Add preprints files (part 14)
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- .gitattributes +71 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/README.md +18 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/main.tex +78 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/references.bib +466 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/01-introduction.tex +393 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/02-macrograph.tex +436 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/03-outer-codes.tex +1006 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/04-outer-programs.tex +864 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/05-outer-representation.tex +696 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/06-outer-composition.tex +1183 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/07-inner-algebra.tex +1552 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/08-inner-binary.tex +1379 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/09-inner-gadget.tex +817 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/10-geometry.tex +1167 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/11-weak-nash.tex +785 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/12-extensions.tex +451 -0
- preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/paper.pdf +3 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/README.md +18 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/figures/moved-generic-transport.tex +19 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/figures/probe-divisibility.tex +20 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/figures/support-descent.tex +24 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/main.tex +67 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/references.bib +201 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/conclusion.tex +303 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/forcing.tex +797 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/introduction.tex +213 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/metatheory.tex +439 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/monoid.tex +801 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/quotients.tex +746 -0
- preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/partition-principle-without-choice.pdf +3 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/README.md +18 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/paper.tex +32 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/preamble.tex +45 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/references/references.bib +257 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/01-introduction.tex +239 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/02-preliminaries.tex +260 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/03-graph-calculus.tex +828 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/04-area-transfer.tex +605 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/05-maximal-reduction.tex +1305 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/06-stress-extension.tex +1019 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/07-compact-construction.tex +614 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/08-transmission-analysis.tex +958 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/09-scalar-error.tex +1015 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/10-completion.tex +164 -0
- preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/paper.pdf +3 -0
- preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/README.md +18 -0
- preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/build/figures/lifespan.tex +40 -0
- preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/build/figures/proof-map.tex +40 -0
- preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/build/paper.tex +30 -0
- preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/build/preamble.tex +43 -0
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@@ -694,3 +694,74 @@ preprints/The-metric-Blaschke-theorem-September-23-2026/paper.pdf filter=lfs dif
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preprints/The-Mezard-Parisi-formula-for-diluted-spin-glasses-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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preprints/The-nonmaximal-anti-de-Sitter-Penrose-Inequality-and-original-data-rigidity-October-5-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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preprints/The-normalized-volume-gap-in-dimension-four-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 694 |
preprints/The-Mezard-Parisi-formula-for-diluted-spin-glasses-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 695 |
preprints/The-nonmaximal-anti-de-Sitter-Penrose-Inequality-and-original-data-rigidity-October-5-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 696 |
preprints/The-normalized-volume-gap-in-dimension-four-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 697 |
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preprints/The-ordinary-double-point-gap-in-every-dimension-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 698 |
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preprints/The-p-adic-section-conjecture-September-24-2026/main.pdf filter=lfs diff=lfs merge=lfs -text
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| 699 |
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preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/partition-principle-without-choice.pdf filter=lfs diff=lfs merge=lfs -text
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| 700 |
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preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 701 |
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preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 702 |
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preprints/The-periodic-spin-one-Haldane-gap-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 703 |
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preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 704 |
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preprints/The-Quasi-Riemann-Hypothesis-October-5-2026/paper2.pdf filter=lfs diff=lfs merge=lfs -text
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| 705 |
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preprints/The-Quasi-Riemann-Hypothesis-September-30-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 706 |
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preprints/The-rational-Hodge-conjecture-for-CM-abelian-varieties-September-30-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 707 |
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preprints/The-rational-Hodge-conjecture-for-products-of-K3-surfaces-October-4-2026/hodge-conjecture-products-k3.pdf filter=lfs diff=lfs merge=lfs -text
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| 708 |
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preprints/The-Reconstruction-Threshold-for-the-Ferromagnetic-Four-State-Potts-Model-October-5-2026/four-state-potts.pdf filter=lfs diff=lfs merge=lfs -text
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| 709 |
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preprints/The-Restricted-Geometric-Langlands-Equivalence-in-Positive-Characteristic-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 710 |
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preprints/The-reverse-logarithmic-Kodaira-inequality-and-additivity-September-26-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 711 |
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preprints/The-second-Kahn-Kalai-conjecture-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 712 |
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preprints/The-Selmer-converse-for-elliptic-curves-at-every-prime-September-24-2026/main.pdf filter=lfs diff=lfs merge=lfs -text
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| 713 |
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preprints/The-sharp-exponential-rate-of-singularity-for-symmetric-Bernoulli-matrices-October-3-2026/symmetric-bernoulli-singularity.pdf filter=lfs diff=lfs merge=lfs -text
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| 714 |
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preprints/The-sharp-factor-of-IID-threshold-for-the-free-Ising-model-on-regular-trees-September-26-2026/article.pdf filter=lfs diff=lfs merge=lfs -text
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| 715 |
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preprints/The-Sharp-Logarithmic-Exponent-of-r-5-t-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 716 |
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preprints/The-sharp-singularity-rate-for-biased-symmetric-sign-matrices-October-4-2026/biased-symmetric-sign-singularity.pdf filter=lfs diff=lfs merge=lfs -text
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| 717 |
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preprints/The-Sharp-Terminal-Leave-in-Random-Triangle-Removal-September-25-2026/The-Sharp-Terminal-Leave-in-Random-Triangle-Removal-September-25-2026.pdf filter=lfs diff=lfs merge=lfs -text
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| 718 |
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preprints/The-Singer-conjecture-in-dimension-four-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 719 |
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preprints/The-Solomon-Yau-least-volume-theorem-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 720 |
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preprints/The-spacetime-Penrose-inequality-and-enclosing-area-September-27-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 721 |
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preprints/The-spacetime-Penrose-inequality-with-charge-and-original-data-rigidity-October-5-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 722 |
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preprints/The-spherical-magnetization-law-for-the-three-dimensional-quantum-Heisenberg-ferromagnet-October-5-2026/spherical-magnetization.pdf filter=lfs diff=lfs merge=lfs -text
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| 723 |
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preprints/The-spherical-perceptron-with-bi-orthogonally-invariant-disorder-September-24-2026/The-spherical-perceptron-with-bi-orthogonally-invariant-disorder-September-24-2026.pdf filter=lfs diff=lfs merge=lfs -text
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| 724 |
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preprints/The-Stable-Hurewicz-Image-of-the-Sphere-at-Two-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 725 |
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preprints/The-Strong-Hyperkahler-SYZ-Conjecture-September-23-2026/main.pdf filter=lfs diff=lfs merge=lfs -text
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| 726 |
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preprints/The-strong-thin-tree-conjecture-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 727 |
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preprints/The-Subcritical-Henon-Lane-Emden-Conjecture-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 728 |
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preprints/The-symmetric-Mahler-conjecture-and-its-equality-cases-September-22-2026/build/figures/lens-boundary-law.pdf filter=lfs diff=lfs merge=lfs -text
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| 729 |
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preprints/The-symmetric-Mahler-conjecture-and-its-equality-cases-September-22-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 730 |
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preprints/The-trace-cone-classifies-Razak-Jacelon-stabilizations-September-25-2026/The-trace-cone-classifies-Razak-Jacelon-stabilizations-September-25-2026.pdf filter=lfs diff=lfs merge=lfs -text
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| 731 |
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preprints/The-two-primary-Birch-Swinnerton-Dyer-formula-in-Selmer-corank-at-most-one-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 732 |
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preprints/The-Unique-Games-Theorem-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 733 |
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preprints/The-unique-threshold-bound-state-of-the-SU-N-BFSS-model-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 734 |
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preprints/The-weak-inhomogeneous-Duffin-Schaeffer-conjecture-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 735 |
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preprints/The-weak-pinned-planar-distance-theorem-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 736 |
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preprints/Thermal-FK-Ising-interfaces-and-massive-SLE-October-5-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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preprints/Thomason-Model-Structures-in-Every-Strict-Higher-Dimension-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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preprints/Thompsons-group-F-is-nonamenable-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 739 |
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preprints/Threshold-parallel-repetition-for-finite-dimensional-entangled-games-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 740 |
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preprints/Topological-triviality-of-mu-constant-families-of-surface-singularities-September-24-2026/main.pdf filter=lfs diff=lfs merge=lfs -text
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| 741 |
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preprints/Tracial-projection-methods-and-uniform-property-Gamma-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 742 |
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preprints/Translative-covering-densities-of-order-n-log-n-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 743 |
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preprints/Tree-Constructions-for-the-l1-Distortion-of-Binary-Edit-Distance-September-27-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 744 |
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preprints/Triangular-minimality-for-planar-Coulomb-renormalized-energy-September-23-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 745 |
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preprints/Triple-ergodic-averages-with-distinct-integer-slopes-October-4-2026/triple-ergodic-distinct-slopes.pdf filter=lfs diff=lfs merge=lfs -text
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| 746 |
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preprints/Turn-Based-Stochastic-Mean-Payoff-Games-in-Deterministic-Quasipolynomial-Time-October-5-2026/stochastic-mean-payoff-games.pdf filter=lfs diff=lfs merge=lfs -text
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| 747 |
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preprints/two-limit-cycles-for-quintic-lienard-systems-September-24-2026/two-limit-cycles-for-quintic-lienard-systems-September-24-2026.pdf filter=lfs diff=lfs merge=lfs -text
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| 748 |
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preprints/Two-step-monodromy-of-special-quasi-projective-varieties-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 749 |
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preprints/Ultraflat-real-Littlewood-polynomials-October-5-2026/ultraflat-real-littlewood-polynomials.pdf filter=lfs diff=lfs merge=lfs -text
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| 750 |
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preprints/Unbounded-Violations-of-the-Square-Root-Degree-Bound-September-26-2026/Unbounded-Violations-of-the-Square-Root-Degree-Bound-September-26-2026.pdf filter=lfs diff=lfs merge=lfs -text
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| 751 |
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preprints/Unconditional-time-lower-bounds-for-Weisfeiler-Leman-equivalence-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 752 |
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preprints/Uniform-Bi-Holder-Transport-from-Weak-MTW-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 753 |
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preprints/uniform-bounds-for-planar-polynomial-limit-cycles-September-24-2026/uniform-bounds-for-planar-polynomial-limit-cycles-September-24-2026.pdf filter=lfs diff=lfs merge=lfs -text
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| 754 |
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preprints/Uniform-Cartier-sections-for-Fano-type-contractions-September-25-2026/Uniform-Cartier-sections-for-Fano-type-contractions-September-25-2026.pdf filter=lfs diff=lfs merge=lfs -text
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| 755 |
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preprints/Uniform-computation-of-the-squared-logarithmic-k-server-bound-September-24-2026/Uniform-computation-of-the-squared-logarithmic-k-server-bound-September-24-2026.pdf filter=lfs diff=lfs merge=lfs -text
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| 756 |
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preprints/Uniform-effective-log-Iitaka-fibrations-for-fourfolds-September-26-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 757 |
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preprints/Uniform-excess-charge-for-Coulomb-molecules-and-the-outer-radius-of-neutral-atoms-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 758 |
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preprints/Uniform-exclusion-of-Landau-Siegel-zeros-October-1-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 759 |
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preprints/Uniform-indices-for-semi-log-canonical-log-Calabi-Yau-pairs-October-5-2026/uniform-slc-index.pdf filter=lfs diff=lfs merge=lfs -text
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| 760 |
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preprints/Uniform-Interior-C1alpha-Estimates-for-Infinity-Harmonic-Functions-October-4-2026/interior-c1-infinity-harmonic.pdf filter=lfs diff=lfs merge=lfs -text
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| 761 |
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preprints/Uniform-log-Iitaka-fibrations-and-bounded-moduli-denominators-October-4-2026/uniform-log-iitaka.pdf filter=lfs diff=lfs merge=lfs -text
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| 762 |
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preprints/Uniform-marked-polygon-estimates-and-sharp-finite-bridge-moments-September-26-2026/main.pdf filter=lfs diff=lfs merge=lfs -text
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| 763 |
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preprints/Uniform-Matrix-Hitting-Points-in-Every-Positive-Characteristic-October-4-2026/uniform-matrix-hitting-points-positive-characteristic.pdf filter=lfs diff=lfs merge=lfs -text
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| 764 |
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preprints/Uniform-Permanence-in-Weakly-Reversible-Mass-Action-Systems-October-5-2026/permanence.pdf filter=lfs diff=lfs merge=lfs -text
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| 765 |
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preprints/Uniform-Pluricanonical-Iitaka-Fibrations-October-3-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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| 766 |
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preprints/Uniform-quasipolynomial-time-trace-reconstruction-October-5-2026/uniform-trace-reconstruction.pdf filter=lfs diff=lfs merge=lfs -text
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| 767 |
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preprints/Uniform-real-Lipschitz-surfaces-on-the-triangular-lattice-September-25-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text
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preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/README.md
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| 1 |
+
# [The PCP-for-PPAD conjecture: a quasilinear reduction](paper.pdf)
|
| 2 |
+
|
| 3 |
+
**Author:** OpenAI
|
| 4 |
+
|
| 5 |
+
**Date:** September 25, 2026
|
| 6 |
+
|
| 7 |
+
## Citation
|
| 8 |
+
|
| 9 |
+
```bibtex
|
| 10 |
+
@misc{OAI:The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026,
|
| 11 |
+
author = {{OpenAI}},
|
| 12 |
+
title = {{The PCP-for-PPAD conjecture: a quasilinear reduction}},
|
| 13 |
+
howpublished = {OpenAI Math Release preprint
|
| 14 |
+
\href{https://github.com/openai/math/blob/main/preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/paper.pdf}{OAI:The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026}},
|
| 15 |
+
year = {2026}
|
| 16 |
+
}
|
| 17 |
+
```
|
| 18 |
+
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/main.tex
ADDED
|
@@ -0,0 +1,78 @@
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| 1 |
+
\documentclass[11pt]{article}
|
| 2 |
+
\makeatletter
|
| 3 |
+
\def\input@path{{vendor/}}
|
| 4 |
+
\makeatother
|
| 5 |
+
\usepackage[utf8]{inputenc}
|
| 6 |
+
\usepackage{amsmath,amssymb,amsthm,mathtools}
|
| 7 |
+
\usepackage{array,booktabs,longtable,tabularx,enumitem}
|
| 8 |
+
\usepackage[margin=1in]{geometry}
|
| 9 |
+
\usepackage{microtype}
|
| 10 |
+
\usepackage[colorlinks=true,linkcolor=blue,citecolor=blue,urlcolor=blue]{hyperref}
|
| 11 |
+
\hypersetup{pdftitle={The PCP-for-PPAD conjecture: a quasilinear reduction},pdfauthor={OpenAI}}
|
| 12 |
+
\setlength{\emergencystretch}{2em}
|
| 13 |
+
\clubpenalty=10000
|
| 14 |
+
\widowpenalty=10000
|
| 15 |
+
\displaywidowpenalty=10000
|
| 16 |
+
\setlist{itemsep=0.25em,topsep=0.5em,beginpenalty=10000}
|
| 17 |
+
\setlist[itemize]{label=\(\bullet\)}
|
| 18 |
+
\renewcommand{\paragraph}[1]{\par\medskip\noindent\textbf{#1}\enspace\ignorespaces}
|
| 19 |
+
\numberwithin{equation}{section}
|
| 20 |
+
\newtheorem{theorem}{Theorem}[section]
|
| 21 |
+
\newtheorem{proposition}[theorem]{Proposition}
|
| 22 |
+
\newtheorem{lemma}[theorem]{Lemma}
|
| 23 |
+
\newtheorem{corollary}[theorem]{Corollary}
|
| 24 |
+
\theoremstyle{definition}
|
| 25 |
+
\newtheorem{definition}[theorem]{Definition}
|
| 26 |
+
\newtheorem{example}[theorem]{Example}
|
| 27 |
+
\theoremstyle{remark}
|
| 28 |
+
\newtheorem{remark}[theorem]{Remark}
|
| 29 |
+
\newcommand{\F}{\mathbb{F}}
|
| 30 |
+
\newcommand{\E}{\mathbb{E}}
|
| 31 |
+
\newcommand{\eps}{\varepsilon}
|
| 32 |
+
\newcommand{\norm}[1]{\lVert #1\rVert}
|
| 33 |
+
\newcommand{\abs}[1]{\lvert #1\rvert}
|
| 34 |
+
\DeclareMathOperator{\dist}{dist}
|
| 35 |
+
\DeclareMathOperator{\clip}{clip}
|
| 36 |
+
\DeclareMathOperator{\supp}{supp}
|
| 37 |
+
\DeclareMathOperator{\rank}{rank}
|
| 38 |
+
\DeclareMathOperator{\poly}{poly}
|
| 39 |
+
\DeclareMathOperator{\id}{id}
|
| 40 |
+
\DeclareMathOperator{\Span}{span}
|
| 41 |
+
\DeclareMathOperator{\im}{im}
|
| 42 |
+
\DeclareMathOperator{\diag}{diag}
|
| 43 |
+
\title{The PCP-for-PPAD conjecture:\\a quasilinear reduction}
|
| 44 |
+
\author{OpenAI}
|
| 45 |
+
\date{September 25, 2026}
|
| 46 |
+
\begin{document}
|
| 47 |
+
\maketitle
|
| 48 |
+
\begin{abstract}
|
| 49 |
+
We prove the quasilinear-size PCP-for-PPAD conjecture of Babichenko,
|
| 50 |
+
Papadimitriou, and Rubinstein. There are fixed positive rational constants
|
| 51 |
+
$\eps$ and $\delta$ and a deterministic polynomial-time reduction that
|
| 52 |
+
transforms an End-of-Line instance of binary length $N$ into a generalized
|
| 53 |
+
circuit of total binary length $N(\log N)^{O(1)}$. From any rational
|
| 54 |
+
assignment of polynomial encoding length that $\eps$-satisfies all but a
|
| 55 |
+
$\delta$ fraction of the gates, a solution to the original End-of-Line
|
| 56 |
+
instance can be recovered in polynomial time, regardless of which gates
|
| 57 |
+
fail. Such assignments always exist, with one fixed polynomial bound on
|
| 58 |
+
their encoding length.
