function over more than two alternatives that satisfies unanimity
and independence of irrelevant alternatives is a dictatorship.

`Nonempty ι` pins the statement to the book's setting of `n ≥ 1` voters.
(It is not needed for truth: with zero voters and `|A| ≥ 3` the
identical-profile unanimity below is already unsatisfiable — the empty
profile would have to agree simultaneously with every strict total
order — so that case is vacuous either way.)  Unanimity is the book's
identical-profile form (Definition 9.2); together with IIA it yields the
pairwise form used in the proof. -/
theorem arrow_theorem {A ι : Type*} [Fintype A] [Fintype ι] [Nonempty ι]
    (hA : 2 < Fintype.card A) (F : (ι → A → A → Prop) → A → A → Prop)
    (hF : IsSWF F) (huna : SWFUnanimity F) (hiia : SWFIIA F) :
    ∃ i : ι, SWFDictator F i := by
  sorry

end AGT
Source
N. Nisan, T. Roughgarden, E. Tardos, V. V. Vazirani (eds.), Algorithmic Game Theory, Cambridge University Press 2007, https://doi.org/10.1017/CBO9780511800481, Section 9.2.3, Theorem 9.3, pp. 212-213
Read-back

What the Lean code literally says, in plain math · claude-fable-5

Read-back: arrow_theorem

Setup. Fix two arbitrary types: a type AAA of alternatives and a type ι\iotaι of voters. Three typeclass hypotheses are assumed:

  • AAA is finite (Fintype A);
  • ι\iotaι is finite (Fintype ι);
  • ι\iotaι is nonempty (Nonempty ι).

There is one explicit cardinality hypothesis: ∣A∣>2|A| > 2∣A∣>2, i.e. there are strictly more than two alternatives (so at least 333; combined with finiteness, 3≤∣A∣<∞3 \le |A| < \infty3≤∣A∣<∞). No decidability assumption is used by the theorem (a DecidableEq ι hypothesis appears in the surrounding definition file, but only after the definitions this theorem uses, and the theorem statement itself does not carry it).

Throughout, a profile is any family P=(Pi)i∈ιP = (P_i)_{i \in \iota}P=(Pi​)i∈ι​ where each PiP_iPi​ is a binary relation on AAA (an arbitrary function A→A→PropA \to A \to \mathrm{Prop}A→A→Prop; no properties are built into the type). The predicate "PPP is a preference profile" means: for every voter iii, the relation PiP_iPi​ is a strict total order on AAA in Mathlib's sense (IsStrictTotalOrder), i.e. PiP_iPi​ is

  • trichotomous: for all a,b∈Aa, b \in Aa,b∈A, Pi a bP_i\,a\,bPi​ab or a=ba = ba=b or Pi b aP_i\,b\,aPi​ba;
  • irreflexive: for no aaa does Pi a aP_i\,a\,aPi​aa hold;
  • transitive.

The object FFF. Let FFF be any function taking a family of binary relations on AAA (one per voter — not necessarily a preference profile; FFF is total on all such families) and returning a single binary relation on AAA. Three hypotheses are assumed about FFF:

  1. FFF is a social welfare function (IsSWF F): for every preference profile PPP (every PiP_iPi​ a strict total order), the output relation F(P)F(P)F(P) is itself a strict total order on AAA. Nothing is assumed about the value of FFF on families that are not preference profiles.

  2. Unanimity, in the constant-profile form (SWFUnanimity F): for every single relation rrr on AAA that is a strict total order, and for all a,b∈Aa, b \in Aa,b∈A,

F((r,r,…,r)⏟every voter has r) a b  ⟺  r a b.F(\underbrace{(r, r, \dots, r)}_{\text{every voter has } r})\,a\,b \iff r\,a\,b.F(every voter has r(r,r,…,r)​​)ab⟺rab.

That is: on a profile in which every voter holds the identical order rrr, the social order coincides exactly (as a biconditional on every ordered pair, including pairs with a=ba = ba=b) with rrr. This is the only form of unanimity assumed — it constrains FFF only on constant profiles. It is not the Pareto condition: no assumption is made that unanimous agreement on a single pair (a,b)(a,b)(a,b) within a non-constant profile forces F(P) a bF(P)\,a\,bF(P)ab.

  1. Independence of irrelevant alternatives (SWFIIA F): for all preference profiles PPP and QQQ (both consisting of strict total orders) and all a,b∈Aa, b \in Aa,b∈A: if every voter iii satisfies Pi a b  ⟺  Qi a bP_i\,a\,b \iff Q_i\,a\,bPi​ab⟺Qi​ab (agreement is required only on the single ordered pair (a,b)(a,b)(a,b), not explicitly on (b,a)(b,a)(b,a)), then
F(P) a b  ⟺  F(Q) a b.F(P)\,a\,b \iff F(Q)\,a\,b.F(P)ab⟺F(Q)ab.

Conclusion. There exists a voter i∈ιi \in \iotai∈ι (plain existence — no uniqueness is claimed) who is a dictator in the following strong sense (SWFDictator F i): for every preference profile PPP (every coordinate a strict total order) and all a,b∈Aa, b \in Aa,b∈A,

F(P) a b  ⟺  Pi a b.F(P)\,a\,b \iff P_i\,a\,b.F(P)ab⟺Pi​ab.

That is, on every preference profile the social order returned by FFF is identical, pair by pair, to voter iii's own order — not merely that iii's strict preferences are respected in one direction, but a full biconditional on every ordered pair.

Edge cases made explicit.

  • The hypotheses are non-vacuous only when strict total orders on AAA exist and ι\iotaι is inhabited; both are guaranteed here (AAA finite hence linearly orderable, ι\iotaι assumed nonempty). If ι\iotaι were empty the conclusion ∃i\exists i∃i would be false, so Nonempty ι is load-bearing.
  • With ∣A∣>2|A| > 2∣A∣>2 the two-alternative case (where majority rule famously satisfies the analogous conditions) is excluded, as are ∣A∣∈{0,1}|A| \in \{0, 1\}∣A∣∈{0,1}.
  • All biconditionals quantify over all ordered pairs, including diagonal pairs a=ba = ba=b (where irreflexivity forces both sides false) and both orientations (a,b)(a,b)(a,b), (b,a)(b,a)(b,a).
  • FFF's behavior on families that fail to be preference profiles is completely unconstrained by every hypothesis and by the conclusion.
Human review
  • Endorsed by Community (Bot) · Sep 12, 2026

  • Endorsed by Shuze Chen · Sep 12, 2026

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

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