|
| 59 |
+
\end{abstract}
|
| 60 |
+
\tableofcontents
|
| 61 |
+
\input{sections/01-introduction}
|
| 62 |
+
\input{sections/02-macrograph}
|
| 63 |
+
\input{sections/03-outer-codes}
|
| 64 |
+
\input{sections/04-outer-programs}
|
| 65 |
+
\input{sections/05-outer-representation}
|
| 66 |
+
\input{sections/06-outer-composition}
|
| 67 |
+
\input{sections/07-inner-algebra}
|
| 68 |
+
\input{sections/08-inner-binary}
|
| 69 |
+
\input{sections/09-inner-gadget}
|
| 70 |
+
\input{sections/10-geometry}
|
| 71 |
+
\input{sections/11-weak-nash}
|
| 72 |
+
\appendix
|
| 73 |
+
\input{sections/12-extensions}
|
| 74 |
+
\phantomsection
|
| 75 |
+
\addcontentsline{toc}{section}{References}
|
| 76 |
+
\bibliographystyle{plain}
|
| 77 |
+
\bibliography{references}
|
| 78 |
+
\end{document}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/references.bib
ADDED
|
@@ -0,0 +1,466 @@
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|
| 1 |
+
@inproceedings{BPR2016,
|
| 2 |
+
author = {Babichenko, Yakov and Papadimitriou, Christos H. and Rubinstein, Aviad},
|
| 3 |
+
title = {Can Almost Everybody be Almost Happy?},
|
| 4 |
+
booktitle = {Proceedings of the 2016 ACM Conference on Innovations in Theoretical Computer Science},
|
| 5 |
+
pages = {1--9},
|
| 6 |
+
publisher = {ACM},
|
| 7 |
+
year = {2016},
|
| 8 |
+
doi = {10.1145/2840728.2840731},
|
| 9 |
+
eprint = {1504.02411},
|
| 10 |
+
archivePrefix = {arXiv},
|
| 11 |
+
primaryClass = {cs.CC},
|
| 12 |
+
url = {https://arxiv.org/abs/1504.02411v4},
|
| 13 |
+
note = {Full version: \emph{Can Almost Everybody be Almost Happy? PCP for PPAD and the Inapproximability of Nash}, arXiv:1504.02411v4 (2025), Definitions 1 and 4, Conjecture 2, Theorems 2--4, and Appendix B. \url{https://arxiv.org/abs/1504.02411v4}}
|
| 14 |
+
}
|
| 15 |
+
|
| 16 |
+
@inproceedings{Fisher2026,
|
| 17 |
+
author = {Argyrios Deligkas and John Fearnley and Alexandros Hollender and Themistoklis Melissourgos},
|
| 18 |
+
title = {Fisher Markets with Approximately Optimal Bundles and the Need for a {PCP} Theorem for {PPAD}},
|
| 19 |
+
booktitle = {Proceedings of the 58th Annual ACM Symposium on Theory of Computing},
|
| 20 |
+
series = {STOC 2026},
|
| 21 |
+
year = {2026},
|
| 22 |
+
pages = {1049--1060},
|
| 23 |
+
publisher = {Association for Computing Machinery},
|
| 24 |
+
doi = {10.1145/3798129.3800817},
|
| 25 |
+
url = {https://arxiv.org/abs/2604.27276v2},
|
| 26 |
+
eprint = {2604.27276v2},
|
| 27 |
+
archivePrefix = {arXiv},
|
| 28 |
+
primaryClass = {cs.GT},
|
| 29 |
+
note = {Full version, arXiv:2604.27276v2 (18 June 2026), \url{https://arxiv.org/abs/2604.27276v2}. Definition 1, footnote 4, Theorem 2.2 and Appendix A are full-version locators; the conference manuscript numbers the equivalence Theorem 2.3}
|
| 30 |
+
}
|
| 31 |
+
|
| 32 |
+
@article{DFHM2024,
|
| 33 |
+
author = {Deligkas, Argyrios and Fearnley, John and Hollender, Alexandros and Melissourgos, Themistoklis},
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| 34 |
+
title = {{Pure-Circuit}: Tight Inapproximability for {PPAD}},
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| 35 |
+
journal = {Journal of the ACM},
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| 36 |
+
volume = {71},
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| 37 |
+
number = {5},
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| 38 |
+
pages = {31:1--31:48},
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| 39 |
+
year = {2024},
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| 40 |
+
doi = {10.1145/3678166},
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| 41 |
+
eprint = {2209.15149},
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| 42 |
+
archivePrefix = {arXiv},
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| 43 |
+
primaryClass = {cs.CC},
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| 44 |
+
url = {https://arxiv.org/abs/2209.15149v3},
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| 45 |
+
note = {Numbered references use arXiv:2209.15149v3 (2024), Section 4.1, Definition 3 and Theorem 4.1. \url{https://doi.org/10.1145/3678166}}
|
| 46 |
+
}
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| 47 |
+
|
| 48 |
+
@inproceedings{DEL+2022,
|
| 49 |
+
author = {Dinur, Irit and Evra, Shai and Livne, Ron and Lubotzky, Alexander and Mozes, Shahar},
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| 50 |
+
title = {Locally Testable Codes with Constant Rate, Distance, and Locality},
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| 51 |
+
booktitle = {Proceedings of the 54th Annual ACM SIGACT Symposium on Theory of Computing},
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| 52 |
+
pages = {357--374},
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| 53 |
+
publisher = {ACM},
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| 54 |
+
year = {2022},
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| 55 |
+
doi = {10.1145/3519935.3520024},
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| 56 |
+
eprint = {2111.04808},
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| 57 |
+
archivePrefix = {arXiv},
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| 58 |
+
primaryClass = {cs.IT},
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| 59 |
+
url = {https://arxiv.org/abs/2111.04808v2},
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| 60 |
+
note = {Full version arXiv:2111.04808v2 (2021), Theorems 1.1 and 4.5. \url{https://arxiv.org/abs/2111.04808v2}}
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| 61 |
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}
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| 62 |
+
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| 63 |
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@misc{FS1995,
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| 64 |
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author = {Friedl, Katalin and Sudan, Madhu},
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| 65 |
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title = {Some Improvements to Total Degree Tests},
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howpublished = {\url{https://arxiv.org/abs/1307.3975v1}},
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year = {2013},
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| 68 |
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eprint = {1307.3975},
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archivePrefix = {arXiv},
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doi = {10.48550/arXiv.1307.3975},
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| 72 |
+
url = {https://arxiv.org/abs/1307.3975v1},
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| 73 |
+
note = {Corrected version, Theorem 13. Original paper in the Proceedings of the Third Israel Symposium on Theory of Computing and Systems, 1995, pp. 190--198}
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| 74 |
+
}
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| 75 |
+
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| 76 |
+
@article{EJZ2010,
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| 77 |
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author = {Ershov, Mikhail and Jaikin-Zapirain, Andrei},
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| 78 |
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title = {Property {(T)} for Noncommutative Universal Lattices},
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| 79 |
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journal = {Inventiones Mathematicae},
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| 80 |
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| 81 |
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| 82 |
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pages = {303--347},
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| 83 |
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year = {2010},
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| 84 |
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doi = {10.1007/s00222-009-0218-2},
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| 85 |
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eprint = {0809.4095},
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archivePrefix = {arXiv},
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| 88 |
+
url = {https://arxiv.org/abs/0809.4095v2},
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| 89 |
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| 90 |
+
}
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| 91 |
+
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| 92 |
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@article{Shalom1999,
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| 93 |
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author = {Shalom, Yehuda},
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| 94 |
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title = {Bounded Generation and {Kazhdan}'s Property {(T)}},
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| 100 |
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| 101 |
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note = {Theorem 3.4 and Corollary 3.5, pp. 160--161. \url{https://doi.org/10.1007/BF02698832}}
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| 102 |
+
}
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| 103 |
+
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| 104 |
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@misc{Helfgott2013,
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| 105 |
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author = {Helfgott, H. A.},
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| 106 |
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title = {The Ternary {Goldbach} Conjecture Is True},
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howpublished = {\url{https://arxiv.org/abs/1312.7748v2}},
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| 108 |
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year = {2013},
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| 109 |
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eprint = {1312.7748},
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archivePrefix = {arXiv},
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primaryClass = {math.NT},
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doi = {10.48550/arXiv.1312.7748},
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| 113 |
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url = {https://arxiv.org/abs/1312.7748v2},
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| 114 |
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note = {Version 2 (2014), Main Theorem, Section 1.1, p. 2; conclusion in Section 7.4}
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| 115 |
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}
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| 116 |
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| 117 |
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@misc{Xylouris2011,
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| 118 |
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author = {Xylouris, Triantafyllos},
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howpublished = {\url{https://arxiv.org/abs/0906.2749v1}},
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year = {2009},
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| 122 |
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eprint = {0906.2749},
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archivePrefix = {arXiv},
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primaryClass = {math.NT},
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doi = {10.48550/arXiv.0906.2749},
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| 126 |
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url = {https://arxiv.org/abs/0906.2749v1},
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| 127 |
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note = {Diplomarbeit in German, titled \emph{{\"U}ber die Linniksche Konstante}; Theorem 1.1, p.~9}
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| 128 |
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}
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| 129 |
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@article{BG2008,
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title = {Uniform Expansion Bounds for {Cayley} Graphs of {$\mathrm{SL}_2(\mathbb{F}_p)$}},
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note = {Theorem 1 and the discussion on p. 626. \url{https://doi.org/10.4007/annals.2008.167.625}}
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}
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@article{MGGAFP,
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author = {Karayel, Emin},
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note = {Isabelle formalization. Theory \path{Expander_Graphs_MGG},
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function \path{mgg_graph_step} and lemma \path{mgg_numerical_radius};
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normalization in \path{Expander_Graphs_Definition} and
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\texttt{expansionD2} in \path{Expander_Graphs_Eigenvalues}.
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Accessed September 25, 2026}
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}
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@article{Margulis1973,
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note = {In Russian; English translation in \emph{Problems of Information
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Transmission} 9(4), 325--332.
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\href{https://www.mathnet.ru/eng/ppi925}{Journal archive}}
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}
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}
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}
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@article{Rubinstein2018,
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| 239 |
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(29 August 2016): Theorem 1.2, Sections 1.1 and 1.3,
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Lemmas 3.3--3.4, and Sections 5--6.
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@misc{Golowich2026,
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year = {2026},
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archivePrefix = {arXiv},
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howpublished = {\url{https://arxiv.org/abs/2609.07136v2}},
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note = {Version 2, submitted 9 September 2026.
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Theorem 1.1, Definition 2.1, and Section 2.2}
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}
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howpublished = {\url{https://arxiv.org/abs/1907.12854v1}},
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}
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note = {Version 1. Theorem 1.1, Sections 2 and 4.2, and Lemma 5.6; locators refer to this preprint}
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note={Lemma 3 and Theorems 2--3. \url{https://doi.org/10.1002/j.1538-7305.1964.tb04102.x}}
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note={\href{https://people.csail.mit.edu/madhu/papers/1992/gemmell.pdf}{Author manuscript}, Appendix A, p. 7, presents the Berlekamp--Welch decoder. \url{https://doi.org/10.1016/0020-0190(92)90195-2}}
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| 349 |
+
note = {Radix-two factorization, pp. 299--300, equations (14)--(22).
|
| 350 |
+
\href{https://janmr.com/files/papers/cooley-tukey.pdf}{Article scan}}
|
| 351 |
+
}
|
| 352 |
+
|
| 353 |
+
@article{Bennett1973,
|
| 354 |
+
author={Bennett, C. H.},
|
| 355 |
+
title={Logical Reversibility of Computation},
|
| 356 |
+
journal={IBM Journal of Research and Development}, volume={17},
|
| 357 |
+
year={1973}, month=nov, pages={525--532},
|
| 358 |
+
doi={10.1147/rd.176.0525},
|
| 359 |
+
url={https://www.cs.princeton.edu/courses/archive/fall04/cos576/papers/bennett73.html},
|
| 360 |
+
note={Reversible cleanup discussion, pp. 525--526. \url{https://doi.org/10.1147/rd.176.0525}}
|
| 361 |
+
}
|
| 362 |
+
|
| 363 |
+
@inproceedings{DGZ2023,
|
| 364 |
+
author = {Daskalakis, Constantinos and Golowich, Noah and Zhang, Kaiqing},
|
| 365 |
+
title = {The Complexity of {Markov} Equilibrium in Stochastic Games},
|
| 366 |
+
booktitle = {Proceedings of the Thirty Sixth Conference on Learning Theory},
|
| 367 |
+
series = {Proceedings of Machine Learning Research},
|
| 368 |
+
volume = {195},
|
| 369 |
+
pages = {4180--4234},
|
| 370 |
+
year = {2023},
|
| 371 |
+
publisher = {PMLR},
|
| 372 |
+
url = {https://proceedings.mlr.press/v195/daskalakis23a.html},
|
| 373 |
+
note = {Theorem 4, Conjecture 10 and Appendix D use the published numbering.
|
| 374 |
+
\href{https://proceedings.mlr.press/v195/daskalakis23a/daskalakis23a.pdf}{Published article}}
|
| 375 |
+
}
|
| 376 |
+
|
| 377 |
+
@misc{HZ2026,
|
| 378 |
+
author = {Braverman, Mark and Liu, Jingyi and Xue, Eric and Zhou, Chenghan},
|
| 379 |
+
title = {Hardness of Approximate {Hylland--Zeckhauser} Equilibria},
|
| 380 |
+
year = {2026},
|
| 381 |
+
eprint = {2606.00951},
|
| 382 |
+
archivePrefix = {arXiv},
|
| 383 |
+
primaryClass = {cs.GT},
|
| 384 |
+
howpublished = {\url{https://arxiv.org/abs/2606.00951v2}},
|
| 385 |
+
note = {Version 2, 9 June 2026. Definition 2.1, Table 1, Theorem 3.2,
|
| 386 |
+
and Lemmas 3.4 and 3.25}
|
| 387 |
+
}
|
| 388 |
+
|
| 389 |
+
@inproceedings{PZO2025,
|
| 390 |
+
author = {Park, Chanwoo and Zhang, Kaiqing and Ozdaglar, Asuman},
|
| 391 |
+
title = {Multi-Player Zero-Sum {Markov} Games with Networked Separable Interactions},
|
| 392 |
+
booktitle = {Advances in Neural Information Processing Systems},
|
| 393 |
+
volume = {36},
|
| 394 |
+
year = {2023},
|
| 395 |
+
eprint = {2307.09470v3},
|
| 396 |
+
archivePrefix = {arXiv},
|
| 397 |
+
primaryClass = {cs.GT},
|
| 398 |
+
url = {https://papers.nips.cc/paper_files/paper/2023/hash/75c411b0a06fa9e78f2a516b57b2ce62-Abstract-Conference.html},
|
| 399 |
+
note = {Numbered references use the full version, arXiv:2307.09470v3
|
| 400 |
+
(12 July 2025): Definition 1 and Appendix C, Case 1.
|
| 401 |
+
\href{https://arxiv.org/abs/2307.09470v3}{Full version}}
|
| 402 |
+
}
|
| 403 |
+
|
| 404 |
+
@misc{FKPP2026,
|
| 405 |
+
author = {Farina, Gabriele and Kontogiannis, Andreas and Panageas, Ioannis and Pollatos, Vasilis},
|
| 406 |
+
title = {The Complexity of Computing Coarse Correlated Equilibria in {Markov} Games with a Single Controller},
|
| 407 |
+
year = {2026},
|
| 408 |
+
eprint = {2607.10897v1},
|
| 409 |
+
archivePrefix = {arXiv},
|
| 410 |
+
primaryClass = {cs.GT},
|
| 411 |
+
howpublished = {\url{https://arxiv.org/abs/2607.10897v1}},
|
| 412 |
+
note = {Version 1. Definition 2.6, Theorem 5.5 and Remark 5.7}
|
| 413 |
+
}
|
| 414 |
+
|
| 415 |
+
@article{Budish2011,
|
| 416 |
+
author = {Budish, Eric},
|
| 417 |
+
title = {The Combinatorial Assignment Problem: Approximate Competitive Equilibrium from Equal Incomes},
|
| 418 |
+
journal = {Journal of Political Economy},
|
| 419 |
+
volume = {119},
|
| 420 |
+
number = {6},
|
| 421 |
+
pages = {1061--1103},
|
| 422 |
+
year = {2011},
|
| 423 |
+
doi = {10.1086/664613},
|
| 424 |
+
url = {https://ericbudish.org/wp-content/uploads/combinatorial_assignment_problem.pdf},
|
| 425 |
+
note = {Definition 1 and Theorem 1, p.~1069.
|
| 426 |
+
\href{https://ericbudish.org/wp-content/uploads/combinatorial_assignment_problem.pdf}{Published article}}
|
| 427 |
+
}
|
| 428 |
+
|
| 429 |
+
@article{OPR2014,
|
| 430 |
+
author = {Othman, Abraham and Papadimitriou, Christos H. and Rubinstein, Aviad},
|
| 431 |
+
title = {The Complexity of Fairness through Equilibrium},
|
| 432 |
+
journal = {ACM Transactions on Economics and Computation},
|
| 433 |
+
volume = {4},
|
| 434 |
+
number = {4},
|
| 435 |
+
pages = {20:1--20:19},
|
| 436 |
+
year = {2016},
|
| 437 |
+
eprint = {1312.6249v3},
|
| 438 |
+
archivePrefix = {arXiv},
|
| 439 |
+
primaryClass = {cs.GT},
|
| 440 |
+
note = {The Appendix A locator uses arXiv:1312.6249v3
|
| 441 |
+
(30 September 2014).
|
| 442 |
+
\href{https://arxiv.org/pdf/1312.6249v3}{Full version}}
|
| 443 |
+
}
|
| 444 |
+
|
| 445 |
+
@misc{ABSsw26,
|
| 446 |
+
author = {Amireddy, Prashanth and Behera, Amik Raj and Srinivasan, Srikanth and Sudan, Madhu and Willumsgaard, Sophus Valentin},
|
| 447 |
+
title = {A Simple Algebraic Proof of the {PCP} Theorem},
|
| 448 |
+
year = {2026},
|
| 449 |
+
eprint = {2608.17429},
|
| 450 |
+
archivePrefix = {arXiv},
|
| 451 |
+
url = {https://arxiv.org/abs/2608.17429v1},
|
| 452 |
+
howpublished = {\url{https://arxiv.org/abs/2608.17429v1}},
|
| 453 |
+
note = {Section 3.1, Definition 3.1 and Claim 3.2}
|
| 454 |
+
}
|
| 455 |
+
|
| 456 |
+
@article{Zemor2001,
|
| 457 |
+
author = {Z{\'e}mor, Gilles},
|
| 458 |
+
title = {On Expander Codes},
|
| 459 |
+
journal = {IEEE Transactions on Information Theory},
|
| 460 |
+
volume = {47},
|
| 461 |
+
number = {2},
|
| 462 |
+
pages = {835--837},
|
| 463 |
+
year = {2001},
|
| 464 |
+
url = {https://courses.grainger.illinois.edu/cs598sgt/sp2015/zemor.pdf},
|
| 465 |
+
note = {Section III-A, Lemma 5 and Theorem 6. \url{https://courses.grainger.illinois.edu/cs598sgt/sp2015/zemor.pdf}}
|
| 466 |
+
}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/01-introduction.tex
ADDED
|
@@ -0,0 +1,393 @@
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|
| 1 |
+
\section{Introduction and the exact search relation}\label{sec:introduction}
|
| 2 |
+
|
| 3 |
+
The class PPAD organizes total search problems whose existence proofs are
|
| 4 |
+
based on the parity of endpoints in a directed graph~\cite{Papadimitriou1994}. Its canonical problem,
|
| 5 |
+
End-of-Line, asks for an endpoint other than a specified source, when the
|
| 6 |
+
graph is described by predecessor and successor circuits. Generalized
|
| 7 |
+
circuits provide another useful language for this class: a solution assigns
|
| 8 |
+
real values in $[0,1]$ to wires and approximately satisfies local arithmetic,
|
| 9 |
+
comparison, and Boolean constraints. The generalized-circuit intermediary
|
| 10 |
+
was developed by Chen, Deng, and Teng~\cite[Section~4.2]{CDT2007Preprint};
|
| 11 |
+
arithmetic, comparison, and Boolean gadgets also underlie the equilibrium
|
| 12 |
+
reductions of Daskalakis, Goldberg, and
|
| 13 |
+
Papadimitriou~\cite[Section~5.1]{DGP2009}. Rubinstein established
|
| 14 |
+
constant-error hardness with every gate required to be
|
| 15 |
+
satisfied~\cite[Theorem~2]{Rubinstein2018}. These results motivate the
|
| 16 |
+
circuit language used here, with the precise normalization and thresholds
|
| 17 |
+
specified below.
|
| 18 |
+
|
| 19 |
+
Babichenko, Papadimitriou, and Rubinstein formulated the PCP-for-PPAD
|
| 20 |
+
conjecture as a quasilinear reduction from End-of-Line to generalized
|
| 21 |
+
circuits in which both the allowed numerical error and the allowed fraction
|
| 22 |
+
of violated gates are positive constants~\cite[Conjecture~2]{BPR2016}.
|
| 23 |
+
The failure fraction is the essential robustness requirement: the decoder
|
| 24 |
+
must succeed even if an adversary chooses which constraints to violate.
|
| 25 |
+
The quasilinear size requirement is a separate restriction on the reduction.
|
| 26 |
+
Ordinary polynomial-time PPAD-hardness, even with constant numerical error,
|
| 27 |
+
does not provide it. For example, hardness for every numerical error below $1/10$ is known
|
| 28 |
+
for the standard generalized-circuit problem with every gate required to
|
| 29 |
+
be satisfied~\cite[Theorem~4.1]{DFHM2024}. Subsequent uses of PCP-for-PPAD also
|
| 30 |
+
consider the weaker conjecture asserting ordinary PPAD-hardness with a
|
| 31 |
+
positive failure fraction; the distinction from the original quasilinear
|
| 32 |
+
formulation is explicit in~\cite[Section~2.2.2]{Fisher2026}.
|
| 33 |
+
|
| 34 |
+
Rubinstein's 2016 work combined encoded-path geometry, a locally
|
| 35 |
+
evolving version of End-of-Line, and a holographic proof system whose
|
| 36 |
+
certificates can be constructed and decoded through restricted
|
| 37 |
+
access~\cite[Sections~3, 5, and~6]{Rubinstein2016Settling}. It established
|
| 38 |
+
quasipolynomial hardness for constant-error two-player Nash under the
|
| 39 |
+
exponential-time hypothesis for PPAD, while leaving the PCP-for-PPAD
|
| 40 |
+
conjecture open and identifying composition as a remaining
|
| 41 |
+
question~\cite[Theorem~1.2 and Section~1.3]{Rubinstein2016Settling}.
|
| 42 |
+
More recently, Golowich derives sharper two-player Nash lower bounds
|
| 43 |
+
for vanishing approximation error under PCP for PPAD together with
|
| 44 |
+
the exponential-time hypothesis for PPAD~\cite[Theorem~1.1]{Golowich2026}.
|
| 45 |
+
These time lower bounds retain their additional exponential-time
|
| 46 |
+
hypothesis; the result here concerns the conjectured reduction itself.
|
| 47 |
+
|
| 48 |
+
We give a positive resolution of the quasilinear PCP-for-PPAD conjecture.
|
| 49 |
+
Our size bound counts the complete finite output, including connection
|
| 50 |
+
indices, every auxiliary gate, and the bits of all rational parameters.
|
| 51 |
+
The gate conventions below are the standard bounded-rational conventions
|
| 52 |
+
of~\cite{DFHM2024,Fisher2026}; the totality and witness-size statement is
|
| 53 |
+
proved explicitly. When restricted to the nearly linear predecessor and
|
| 54 |
+
successor circuits in the original formulation, the theorem gives the
|
| 55 |
+
conjectured quasilinear reduction there as well.\footnote{The original
|
| 56 |
+
Definition~1 of~\cite{BPR2016} allows $x=0^n$ in its first solution
|
| 57 |
+
disjunct $P(S(x))\ne x$. If $P(S(0^n))\ne0^n$, this is an immediately
|
| 58 |
+
computable solution. Otherwise the instance satisfies the additional
|
| 59 |
+
source promise used below. Thus this normalization requires only circuit
|
| 60 |
+
evaluation and a trivial branch of the reduction: output a fixed one-gate
|
| 61 |
+
Constant circuit and have the decoder return $0^n$.}
|
| 62 |
+
|
| 63 |
+
\subsection{The source and target problems}
|
| 64 |
+
|
| 65 |
+
We fix conventional explicit binary encodings of circuit gate lists,
|
| 66 |
+
connection indices, input and output lists, and rational parameters.
|
| 67 |
+
Integers are encoded in binary with delimiters. All size bounds concern
|
| 68 |
+
these complete encodings. Changing between the usual such explicit
|
| 69 |
+
encodings changes only constant or logarithmic factors.
|
| 70 |
+
|
| 71 |
+
\begin{definition}[End-of-Line]\label{def:eol}
|
| 72 |
+
An instance $I$ consists of two explicitly listed, acyclic, bounded-fanin
|
| 73 |
+
Boolean circuits
|
| 74 |
+
\[
|
| 75 |
+
S,P:\{0,1\}^n\longrightarrow\{0,1\}^n,\qquad n\geq1,
|
| 76 |
+
\]
|
| 77 |
+
using AND, OR, and NOT gates, with unrestricted fan-out, and satisfying
|
| 78 |
+
\[
|
| 79 |
+
P(0^n)=0^n,\qquad S(0^n)\ne0^n,\qquad P(S(0^n))=0^n.
|
| 80 |
+
\]
|
| 81 |
+
A solution is a string $v\ne0^n$ such that
|
| 82 |
+
\begin{equation}\label{eq:end-of-line-solution}
|
| 83 |
+
P(S(v))\ne v\quad\text{or}\quad S(P(v))\ne v.
|
| 84 |
+
\end{equation}
|
| 85 |
+
The input length $N\geq2$ includes the complete descriptions of both
|
| 86 |
+
circuits and their input and output lists.
|
| 87 |
+
\end{definition}
|
| 88 |
+
|
| 89 |
+
\begin{definition}[Generalized circuit]\label{def:gcircuit}
|
| 90 |
+
A generalized circuit $G=(V,T)$ has an explicitly listed finite set of
|
| 91 |
+
nodes $V$ and a nonempty set of gates $T$. Each gate has one output and at
|
| 92 |
+
most two inputs. A node is the output of at most one gate. Directed cycles
|
| 93 |
+
and unrestricted fan-out are permitted. Every gate parameter $\alpha$ is
|
| 94 |
+
a binary-encoded rational in $[0,1]$.
|
| 95 |
+
|
| 96 |
+
For an assignment $x:V\to[0,1]$, write $x_a,x_b$ for input values and
|
| 97 |
+
$x_z$ for the output. The five arithmetic gate types are
|
| 98 |
+
$\eps$-satisfied when the corresponding condition holds:
|
| 99 |
+
\begin{align*}
|
| 100 |
+
\mathrm{Constant}(\alpha;z)&:&\quad \abs{x_z-\alpha}&\leq\eps,\\
|
| 101 |
+
\mathrm{Scale}(\alpha;a;z)&:& \abs{x_z-\alpha x_a}&\leq\eps,\\
|
| 102 |
+
\mathrm{Copy}(a;z)&:& \abs{x_z-x_a}&\leq\eps,\\
|
| 103 |
+
\mathrm{Add}(a,b;z)&:& \abs{x_z-\min\{x_a+x_b,1\}}&\leq\eps,\\
|
| 104 |
+
\mathrm{Subtract}(a,b;z)&:& \abs{x_z-\max\{x_a-x_b,0\}}&\leq\eps.
|
| 105 |
+
\end{align*}
|
| 106 |
+
The comparison gate $\mathrm{Less}(a,b;z)$ has the two implications
|
| 107 |
+
\[
|
| 108 |
+
x_a<x_b-\eps\ \Longrightarrow\ x_z\geq1-\eps,
|
| 109 |
+
\qquad
|
| 110 |
+
x_a>x_b+\eps\ \Longrightarrow\ x_z\leq\eps.
|
| 111 |
+
\]
|
| 112 |
+
The Boolean gates have the following implications:
|
| 113 |
+
\begin{align*}
|
| 114 |
+
\mathrm{Or}(a,b;z):\qquad
|
| 115 |
+
(x_a\geq1-\eps\ \text{or}\ x_b\geq1-\eps)&\Longrightarrow x_z\geq1-\eps,\\
|
| 116 |
+
(x_a\leq\eps\ \text{and}\ x_b\leq\eps)&\Longrightarrow x_z\leq\eps;\\[2pt]
|
| 117 |
+
\mathrm{And}(a,b;z):\qquad
|
| 118 |
+
(x_a\geq1-\eps\ \text{and}\ x_b\geq1-\eps)&\Longrightarrow x_z\geq1-\eps,\\
|
| 119 |
+
(x_a\leq\eps\ \text{or}\ x_b\leq\eps)&\Longrightarrow x_z\leq\eps;\\[2pt]
|
| 120 |
+
\mathrm{Not}(a;z):\qquad
|
| 121 |
+
x_a\leq\eps&\Longrightarrow x_z\geq1-\eps,\\
|
| 122 |
+
x_a\geq1-\eps&\Longrightarrow x_z\leq\eps.
|
| 123 |
+
\end{align*}
|
| 124 |
+
For these four gate types, every applicable implication must hold. If no
|
| 125 |
+
antecedent holds, any output in $[0,1]$ is permitted. In particular, the
|
| 126 |
+
comparison thresholds are strict and the Boolean thresholds are weak.
|
| 127 |
+
|
| 128 |
+
Let $M$ be the complete binary encoding length of $G$. For fixed
|
| 129 |
+
$\eps,\delta>0$ and a fixed polynomial $p$, an acceptable assignment is
|
| 130 |
+
rational, has total binary encoding length at most $p(M)$, and
|
| 131 |
+
$\eps$-satisfies at least $(1-\delta)|T|$ gates. Each gate has equal weight;
|
| 132 |
+
at most $\lfloor\delta|T|\rfloor$ gates may fail. Failed gates may violate
|
| 133 |
+
their relations arbitrarily, but all their nodes still have one globally
|
| 134 |
+
consistent value in $[0,1]$.
|
| 135 |
+
\end{definition}
|
| 136 |
+
|
| 137 |
+
The Boolean predicates make the error parameter nonmonotone: increasing
|
| 138 |
+
$\eps$ can activate an antecedent that was previously vacuous. This issue
|
| 139 |
+
is analyzed by Schuldenzucker and Seuken~\cite[Proposition~1]{SchuldenzuckerSeuken2019}.
|
| 140 |
+
Our gate arguments use one actual tolerance throughout. Later upper bounds
|
| 141 |
+
on that tolerance ensure explicit margins; they do not reclassify a
|
| 142 |
+
satisfied Boolean gate at a larger tolerance.
|
| 143 |
+
|
| 144 |
+
\subsection{Main theorem}
|
| 145 |
+
|
| 146 |
+
\begin{samepage}
|
| 147 |
+
\begin{theorem}[Quasilinear PCP for PPAD]\label{thm:main}
|
| 148 |
+
There are fixed rational constants
|
| 149 |
+
\[
|
| 150 |
+
0<\eps<\tfrac1{10},\qquad 0<\delta<1,
|
| 151 |
+
\]
|
| 152 |
+
a fixed positive integer $A$, a fixed nonnegative integer $b$, a fixed
|
| 153 |
+
polynomial $p$ with nonnegative integer coefficients, and deterministic
|
| 154 |
+
algorithms $R,D$ with the following properties.
|
| 155 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 156 |
+
\item Every generalized circuit in Definition~\ref{def:gcircuit} has an
|
| 157 |
+
acceptable rational assignment of encoding length at most $p(M)$.
|
| 158 |
+
\item For every End-of-Line instance $I$ of length $N$, the output $R(I)$
|
| 159 |
+
is a generalized circuit whose complete encoding length satisfies
|
| 160 |
+
\[
|
| 161 |
+
M\leq A N\bigl\lceil\log_2(N+2)\bigr\rceil^b.
|
| 162 |
+
\]
|
| 163 |
+
\item The construction $R$ runs in time polynomial in $N$, with one fixed
|
| 164 |
+
polynomial bound.
|
| 165 |
+
\item For every acceptable assignment $x$ of $R(I)$, the algorithm $D(I,x)$
|
| 166 |
+
returns a solution of $I$ in time polynomial in $N$ plus the encoding
|
| 167 |
+
length of $x$, with one fixed polynomial bound.
|
| 168 |
+
\end{enumerate}
|
| 169 |
+
All constants, polynomials, and algorithms are chosen once. They use no
|
| 170 |
+
advice depending on the input length and no randomized construction.
|
| 171 |
+
\end{theorem}
|
| 172 |
+
\end{samepage}
|
| 173 |
+
|
| 174 |
+
The conclusion about $D$ is universal over the locations and values of
|
| 175 |
+
the failed gates. In fact, the soundness argument applies to arbitrary
|
| 176 |
+
real assignments meeting the gate-failure budget; rationality is needed
|
| 177 |
+
for the finite search relation and its computational decoder. The totality
|
| 178 |
+
proof supplies an assignment satisfying every gate on a fixed rational
|
| 179 |
+
mesh. Neither tolerance tends to zero with $N$.
|
| 180 |
+
|
| 181 |
+
\subsection{Proof strategy: encoded paths and robust local computation}
|
| 182 |
+
|
| 183 |
+
We begin with the geometric target of the reduction. Replace the
|
| 184 |
+
End-of-Line graph by a locally evolving directed graph with a known
|
| 185 |
+
source, no isolated vertices, and the same endpoint-decoding property.
|
| 186 |
+
Represent each vertex $w$ by a separated binary word $E_w\in\{0,1\}^m$.
|
| 187 |
+
In the box $[-1,2]^{4m}$, viewed as four blocks of $m$ coordinates,
|
| 188 |
+
each edge $u\to v$ traces
|
| 189 |
+
a polygon that first changes a copy of $E_u$ to $E_v$, changes a repeated
|
| 190 |
+
control bit, updates the other copy, and resets the control bit. Rounded
|
| 191 |
+
corners join these polygons into paths and cycles. An additional segment
|
| 192 |
+
enters the known source, and a separate field prescription handles its
|
| 193 |
+
far end. Every other path endpoint encodes an End-of-Line answer.
|
| 194 |
+
|
| 195 |
+
Section~\ref{sec:geometry} constructs a bounded displacement field $v$
|
| 196 |
+
on this box. Close to a path it uses the directed tangent and the inward
|
| 197 |
+
normal; farther away it passes to a fixed direction. For a sufficiently
|
| 198 |
+
small fixed step $\beta>0$, the clipped move
|
| 199 |
+
$\clip(X+\beta v(X))-X$ has norm at least a fixed positive multiple of
|
| 200 |
+
$\beta$ outside a fixed neighborhood of the desired endpoints. Here
|
| 201 |
+
clipping keeps each coordinate in the box, and the norm is normalized
|
| 202 |
+
by the word length. Thus an accurate enough approximate fixed point
|
| 203 |
+
identifies an endpoint. The proof must also provide local numerical
|
| 204 |
+
access to the field: it cannot inspect the entire encoded graph when
|
| 205 |
+
computing one coordinate of $v$.
|
| 206 |
+
|
| 207 |
+
This use of encoded paths and restricted access has a close predecessor
|
| 208 |
+
in Rubinstein's holographic proof system~\cite[Sections~3, 5, and~6]{Rubinstein2016Settling}.
|
| 209 |
+
The present reduction needs two further properties simultaneously:
|
| 210 |
+
quasilinear total storage and robustness to an arbitrary fixed fraction
|
| 211 |
+
of failed gates. The two scales of the construction address these
|
| 212 |
+
requirements as follows.
|
| 213 |
+
|
| 214 |
+
\paragraph{A quasilinear outer word.}
|
| 215 |
+
Sections~\ref{sec:macrograph}--\ref{sec:outer-representation} construct
|
| 216 |
+
canonical representations
|
| 217 |
+
\[
|
| 218 |
+
R_w=(s_k)_{k\in\Gamma},\qquad
|
| 219 |
+
s_k\in\{0,1\}^L,\qquad
|
| 220 |
+
|\Gamma|=N(\log N)^{O(1)},\qquad L=(\log N)^{O(1)}.
|
| 221 |
+
\]
|
| 222 |
+
A bounded number of symbol positions suffices to test local validity,
|
| 223 |
+
propose a neighboring symbol, or perform one correction step. Each such
|
| 224 |
+
operation has Boolean complexity polynomial in $L$, with an exponent
|
| 225 |
+
fixed before the later correction accuracy. Distinct valid words have
|
| 226 |
+
constant symbol distance, and a word within a fixed symbol-error radius
|
| 227 |
+
can be decoded globally in polynomial time.
|
| 228 |
+
|
| 229 |
+
Begin with the sparse transcript graph of Section~\ref{sec:macrograph},
|
| 230 |
+
whose vertices record partial computations of the predecessor and successor
|
| 231 |
+
circuits and whose edges change one tape position and its occupation bit.
|
| 232 |
+
Transcript validity is expressed by bounded-degree polynomial equations in
|
| 233 |
+
the tape entries. Sampling an individual equation could miss one false
|
| 234 |
+
equation. Sections~\ref{sec:outer-codes} and~\ref{sec:outer-programs}
|
| 235 |
+
instead encode polynomial remainders recording the equation residuals,
|
| 236 |
+
and retain certificates for the intermediate products and linear
|
| 237 |
+
computations that produce them. On exact codewords, a nonzero remainder
|
| 238 |
+
differs from zero at a constant fraction of positions. The code's commuting
|
| 239 |
+
row and column constraints also permit whole-row or whole-column comparisons
|
| 240 |
+
that give a constant gap for an incorrect certificate identity. All stored
|
| 241 |
+
components are tested together on one fixed list of neighboring positions,
|
| 242 |
+
so more certificates enlarge a symbol without diluting the gap.
|
| 243 |
+
|
| 244 |
+
One tape edit can change all these encoded arrays. Before making an allowed
|
| 245 |
+
edit, Section~\ref{sec:outer-representation} prepares each retained array's
|
| 246 |
+
finite difference: its value on the edited tape minus its value on the old
|
| 247 |
+
tape. Certificates introduced by this preparation need their own increments
|
| 248 |
+
as well. Each new increment has lower assigned polynomial degree in the
|
| 249 |
+
logical tape entries, so this recursion has bounded depth. Once preparation
|
| 250 |
+
is complete, adding the increments updates the whole retained tuple to its
|
| 251 |
+
canonical value on the new tape; the preparation can then be reversed.
|
| 252 |
+
|
| 253 |
+
The remaining storage issue is the long linear computation needed to prepare
|
| 254 |
+
an increment. It is carried out one small group of Fourier frequencies at a
|
| 255 |
+
time: each such orbit is preserved by the encoder and has only
|
| 256 |
+
polylogarithmically many frequencies. A clock records progress and scratch
|
| 257 |
+
space is reused. Thus the preparation's elapsed time lengthens the
|
| 258 |
+
represented path rather than the data stored at a vertex. The resulting
|
| 259 |
+
words are the locally evolving $R_w$ above.
|
| 260 |
+
|
| 261 |
+
\paragraph{One fixed binary port.}
|
| 262 |
+
A polynomial-size robust construction applied directly to an $N$-bit
|
| 263 |
+
vertex would not give the required size. Instead we apply it only to
|
| 264 |
+
the $L$-bit outer symbols. The inner construction supplies one injective
|
| 265 |
+
encoding
|
| 266 |
+
\[
|
| 267 |
+
\mathcal D:\{0,1\}^L\longrightarrow\{0,1\}^{S_0},
|
| 268 |
+
\qquad S_0=\operatorname{poly}(L),
|
| 269 |
+
\qquad E_w=(\mathcal D(s_k))_{k\in\Gamma}.
|
| 270 |
+
\]
|
| 271 |
+
Its encoding and positive correction radius are chosen before the
|
| 272 |
+
number of symbols inspected by a local function. From that fixed radius,
|
| 273 |
+
it supports every prescribed fixed average accuracy for requests with
|
| 274 |
+
bounded address density. More outer correction rounds may enlarge the number
|
| 275 |
+
of symbols inspected, and hence the number of input ports in the resulting
|
| 276 |
+
local computation. More inner correction rounds improve its requested
|
| 277 |
+
bit accuracy. These choices may enlarge constant factors, but they do
|
| 278 |
+
not change $\mathcal D$ or its radius. All polynomial factors in $L$
|
| 279 |
+
remain fixed powers of $\log N$.
|
| 280 |
+
|
| 281 |
+
Sections~\ref{sec:inner-algebra}--\ref{sec:inner-gadget} construct this
|
| 282 |
+
port and its robust decision gadget independently of the outer
|
| 283 |
+
reduction. For a fixed tuple $s=(s_1,\ldots,s_k)$ of $L$-bit inputs
|
| 284 |
+
to a Boolean function $f$, the inner graph is one computation path with
|
| 285 |
+
blank work at its source and output $f(s)$ at its sink. Polynomial charts encode its tapes and
|
| 286 |
+
certificates. Their dependencies are kept separate for each read-only
|
| 287 |
+
input, including throughout the finite-difference closure. Consequently
|
| 288 |
+
the input-dependent parts of the source and its first successor have
|
| 289 |
+
the same formulas in every later invocation. A one-input template at
|
| 290 |
+
these two labels defines $\mathcal D(s_i)$ for one input $s_i$; its bits then supply the
|
| 291 |
+
source data for an actual multi-input computation.
|
| 292 |
+
|
| 293 |
+
The binary representation in Section~\ref{sec:inner-binary} adds
|
| 294 |
+
point tables, line tables, and tables for the required products.
|
| 295 |
+
Correction keeps both addresses in each product request and preserves
|
| 296 |
+
the required bound on their joint distribution. Its error bound is averaged over requested coordinates;
|
| 297 |
+
arbitrarily accurate correction at every individual coordinate is
|
| 298 |
+
neither asserted nor needed. At the inner scale, the geometric
|
| 299 |
+
construction forces a feedback state near the unique sink, where a
|
| 300 |
+
positive fraction of encoded coordinates reveal $f(s)$. These become the
|
| 301 |
+
many designated outputs of the decision gadget.
|
| 302 |
+
|
| 303 |
+
\paragraph{From local decisions to an endpoint under gate failures.}
|
| 304 |
+
Section~\ref{sec:outer-composition} uses the outer tester and correction
|
| 305 |
+
routines to supply the field's local information. Two rounded blocks
|
| 306 |
+
serve as possible vertex encodings. On good validation decisions, each
|
| 307 |
+
accepted seed has a unique reference vertex; corrected calls supply its incident
|
| 308 |
+
flags and the requested bits of its own and neighboring encodings.
|
| 309 |
+
The geometric estimator reserves a bounded list of possible pieces and
|
| 310 |
+
estimates their statistics before selecting a numerical winner.
|
| 311 |
+
This order makes average bit accuracy sufficient even when the selected
|
| 312 |
+
piece depends on the output coordinate.
|
| 313 |
+
|
| 314 |
+
The generalized circuit has many physical replicas of each geometric
|
| 315 |
+
coordinate. Write $X_{ir}$ for replica $r$ of component $i$, and
|
| 316 |
+
$\bar X_i$ for their mean. A fixed-degree expander average $A$ couples
|
| 317 |
+
the replicas. Each output is produced by a circuit that realizes the
|
| 318 |
+
approximate relation
|
| 319 |
+
\[
|
| 320 |
+
X_{ir}\approx\clip\bigl((AX)_{ir}
|
| 321 |
+
+\beta\widehat v_{ir}(\bar X)\bigr),
|
| 322 |
+
\]
|
| 323 |
+
where $\widehat v$ is the bounded local field estimator. First, boundedness
|
| 324 |
+
of the update and the expander gap force the replicas close to their
|
| 325 |
+
means, without assuming that any decision is correct. This synchronization
|
| 326 |
+
then bounds the number of reads far from their means. Randomized
|
| 327 |
+
threshold offsets control ambiguous comparisons, and the gate-failure
|
| 328 |
+
budget controls the circuits containing a failed gate.
|
| 329 |
+
The randomness describes the sampling analysis: the printed circuit assigns
|
| 330 |
+
replicas a deterministically enumerated list of fixed tapes of size polynomial
|
| 331 |
+
in $L$.
|
| 332 |
+
|
| 333 |
+
These charges apply to the complete wired computation. All hypothetical
|
| 334 |
+
answer branches are allocated before routing, and each physical read
|
| 335 |
+
occurrence is routed separately with bounded load. Expensive Boolean
|
| 336 |
+
decision gadgets are shared by groups of output replicas. Their many
|
| 337 |
+
designated outputs ensure that failures concentrated on extraction
|
| 338 |
+
wires still spoil only a controlled fraction of the group. On reliable
|
| 339 |
+
outputs the update approximates the true field; on unreliable outputs
|
| 340 |
+
whose gates are satisfied, its bounded size still gives an error
|
| 341 |
+
proportional to $\beta$, apart from the numerical gate tolerance. An estimate that keeps clipping inside the
|
| 342 |
+
replica contraction argument then makes the mean an approximate fixed
|
| 343 |
+
point. The displacement lower bound forces $\bar X$ near an endpoint.
|
| 344 |
+
Rounding its first block and applying the global binary and outer
|
| 345 |
+
decoders yields the required End-of-Line answer.
|
| 346 |
+
|
| 347 |
+
The same synchronization, error charging, and clipped-mean argument is
|
| 348 |
+
used inside the decision gadget. At that scale every output has its own
|
| 349 |
+
bounded estimator circuit; the additional sharing of decision gadgets
|
| 350 |
+
occurs only in the outer composition. In both uses, a fixed hypothetical
|
| 351 |
+
answer branch is analyzed under the original random-tape law, rather
|
| 352 |
+
than by conditioning on that branch being executed.
|
| 353 |
+
|
| 354 |
+
\paragraph{Organization and imported inputs.}
|
| 355 |
+
Section~\ref{sec:outer-composition} assembles the main theorem from
|
| 356 |
+
the outer representation, the port interface stated there, and the
|
| 357 |
+
independent geometric interface. It proves universal decoding, the
|
| 358 |
+
complete binary size bound, and rational-witness totality.
|
| 359 |
+
Sections~\ref{sec:inner-algebra}--\ref{sec:inner-gadget} prove the port
|
| 360 |
+
interface, and Section~\ref{sec:geometry} proves both the displacement
|
| 361 |
+
bound and finite numerical access. Section~\ref{sec:weak-nash} gives
|
| 362 |
+
the consequences described below. Appendix~\ref{sec:extensions}
|
| 363 |
+
collects the separate full-macrograph and unrestricted-product variants;
|
| 364 |
+
these are not prerequisites for the fixed-port composition.
|
| 365 |
+
|
| 366 |
+
The outer code uses ternary Goldbach, fixed-generator prime-quotient
|
| 367 |
+
expansion, and an effective least-prime bound
|
| 368 |
+
\cite{Helfgott2013,BG2008,Xylouris2011}. Its simultaneous systematic
|
| 369 |
+
encoders, matrix twists, and joint correction guarantees are proved
|
| 370 |
+
here; a general locally testable code theorem such as~\cite{DEL+2022}
|
| 371 |
+
does not by itself supply this combination. The inner binary construction
|
| 372 |
+
uses the corrected scalar line test and two group-theoretic inputs
|
| 373 |
+
\cite{FS1995,EJZ2010,Shalom1999}; its vector replacement, affine
|
| 374 |
+
expansion, and average correction are proved here. The all-modulus
|
| 375 |
+
Margulis--Gabber--Galil bound supplies the local and replica walks
|
| 376 |
+
\cite{MGGAFP}. The inner fields and groups are introduced afresh and
|
| 377 |
+
are distinct from those of the outer construction.
|
| 378 |
+
|
| 379 |
+
\subsection{Consequences for games and markets}
|
| 380 |
+
|
| 381 |
+
Section~\ref{sec:weak-nash} applies the theorem to the conditional
|
| 382 |
+
reductions for weak approximate Nash and relative bimatrix Nash
|
| 383 |
+
\cite{BPR2016}, course allocation~\cite{BPR2016}, markets with
|
| 384 |
+
approximately optimal bundles~\cite{Fisher2026}, stationary equilibria
|
| 385 |
+
in discounted games~\cite{DGZ2023,PZO2025,FKPP2026}, and approximate
|
| 386 |
+
Hylland--Zeckhauser allocation~\cite{HZ2026}. For each target we state
|
| 387 |
+
the precise approximation and encoding conventions before its
|
| 388 |
+
consequence. The cited reductions provide the transfers to these
|
| 389 |
+
problems. We supply the needed gate-basis and fan-out conversions, track
|
| 390 |
+
their fixed error and failure losses, and verify the rational witness
|
| 391 |
+
and decoder bounds. These consequences use fixed-gap circuit hardness;
|
| 392 |
+
the quasilinear complete-output bound is the additional assertion of
|
| 393 |
+
Theorem~\ref{thm:main}.
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/02-macrograph.tex
ADDED
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|
| 1 |
+
\section{A sparse macrograph for End-of-Line}\label{sec:macrograph}
|
| 2 |
+
|
| 3 |
+
We first replace the circuit transitions by a graph in which one edge
|
| 4 |
+
changes at most one tape bit and its occupation bit. The graph is
|
| 5 |
+
specified by short labels and local transition rules; its vertices are
|
| 6 |
+
not enumerated. The use of a clock to expose sparse circuit updates
|
| 7 |
+
has a close precedent in Rubinstein's LocalEndOfALine
|
| 8 |
+
construction~\cite[Sections~5--5.1]{Rubinstein2016Settling}, where a
|
| 9 |
+
counter schedules activation and deactivation of individual wires.
|
| 10 |
+
We give the transcript, reciprocal proposals, and bounded-incidence
|
| 11 |
+
validity description needed here explicitly.
|
| 12 |
+
|
| 13 |
+
Throughout the outer construction, let $n_0$ be the
|
| 14 |
+
number of input bits of the End-of-Line instance and let $N$ be its
|
| 15 |
+
complete binary encoding length. We use the promises
|
| 16 |
+
\begin{equation}\label{macro:promises}
|
| 17 |
+
P(0^{n_0})=0^{n_0},\qquad S(0^{n_0})\ne0^{n_0},\qquad
|
| 18 |
+
P(S(0^{n_0}))=0^{n_0}.
|
| 19 |
+
\end{equation}
|
| 20 |
+
Thus a nonzero string $y$ is an answer if
|
| 21 |
+
\begin{equation}\label{macro:answer}
|
| 22 |
+
P(S(y))\ne y\quad\hbox{or}\quad S(P(y))\ne y.
|
| 23 |
+
\end{equation}
|
| 24 |
+
|
| 25 |
+
\subsection{Sparse transcripts and their two orders}\label{macro:transcripts}
|
| 26 |
+
|
| 27 |
+
Normalize both circuits to gates of fan-in at most two. In particular,
|
| 28 |
+
replace any larger AND or OR by a binary tree. Give every input and
|
| 29 |
+
every gate a distinct tape position. For each listed output, introduce
|
| 30 |
+
a separate terminal copy gate, even if several listed outputs originally
|
| 31 |
+
name the same wire. Replace the outgoing uses of a wire by a binary
|
| 32 |
+
tree of copy gates, including its uses as feeds to terminal copies.
|
| 33 |
+
A wire with $d$ uses needs $O(d)$ such gates. The total number of
|
| 34 |
+
positions is therefore bounded by a constant times the number of gates,
|
| 35 |
+
connections, and input and output list entries in the original instance,
|
| 36 |
+
and hence is $O(N)$.
|
| 37 |
+
|
| 38 |
+
These changes preserve $S$ and $P$. They also make every tape position
|
| 39 |
+
an operand of only a bounded number of internal gate rules. Choose a
|
| 40 |
+
topological order of the nonterminal gates of each circuit, followed by
|
| 41 |
+
all its terminal output copies. Such an order exists because those
|
| 42 |
+
copies have no internal consumers: any branching needed for other uses
|
| 43 |
+
was placed before them. Copy gates here are auxiliary transcript rules
|
| 44 |
+
and need not belong to the source circuit's original basis.
|
| 45 |
+
|
| 46 |
+
Pad the tape with dummy positions to a power of two $h=2^\ell$.
|
| 47 |
+
An arbitrary fixed lower cutoff on $h$ may be imposed, and still
|
| 48 |
+
$h=O(N)$. Write $[h]=\{0,\ldots,h-1\}$. On these same positions define
|
| 49 |
+
the two permutations
|
| 50 |
+
\begin{align*}
|
| 51 |
+
\pi_{\mathrm f}:\;&S\text{ inputs},\ S\text{ gates},\
|
| 52 |
+
P\text{ inputs},\ P\text{ gates},\ \text{dummies},\\
|
| 53 |
+
\pi_{\mathrm r}:\;&P\text{ inputs},\ P\text{ gates},\
|
| 54 |
+
S\text{ inputs},\ S\text{ gates},\ \text{dummies},
|
| 55 |
+
\end{align*}
|
| 56 |
+
using the chosen gate order inside each block. For a content array
|
| 57 |
+
$D\in\{0,1\}^{[h]}$, let $\operatorname{pref}_{\pi,k}(D)$ agree with
|
| 58 |
+
$D$ on $\pi(0),\ldots,\pi(k-1)$ and be zero elsewhere. Its occupation
|
| 59 |
+
array is the indicator of these $k$ positions. Empty and full tapes
|
| 60 |
+
have occupation arrays $\mathbf 0$ and $\mathbf 1$, respectively.
|
| 61 |
+
The content and occupation arrays are separate: an occupied position
|
| 62 |
+
may contain zero.
|
| 63 |
+
|
| 64 |
+
For a full content array $D$, the notation
|
| 65 |
+
$\operatorname{in}_S(D)$, $\operatorname{out}_S(D)$,
|
| 66 |
+
$\operatorname{in}_P(D)$, and $\operatorname{out}_P(D)$ denotes the
|
| 67 |
+
vectors at the designated input or terminal output positions. A
|
| 68 |
+
\emph{valid full transcript} $Q_x$ computes $S$ on input $x$, copies
|
| 69 |
+
its output to the inputs of $P$, computes $P$, and satisfies
|
| 70 |
+
\begin{equation}\label{macro:full-transcript}
|
| 71 |
+
\operatorname{in}_S(Q_x)=x,\qquad
|
| 72 |
+
\operatorname{in}_P(Q_x)=\operatorname{out}_S(Q_x),\qquad
|
| 73 |
+
\operatorname{out}_P(Q_x)=x.
|
| 74 |
+
\end{equation}
|
| 75 |
+
Its dummy positions are zero. Consequently $Q_x$ exists precisely
|
| 76 |
+
when $P(S(x))=x$, and is unique when it exists.
|
| 77 |
+
|
| 78 |
+
For every $y\in\{0,1\}^{n_0}$, define two complete computation templates,
|
| 79 |
+
without imposing any terminal comparisons. The template $U_y$ first
|
| 80 |
+
computes $S(y)$ and then $P(S(y))$; the template $V_y$ first computes
|
| 81 |
+
$P(y)$ and then $S(P(y))$. Both occupy the same tape coordinates and
|
| 82 |
+
have zero dummies. In $V_y$, the $P$ inputs are $y$ and the $S$ inputs
|
| 83 |
+
are $P(y)$. Thus $U_y$ is a valid full transcript exactly when
|
| 84 |
+
$P(S(y))=y$, in which case it is $Q_y$; and $V_y$ is a valid full
|
| 85 |
+
transcript exactly when $S(P(y))=y$, in which case it is $Q_{P(y)}$.
|
| 86 |
+
|
| 87 |
+
\begin{definition}[Computed prefixes]\label{macro:prefixes}
|
| 88 |
+
A \emph{forward prefix of length $k$ with parameter $y$} has the first
|
| 89 |
+
$k$ positions in $\pi_{\mathrm f}$ occupied. At occupied positions it
|
| 90 |
+
obeys these rules: $S$ inputs copy the corresponding bits of $y$;
|
| 91 |
+
$P$ inputs copy the corresponding designated $S$ outputs; every gate
|
| 92 |
+
obeys its Boolean or copy rule; and dummies are zero. In addition,
|
| 93 |
+
each occupied designated $P$ output equals the corresponding bit of
|
| 94 |
+
$y$. Unoccupied contents are zero.
|
| 95 |
+
|
| 96 |
+
A \emph{reconstruction prefix of length $k$ from $y$} uses
|
| 97 |
+
$\pi_{\mathrm r}$. Its occupied $P$ inputs copy $y$, its occupied
|
| 98 |
+
$S$ inputs copy the designated $P$ outputs, and its occupied gates
|
| 99 |
+
and dummies obey the same rules as above. Each occupied designated
|
| 100 |
+
$S$ output must additionally equal the corresponding bit of $y$.
|
| 101 |
+
Unoccupied contents are again zero.
|
| 102 |
+
\end{definition}
|
| 103 |
+
|
| 104 |
+
Every operand in a prefix rule is either an earlier occupied position
|
| 105 |
+
or a specified bit of $y$. In particular, a designated comparison is
|
| 106 |
+
an extra test on the newly computed terminal copy, not a substitute
|
| 107 |
+
for its computation rule.
|
| 108 |
+
|
| 109 |
+
\begin{lemma}[Unique prefixes and their first obstruction]
|
| 110 |
+
\label{macro:prefix-uniqueness}
|
| 111 |
+
For a fixed $y$, the valid forward prefixes exist uniquely for an
|
| 112 |
+
initial interval of lengths $0\le k\le k_{\mathrm f}(y)$ and equal
|
| 113 |
+
$\operatorname{pref}_{\pi_{\mathrm f},k}(U_y)$. The valid
|
| 114 |
+
reconstruction prefixes likewise exist uniquely for
|
| 115 |
+
$0\le k\le k_{\mathrm r}(y)$ and equal
|
| 116 |
+
$\operatorname{pref}_{\pi_{\mathrm r},k}(V_y)$. Moreover,
|
| 117 |
+
\begin{align}
|
| 118 |
+
k_{\mathrm f}(y)=h&\quad\Longleftrightarrow\quad P(S(y))=y,
|
| 119 |
+
\label{macro:forward-obstruction}\\
|
| 120 |
+
k_{\mathrm r}(y)=h&\quad\Longleftrightarrow\quad S(P(y))=y.
|
| 121 |
+
\label{macro:reverse-obstruction}
|
| 122 |
+
\end{align}
|
| 123 |
+
If a maximal length is less than $h$, the next position is a designated
|
| 124 |
+
output at which the additional comparison fails.
|
| 125 |
+
\end{lemma}
|
| 126 |
+
|
| 127 |
+
\begin{proof}
|
| 128 |
+
Induct along the relevant order. Input copies, gates, and dummies
|
| 129 |
+
uniquely determine the next content bit from data already determined.
|
| 130 |
+
These are exactly the bits of $U_y$ or $V_y$. The only possible
|
| 131 |
+
obstruction is an additional terminal comparison. Shortening a valid
|
| 132 |
+
prefix removes requirements without changing retained bits, so the
|
| 133 |
+
valid lengths form an initial interval. At length $h$, all terminal
|
| 134 |
+
comparisons have been imposed, giving the two equivalences.
|
| 135 |
+
\end{proof}
|
| 136 |
+
|
| 137 |
+
\subsection{The cyclic schedule and reciprocal proposals}
|
| 138 |
+
\label{macro:schedule}
|
| 139 |
+
|
| 140 |
+
A logical tape vector is
|
| 141 |
+
\[
|
| 142 |
+
b=(A,E^A,B,E^B)\in\{0,1\}^{4h},
|
| 143 |
+
\]
|
| 144 |
+
where $A,B$ are contents and $E^A,E^B$ are occupations. The schedule
|
| 145 |
+
uses four phases. To see their effect when all computations succeed,
|
| 146 |
+
suppose $Q_x$ and $Q_y$ exist and $y=S(x)$. Starting with $A=Q_x$
|
| 147 |
+
and $B$ empty, it fills $B$ with $Q_y$, erases $A$ by reversing
|
| 148 |
+
reconstruction from $y$, copies $B$ into $A$, and erases $B$.
|
| 149 |
+
The resulting tapes are $A=Q_y$ and $B$ empty. The identity
|
| 150 |
+
$P(y)=x$, which follows from validity of $Q_x$, is what makes the
|
| 151 |
+
reconstruction recover the old tape.
|
| 152 |
+
|
| 153 |
+
For intermediate prefixes, including those at a failed terminal
|
| 154 |
+
comparison, validity is defined as follows. The stage $s$ lies in
|
| 155 |
+
$\mathbb Z/(4h)\mathbb Z$. Write $\mathcal V_s$ for the following
|
| 156 |
+
set of valid logical vectors; the endpoint descriptions in adjacent
|
| 157 |
+
cases are identified.
|
| 158 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 159 |
+
\item $0\le s\le h$: $A=Q_x$ is full for some $x$, and $B$ is a
|
| 160 |
+
forward prefix of length $s$ with parameter
|
| 161 |
+
$y=\operatorname{out}_S(A)=S(x)$.
|
| 162 |
+
\item $h\le s\le2h$: $B=Q_y$ is full for some $y$, and $A$ is a
|
| 163 |
+
reconstruction prefix of length $2h-s$ from
|
| 164 |
+
$y=\operatorname{in}_S(B)$.
|
| 165 |
+
\item $2h\le s\le3h$: $B$ is a valid full transcript and
|
| 166 |
+
$A=\operatorname{pref}_{\pi_{\mathrm f},s-2h}(B)$.
|
| 167 |
+
This copied prefix has no additional computation requirements.
|
| 168 |
+
\item $3h\le s\le4h$: $A$ is a valid full transcript and
|
| 169 |
+
$B=\operatorname{pref}_{\pi_{\mathrm f},4h-s}(A)$.
|
| 170 |
+
\end{enumerate}
|
| 171 |
+
Occupations in every case are the stated full or prefix indicators.
|
| 172 |
+
Stage $4h$ is stage $0$, at which $A$ is full and $B$ is empty.
|
| 173 |
+
|
| 174 |
+
\begin{lemma}[Boundary agreement]\label{macro:boundaries}
|
| 175 |
+
The two validity descriptions agree at each of $h,2h,3h$, and $4h=0$.
|
| 176 |
+
\end{lemma}
|
| 177 |
+
|
| 178 |
+
\begin{proof}
|
| 179 |
+
At stage $h$, the first description gives
|
| 180 |
+
\[
|
| 181 |
+
A=Q_x,\qquad B=Q_y,\qquad y=S(x),\qquad P(y)=x.
|
| 182 |
+
\]
|
| 183 |
+
The reconstruction template from $y$ computes $P(y)=x$ and then
|
| 184 |
+
$S(x)=y$, so it agrees with $A$ at every position and satisfies all
|
| 185 |
+
its comparisons. This gives the second description. Conversely,
|
| 186 |
+
the second description at $h$ gives $B=Q_y$ and a full reconstruction
|
| 187 |
+
$A=V_y$ with $S(P(y))=y$. Put $x=P(y)$. Then
|
| 188 |
+
$P(S(x))=P(y)=x$, so $A=Q_x$ and $\operatorname{out}_S(A)=y$.
|
| 189 |
+
Since $B=Q_y$, it is the full forward prefix required in the first
|
| 190 |
+
description. These identities include all copy gates and dummies.
|
| 191 |
+
At $2h$, both descriptions have $A$ empty and $B$ a valid full
|
| 192 |
+
transcript. At $3h$, both have $A=B$ a valid full transcript.
|
| 193 |
+
At $4h=0$, both have $A$ full and $B$ empty.
|
| 194 |
+
\end{proof}
|
| 195 |
+
|
| 196 |
+
For each \emph{start frame} $c\in\{0,\ldots,4h-1\}$, define a
|
| 197 |
+
forward proposal $F_c$ from stage $c$ to stage $c+1$, and a reverse
|
| 198 |
+
proposal $R_c$ from stage $c+1$ to stage $c$, with stages reduced
|
| 199 |
+
modulo $4h$. Thus at current stage $s$, the successor uses $F_s$
|
| 200 |
+
and the predecessor uses $R_{s-1}$, where the latter subscript is
|
| 201 |
+
reduced modulo $4h$. The following table specifies their content changes.
|
| 202 |
+
Every fill or copy sets the corresponding occupation to one, and
|
| 203 |
+
every erasure sets it to zero. All other bits remain unchanged.
|
| 204 |
+
\begin{center}
|
| 205 |
+
\begin{tabular}{@{}llll@{}}
|
| 206 |
+
\toprule
|
| 207 |
+
Start frame & Position $j$ & $F_c$ & $R_c$ \\
|
| 208 |
+
\midrule
|
| 209 |
+
$0\le c<h$ & $\pi_{\mathrm f}(c)$ & fill $B_j$ forward & erase $B_j$ \\
|
| 210 |
+
$h\le c<2h$ & $\pi_{\mathrm r}(2h-c-1)$ & erase $A_j$ & fill $A_j$ by reconstruction \\
|
| 211 |
+
$2h\le c<3h$ & $\pi_{\mathrm f}(c-2h)$ & copy $B_j$ to $A_j$ & erase $A_j$ \\
|
| 212 |
+
$3h\le c<4h$ & $\pi_{\mathrm f}(4h-c-1)$ & erase $B_j$ & copy $A_j$ to $B_j$ \\
|
| 213 |
+
\bottomrule
|
| 214 |
+
\end{tabular}
|
| 215 |
+
\end{center}
|
| 216 |
+
A computed fill always writes its Boolean rule value, even if the
|
| 217 |
+
additional terminal comparison fails. Thus the proposal itself is
|
| 218 |
+
defined separately from the test of whether its result is valid.
|
| 219 |
+
|
| 220 |
+
The \emph{macrograph} has vertex set
|
| 221 |
+
\[
|
| 222 |
+
\mathcal V=\{(s,b):s\in\mathbb Z/(4h)\mathbb Z, b\in\mathcal V_s\}.
|
| 223 |
+
\]
|
| 224 |
+
It has an edge $(c,b)\longrightarrow(c+1,b')$ precisely when
|
| 225 |
+
$b'=F_c(b)$ and both endpoints are valid.
|
| 226 |
+
|
| 227 |
+
\begin{lemma}[Reciprocity and local existence tests]
|
| 228 |
+
\label{macro:local-edges}
|
| 229 |
+
Whenever $b\in\mathcal V_c$ and $b'\in\mathcal V_{c+1}$,
|
| 230 |
+
\begin{equation}\label{macro:reciprocity}
|
| 231 |
+
b'=F_c(b)\quad\Longleftrightarrow\quad b=R_c(b').
|
| 232 |
+
\end{equation}
|
| 233 |
+
For a valid input to either proposal, validity of its output is
|
| 234 |
+
determined by a bounded number of bits at public, frame-dependent
|
| 235 |
+
addresses. The forward proposal can fail only when $0\le c<h$ and
|
| 236 |
+
the new forward terminal comparison fails. The reverse proposal can
|
| 237 |
+
fail only when $h\le c<2h$ and the new reconstruction terminal
|
| 238 |
+
comparison fails. The graph has indegree and outdegree at most one,
|
| 239 |
+
and no self-edges.
|
| 240 |
+
\end{lemma}
|
| 241 |
+
|
| 242 |
+
\begin{proof}
|
| 243 |
+
In the first range, erasing the newly filled position recovers its
|
| 244 |
+
previous blank content and occupation. Conversely, a valid longer
|
| 245 |
+
forward prefix has the uniquely prescribed value at its last
|
| 246 |
+
position, so filling its shortened prefix recovers it. In the second
|
| 247 |
+
range, erasure shortens a reconstruction prefix. Its erased value
|
| 248 |
+
is uniquely determined by earlier retained positions and the
|
| 249 |
+
unchanged full tape $B$, so reverse reconstruction recovers it.
|
| 250 |
+
The converse follows from the same uniqueness. In the last two
|
| 251 |
+
ranges, the unchanged full tape determines the copied value,
|
| 252 |
+
and erasure recovers the blank position. Boundary agreement applies
|
| 253 |
+
to each use of these statements at a boundary. In particular,
|
| 254 |
+
at $c=4h-1$, the reverse proposal from stage zero copies
|
| 255 |
+
$A_{\pi_{\mathrm f}(0)}$ into the first forward position of the empty
|
| 256 |
+
$B$ tape, exactly reversing the wraparound erasure.
|
| 257 |
+
|
| 258 |
+
Shortening a valid computed prefix is always valid, as are extending
|
| 259 |
+
or shortening a copied prefix. When extending a computed prefix,
|
| 260 |
+
all earlier conditions remain true. Its next value is obtained
|
| 261 |
+
from at most two earlier operands or a specified full-tape input
|
| 262 |
+
bit, so the only new condition that can fail is the stated terminal
|
| 263 |
+
comparison. That comparison needs one additional specified bit.
|
| 264 |
+
Thus the relevant operands, old bits, and comparison bits suffice
|
| 265 |
+
to decide both proposals and the corresponding existence flags.
|
| 266 |
+
Equation~\eqref{macro:reciprocity} gives at most one predecessor,
|
| 267 |
+
and the definition gives at most one successor. Every edge changes
|
| 268 |
+
the stage by one modulo $4h$, and $4h\ge4$, so no edge is a self-edge.
|
| 269 |
+
\end{proof}
|
| 270 |
+
|
| 271 |
+
\subsection{Endpoints, sparse edits, and uniform size}
|
| 272 |
+
\label{macro:interface}
|
| 273 |
+
|
| 274 |
+
The following statement is the interface used by the evolving
|
| 275 |
+
representation.
|
| 276 |
+
|
| 277 |
+
\begin{lemma}[Macrograph interface]\label{lem:macrograph}
|
| 278 |
+
From every promised End-of-Line instance of explicit length $N$, one
|
| 279 |
+
can deterministically construct, in time polynomial in $N$, the
|
| 280 |
+
above tape specification with $h=2^\ell=O(N)$, the stage conditions
|
| 281 |
+
$\mathcal V_c$, and the following data and algorithms.
|
| 282 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 283 |
+
\item The macrograph has indegree and outdegree at most one, no
|
| 284 |
+
self-edges, and no isolated vertices. It has a distinguished source
|
| 285 |
+
$v_*$ whose label and actual successor are computable in polynomial
|
| 286 |
+
time. Every endpoint other than $v_*$ supplies a nonzero
|
| 287 |
+
End-of-Line answer by reading a designated vector on a full tape.
|
| 288 |
+
\item Forward and reverse proposals at the same start frame are
|
| 289 |
+
reciprocal on valid pairs. Their edits and existence flags use
|
| 290 |
+
only a fixed number of logical bits at public addresses, with a
|
| 291 |
+
fixed finite set of Boolean decision rules.
|
| 292 |
+
\item There is a fixed finite alphabet
|
| 293 |
+
$\Sigma=\{-1,0,1\}^4$ and public edit vectors $h_\sigma(c)$ such
|
| 294 |
+
that each chosen proposal has the form
|
| 295 |
+
$b\mapsto b+h_\sigma(c)$. One public address is allotted to each
|
| 296 |
+
logical array. On actual edges only the active tape's content
|
| 297 |
+
position and its occupation position can change. The same fixed
|
| 298 |
+
edit formulas are defined over any field, whether or not their
|
| 299 |
+
arguments represent valid Boolean tapes.
|
| 300 |
+
\item For each fixed phase, the local tape requirements have
|
| 301 |
+
bounded arity and bounded operand multiplicity, uniformly in $N$.
|
| 302 |
+
The full tape specification and all frame-dependent rule and
|
| 303 |
+
address tables have $O(h)$ records of $O(\log(N+2))$ bits each.
|
| 304 |
+
A vertex label has $4h+\lceil\log_2(4h)\rceil=O(N)$ bits;
|
| 305 |
+
validity and endpoint decoding take polynomial time. These
|
| 306 |
+
bounds concern descriptions and individual labels and do not
|
| 307 |
+
require enumeration of the macrograph.
|
| 308 |
+
\end{enumerate}
|
| 309 |
+
\end{lemma}
|
| 310 |
+
|
| 311 |
+
\begin{proof}
|
| 312 |
+
We first identify all endpoints. A missing successor can occur
|
| 313 |
+
only in the first range of the schedule. Write its full tape as
|
| 314 |
+
$A=Q_x$ and put $y=\operatorname{out}_S(A)=S(x)$. The current
|
| 315 |
+
$B$ tape is its longest valid forward prefix, so
|
| 316 |
+
Lemma~\ref{macro:prefix-uniqueness} gives
|
| 317 |
+
\begin{equation}\label{macro:sink-identity}
|
| 318 |
+
P(S(y))\ne y,\qquad P(y)=x.
|
| 319 |
+
\end{equation}
|
| 320 |
+
If $y=0^{n_0}$, then $x=P(0^{n_0})=0^{n_0}$ and
|
| 321 |
+
$y=S(0^{n_0})\ne0^{n_0}$, a contradiction. Thus this designated
|
| 322 |
+
vector is a nonzero End-of-Line answer. Such a vertex has a
|
| 323 |
+
predecessor: shorten its forward prefix when its length is positive;
|
| 324 |
+
at stage zero use the reverse wraparound copy from the preceding
|
| 325 |
+
frame.
|
| 326 |
+
|
| 327 |
+
A missing predecessor can occur only at a stage $s=c+1$ with
|
| 328 |
+
$h\le c<2h$. Its full tape is $B=Q_y$, where
|
| 329 |
+
$y=\operatorname{in}_S(B)$, and its reconstruction prefix has its
|
| 330 |
+
maximal length $k_{\mathrm r}(y)<h$. Hence
|
| 331 |
+
\begin{equation}\label{macro:source-identity}
|
| 332 |
+
s=2h-k_{\mathrm r}(y),\qquad S(P(y))\ne y.
|
| 333 |
+
\end{equation}
|
| 334 |
+
For $y\ne0^{n_0}$ this is again a permitted answer. The vertex
|
| 335 |
+
has a successor obtained by shortening the reconstruction prefix;
|
| 336 |
+
if the prefix is empty, the next copying step supplies a successor.
|
| 337 |
+
Every proposal in the two copying ranges succeeds in the relevant
|
| 338 |
+
direction, except that an incoming reconstruction proposal at stage
|
| 339 |
+
$2h$ is covered by the case just considered. Together with
|
| 340 |
+
Lemma~\ref{macro:local-edges}, this exhausts the possible missing
|
| 341 |
+
neighbors and proves that no vertex is isolated.
|
| 342 |
+
|
| 343 |
+
It remains to specify the zero-labelled exception. The last promise
|
| 344 |
+
in \eqref{macro:promises} supplies the unique full transcript
|
| 345 |
+
$Q_{0^{n_0}}$, whereas the first two promises give
|
| 346 |
+
\[
|
| 347 |
+
S(P(0^{n_0}))=S(0^{n_0})\ne0^{n_0}.
|
| 348 |
+
\]
|
| 349 |
+
Let $k_*=k_{\mathrm r}(0^{n_0})<h$. Then $v_*$ is exactly the
|
| 350 |
+
vertex at stage $2h-k_*$ whose $B$ tape is $Q_{0^{n_0}}$ and whose
|
| 351 |
+
$A$ tape is
|
| 352 |
+
$\operatorname{pref}_{\pi_{\mathrm r},k_*}(V_{0^{n_0}})$,
|
| 353 |
+
with their prescribed occupations. Prefix uniqueness proves that
|
| 354 |
+
this is the only missing-predecessor vertex with designated vector
|
| 355 |
+
zero. It has no predecessor and has the successor just described.
|
| 356 |
+
Evaluate $U_{0^{n_0}}$ and $V_{0^{n_0}}$, locate the first failed
|
| 357 |
+
reconstruction terminal comparison, and take the preceding prefix.
|
| 358 |
+
This computes $v_*$ and its successor in polynomial time. This
|
| 359 |
+
proves the endpoint claims, including the existence of the public
|
| 360 |
+
source. Other directed paths and directed cycles may remain in the
|
| 361 |
+
graph; nothing here requires one connected component.
|
| 362 |
+
|
| 363 |
+
We next make the local edit interface explicit. At start frame $c$,
|
| 364 |
+
let $j(c)$ be the position in the transition table. Allot this
|
| 365 |
+
position to the content and occupation arrays of the active tape,
|
| 366 |
+
and allot the fixed default position $0$ to the two inactive arrays.
|
| 367 |
+
Denote these four addresses by $j_D(c)$, for
|
| 368 |
+
$D\in\{A,E^A,B,E^B\}$. If $\mathbf e_{D,j}$ is the unit vector
|
| 369 |
+
at position $j$ of array $D$, define, over a field $K$,
|
| 370 |
+
\begin{equation}\label{macro:finite-edits}
|
| 371 |
+
h_\sigma(c)=\sum_{D\in\{A,E^A,B,E^B\}}
|
| 372 |
+
\sigma_D\mathbf e_{D,j_D(c)}\in K^{4h},
|
| 373 |
+
\qquad \sigma\in\{-1,0,1\}^4,
|
| 374 |
+
\end{equation}
|
| 375 |
+
where the integers $-1,0,1$ are mapped into $K$. For a proposed
|
| 376 |
+
Boolean write, choose its content coefficient as the desired bit
|
| 377 |
+
minus the old bit and its occupation coefficient as the desired
|
| 378 |
+
occupation minus the old occupation. Set both inactive coefficients
|
| 379 |
+
to zero. Each coefficient lies in $\{-1,0,1\}$, and the resulting
|
| 380 |
+
additive edit is precisely the proposal, in either direction.
|
| 381 |
+
The vector in \eqref{macro:finite-edits} is public once $c$ and
|
| 382 |
+
$\sigma$ are fixed; addition by it is defined on all of $K^{4h}$.
|
| 383 |
+
The assertion about valid Boolean proposals does not require a
|
| 384 |
+
validity interpretation for other field-valued inputs.
|
| 385 |
+
|
| 386 |
+
The necessary public data at a frame are its phase, active tape,
|
| 387 |
+
write position, rule type, at most two operand addresses, the old
|
| 388 |
+
content and occupation addresses, and, when applicable, the extra
|
| 389 |
+
comparison address. A forward fill uses its forward rule; a reverse
|
| 390 |
+
fill uses its reconstruction rule. Lemma~\ref{macro:local-edges}
|
| 391 |
+
shows that the existence flag is the new comparison result in the
|
| 392 |
+
only direction where failure is possible, and is one otherwise.
|
| 393 |
+
These are fixed Boolean decisions once the finitely many addressed
|
| 394 |
+
bits and public rule data are supplied. Define the decisions on
|
| 395 |
+
arbitrary Boolean reads by the same formulas, using a fixed default
|
| 396 |
+
rule and address for unused roles. Their agreement with graph
|
| 397 |
+
neighbors is asserted on valid input vertices. No global validity
|
| 398 |
+
check or full circuit evaluation is hidden in an existence flag.
|
| 399 |
+
|
| 400 |
+
For completeness, the bounded-multiplicity assertion includes more
|
| 401 |
+
than internal gate edges. Each internal value has boundedly many
|
| 402 |
+
uses after copy-tree normalization. Each designated output is used
|
| 403 |
+
once by the other circuit's input-copy rule and participates in only
|
| 404 |
+
a bounded number of terminal or external-vector comparisons. Each
|
| 405 |
+
external-vector bit is used once as an input bit and once for its
|
| 406 |
+
corresponding terminal comparison. Copied-prefix equations use each
|
| 407 |
+
full-tape position once. Occupation indicators condition only the
|
| 408 |
+
rules at their positions; prefix monotonicity, if expressed by
|
| 409 |
+
adjacent-position tests, reads a position at most twice in each
|
| 410 |
+
order. Thus all local content, bitness, occupation, gate, copy,
|
| 411 |
+
comparison, and dummy conditions use bounded-arity records, and each
|
| 412 |
+
logical position appears as an operand only boundedly often across
|
| 413 |
+
the fixed list of phases. The requirement that the occupied prefix
|
| 414 |
+
have its specified length is separate: one may either inspect the
|
| 415 |
+
prescribed occupation pattern directly, or use prefix monotonicity
|
| 416 |
+
together with the occupation sum. The latter is a single global
|
| 417 |
+
count condition for each tape and will be represented separately in
|
| 418 |
+
the algebraic construction.
|
| 419 |
+
|
| 420 |
+
All normalization and ordering operations are deterministic. Their
|
| 421 |
+
records and the two permutations occupy $O(h\log(N+2))$ bits.
|
| 422 |
+
Tabulate the transition data for the $4h$ frames in the same space
|
| 423 |
+
bound, including both directions and defaults. Scanning the arrays
|
| 424 |
+
and these records tests membership in $\mathcal V_s$ in polynomial
|
| 425 |
+
time. The designated endpoint vectors and the circuit inequalities
|
| 426 |
+
\eqref{macro:sink-identity} and \eqref{macro:source-identity} give a
|
| 427 |
+
polynomial-time endpoint decoder. At every fixed stage a valid
|
| 428 |
+
vertex is determined by the input of its full transcript, since
|
| 429 |
+
its other tape is a unique computed or copied prefix. Consequently
|
| 430 |
+
the graph has at most $4h\,2^{n_0}$ vertices, even though an individual
|
| 431 |
+
label has only $O(N)$ bits. The construction outputs the normalized
|
| 432 |
+
records, public tables, and algorithms, never this potentially
|
| 433 |
+
exponential vertex list. All constants in these bounds depend only
|
| 434 |
+
on the fixed Boolean basis and padding cutoff. This proves the
|
| 435 |
+
remaining uniformity and size assertions.
|
| 436 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/03-outer-codes.tex
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|
| 1 |
+
\section{Outer index groups and systematic square codes}\label{sec:outer-codes}
|
| 2 |
+
|
| 3 |
+
The outer code has two roles. Its systematic coordinates carry the data
|
| 4 |
+
on which the representation computes, and its redundant coordinates make
|
| 5 |
+
local consistency imply proximity in the metric that counts an entire
|
| 6 |
+
stored symbol as one position. We construct the code, including its
|
| 7 |
+
matrix twists and simultaneous systematic encoders. All vector-valued
|
| 8 |
+
statements below use joint support: a coordinate is erroneous when any
|
| 9 |
+
component is erroneous. Their constants do not depend on the number of
|
| 10 |
+
components or stored slots. The notation in this section is local to the
|
| 11 |
+
outer construction; in particular, the group constructed here is not the
|
| 12 |
+
affine group used later for the inner construction.
|
| 13 |
+
|
| 14 |
+
The index group must provide commuting left and right moves, constant
|
| 15 |
+
expansion, and only polylogarithmically many frequencies in each relevant
|
| 16 |
+
orbit. The first two properties support local consistency; the orbit
|
| 17 |
+
bound makes the local filling in Lemma~\ref{lem:outer-fill} possible.
|
| 18 |
+
The code and correction guarantees are summarized in
|
| 19 |
+
Theorem~\ref{thm:outer-codes} and Lemma~\ref{lem:outer-uncertainty}.
|
| 20 |
+
|
| 21 |
+
\subsection{A group of quasilinear order}
|
| 22 |
+
|
| 23 |
+
Let $h=2^\ell=O(N)$ be the padded tape length supplied by
|
| 24 |
+
Lemma~\ref{lem:macrograph}. Fix a sufficiently large absolute integer
|
| 25 |
+
$C$, and choose an even $r$ with
|
| 26 |
+
\begin{equation}\label{oc:outer-size}
|
| 27 |
+
\ell+C\le r\le\ell+C+2,
|
| 28 |
+
\qquad M_o=2^r,\qquad G_0=\F_2^r.
|
| 29 |
+
\end{equation}
|
| 30 |
+
We increase $C$ whenever a fixed lower cutoff is needed. Thus $4h\le M_o$,
|
| 31 |
+
$M_o=O(N)$, and $r=O(\log(N+2))$. The bits of $x\in G_0$ are ordered
|
| 32 |
+
from least to most significant; $\underline{x}\in[0,M_o)$ denotes the
|
| 33 |
+
integer they represent.
|
| 34 |
+
|
| 35 |
+
Helfgott's ternary Goldbach theorem says that every odd integer greater
|
| 36 |
+
than five is a sum of three primes \cite[Main Theorem]{Helfgott2013}.
|
| 37 |
+
For our even $r$ we can therefore find primes
|
| 38 |
+
$p_1,p_2,p_3$ with $r-3=p_1+p_2+p_3$, by exhaustive search in $[r]$.
|
| 39 |
+
They need not be distinct or comparable in size. Partition the $r$ bit
|
| 40 |
+
positions into blocks of lengths $p_a+1$, and let
|
| 41 |
+
\begin{equation}\label{oc:group}
|
| 42 |
+
H=\prod_{a=1}^3\operatorname{PGL}_2(\F_{p_a}),
|
| 43 |
+
\qquad \Gamma=G_0\rtimes H.
|
| 44 |
+
\end{equation}
|
| 45 |
+
Each factor acts on its projective line, hence permutes its block of bit
|
| 46 |
+
positions. Since
|
| 47 |
+
$|\operatorname{PGL}_2(\F_q)|=q(q^2-1)$, we have
|
| 48 |
+
\begin{equation}\label{oc:group-order}
|
| 49 |
+
|H|\le r^9,\qquad |\Gamma|=M_o|H|\le M_or^9.
|
| 50 |
+
\end{equation}
|
| 51 |
+
A generator of $\F_{p_a^2}^{\times}$, acting on its one-dimensional
|
| 52 |
+
$\F_{p_a}$-subspaces, induces a cycle $R_a$ of length $p_a+1$:
|
| 53 |
+
the scalar subgroup has order $p_a-1$ and its quotient acts freely and
|
| 54 |
+
transitively on these subspaces. Label each block in this cycle order,
|
| 55 |
+
and denote its first unit vector by $e_a$. The three finite fields,
|
| 56 |
+
permutation groups, cycles, and their tables have size polynomial in $r$
|
| 57 |
+
and can be found by exhaustive finite-field computations of that size.
|
| 58 |
+
|
| 59 |
+
The product is $(g,u)(w,v)=(g+uw,uv)$. It is useful to write a group
|
| 60 |
+
element $k=(g,u)$ instead as $(x,u)$, where $x=u^{-1}g$.
|
| 61 |
+
Left and right multiplication by $(w,v)$ then have the formulas
|
| 62 |
+
\begin{equation}\label{oc:actions}
|
| 63 |
+
(x,u)\longmapsto (x+u^{-1}v^{-1}w,vu),
|
| 64 |
+
\qquad
|
| 65 |
+
(x,u)\longmapsto (v^{-1}(x+w),uv),
|
| 66 |
+
\end{equation}
|
| 67 |
+
respectively. These formulas also give polynomial-in-$r$ Boolean
|
| 68 |
+
algorithms for multiplication and inversion, using the small tables for
|
| 69 |
+
$H$ rather than a table for $\Gamma$.
|
| 70 |
+
|
| 71 |
+
\begin{lemma}[Uniform expansion]\label{oc:expansion}
|
| 72 |
+
For every fixed $0<\lambda<1$, the groups $\Gamma$ in
|
| 73 |
+
\eqref{oc:group} admit symmetric labelled Cayley multisets of a fixed
|
| 74 |
+
degree whose averaging operator has norm at most $\lambda$ on mean-zero
|
| 75 |
+
functions. The same assertion holds for $H$. Their labels can be
|
| 76 |
+
constructed deterministically in time polynomial in $N$ and represented
|
| 77 |
+
with $\operatorname{polylog}(N)$ bits of public data. Multiplicities and identity
|
| 78 |
+
labels are permitted.
|
| 79 |
+
\end{lemma}
|
| 80 |
+
|
| 81 |
+
\begin{proof}
|
| 82 |
+
First consider a factor of $H$. The reductions of the upper and lower
|
| 83 |
+
unit elementary matrices, with their inverses, have a uniform Cayley
|
| 84 |
+
gap in $\operatorname{SL}_2(\F_p)$. This is the elementary-generator
|
| 85 |
+
case of the congruence gap discussed in \cite[p.~626]{BG2008}, and also
|
| 86 |
+
follows directly from \cite[Theorem~1]{BG2008}, since the corresponding
|
| 87 |
+
fixed subgroup of $\operatorname{SL}_2(\mathbb Z)$ is non-elementary.
|
| 88 |
+
Passing to the quotient by the center preserves the upper gap. A
|
| 89 |
+
half-lazy walk has a uniform absolute gap. The finitely many small
|
| 90 |
+
primes are absorbed by decreasing this fixed gap.
|
| 91 |
+
|
| 92 |
+
For odd $p$, the subgroup $\operatorname{PSL}_2(\F_p)$ is normal of
|
| 93 |
+
index two in $\operatorname{PGL}_2(\F_p)$. Add a representative of the
|
| 94 |
+
nonsquare determinant class and its inverse; in the index-one case pad
|
| 95 |
+
with identities. To check a uniform gap, work in an arbitrary unitary
|
| 96 |
+
representation. The preceding subgroup gap bounds the distance of a
|
| 97 |
+
vector to its subgroup-invariant projection by a fixed multiple of its
|
| 98 |
+
maximum displacement under the subgroup labels. Normality makes that
|
| 99 |
+
invariant subspace invariant under the extra label, which controls its
|
| 100 |
+
quotient of order at most two. Thus distance to the full invariant
|
| 101 |
+
subspace is bounded by a fixed multiple of the maximum displacement
|
| 102 |
+
under all these labels. The three factor projections commute; applying
|
| 103 |
+
this argument to the three factors gives the same statement for $H$,
|
| 104 |
+
with a fixed-size generating list. The regular-representation gap used
|
| 105 |
+
here applies to every representation of the finite group, by its
|
| 106 |
+
decomposition into irreducible representations.
|
| 107 |
+
|
| 108 |
+
We next give a bounded list of translations which, together with these
|
| 109 |
+
$H$ labels, expands $\Gamma$. Consider a block of $n'$ bits with cycle
|
| 110 |
+
$R$. For a nonzero frequency $y\in\F_2^{n'}$, let $d'$ be the dimension
|
| 111 |
+
of the span of its cyclic shifts. Identifying vectors with polynomials
|
| 112 |
+
modulo $Z^{n'}-1$, this span is a cyclic ideal. Every such ideal of
|
| 113 |
+
dimension $d'$ is specified by a complementary monic divisor of degree
|
| 114 |
+
$d'$. There are at most $2^{d'}$ such divisors and at most $2^{d'}$
|
| 115 |
+
vectors in each ideal. In particular, there are at most $2^{2d'}$
|
| 116 |
+
frequencies with this span dimension. This argument uses only the
|
| 117 |
+
ideal structure of the polynomial quotient and remains valid when
|
| 118 |
+
$Z^{n'}-1$ has repeated factors in characteristic two.
|
| 119 |
+
|
| 120 |
+
For a uniform seed $a\in\F_2^{n'}$, the correlation vector
|
| 121 |
+
$(y\cdot R^ta)_{t=0}^{n'-1}$ is uniform on a shift-invariant linear
|
| 122 |
+
space of dimension $d'$. Take $j_0$ independent seeds. In the product
|
| 123 |
+
of these spaces, the subset with total weight less than $j_0n'/4$ is
|
| 124 |
+
invariant under cyclic shifts and permutation of the seeds. If this
|
| 125 |
+
subset is nonempty, its uniform distribution has the same marginal at
|
| 126 |
+
every coordinate, with probability of one at most $1/4$. An information
|
| 127 |
+
set of $j_0d'$ coordinates determines a vector in the product space.
|
| 128 |
+
Entropy subadditivity consequently bounds the size of this subset by
|
| 129 |
+
$2^{j_0d'\mathcal H(1/4)}$, where $\mathcal H$ is binary entropy.
|
| 130 |
+
The subset of weight greater than $3j_0n'/4$ has the same bound, by the
|
| 131 |
+
marginal entropy estimate with probabilities at least $3/4$; it is
|
| 132 |
+
unnecessary for the space to be closed under complementation.
|
| 133 |
+
Thus a fixed sufficiently large $j_0$ makes the probability of any
|
| 134 |
+
failure at any nonzero frequency at most
|
| 135 |
+
\begin{equation}\label{oc:seed-bound}
|
| 136 |
+
2\sum_{d'\ge1}
|
| 137 |
+
2^{-\{j_0(1-\mathcal H(1/4))-2\}d'}<1.
|
| 138 |
+
\end{equation}
|
| 139 |
+
There exist $j_0$ seeds whose cyclic translates have absolute Walsh
|
| 140 |
+
bias at most $1/2$ at every nonzero frequency. Enumerating all seed
|
| 141 |
+
tuples and checking their biases constructs them in time $2^{O(r)}$,
|
| 142 |
+
which is polynomial in $N$.
|
| 143 |
+
|
| 144 |
+
Take the Cartesian product of the three block seed lists. Averaging
|
| 145 |
+
its translations under $\langle R_1\rangle\times\langle R_2\rangle
|
| 146 |
+
\times\langle R_3\rangle$ has absolute Walsh bias at most $1/2$ off
|
| 147 |
+
zero: the three factors multiply, and a nonzero frequency has a nonzero
|
| 148 |
+
block. Averaging further over cosets in $H$ preserves this bound.
|
| 149 |
+
Denote by $T$ the average of the resulting $H$-conjugates of seed
|
| 150 |
+
translations. On the orthogonal complement of $G_0$-invariants, $T$
|
| 151 |
+
has all eigenvalues in $[-1/2,1/2]$, by Fourier decomposition for $G_0$.
|
| 152 |
+
|
| 153 |
+
Let $v$ be a unit vector in a representation of $\Gamma$, and let
|
| 154 |
+
$\eta$ be its maximum displacement under the fixed $H$ labels and the
|
| 155 |
+
fixed product-seed translations. The $H$-invariant projection $v_H$
|
| 156 |
+
satisfies $\|v-v_H\|\le K\eta$ for an absolute $K$. Its displacement
|
| 157 |
+
under any seed translation is at most $(1+2K)\eta$. Since $v_H$ is
|
| 158 |
+
$H$-invariant, the same holds for every $H$-conjugate of a seed.
|
| 159 |
+
Writing $P_{G_0}$ for projection to $G_0$-invariants gives
|
| 160 |
+
\[
|
| 161 |
+
\|v_H-P_{G_0}v_H\|^2
|
| 162 |
+
\le 2\langle v_H,(I-T)v_H\rangle
|
| 163 |
+
\le (1+2K)^2\eta^2.
|
| 164 |
+
\]
|
| 165 |
+
Normality of $G_0$ implies that $P_{G_0}v_H$ is also $H$-invariant.
|
| 166 |
+
Distance to the $\Gamma$-invariant subspace is therefore at most a
|
| 167 |
+
fixed multiple of $\eta$. The symmetric half-lazy average on our
|
| 168 |
+
fixed generating list has a uniform positive gap: its Dirichlet form
|
| 169 |
+
is the average of squared label displacements divided by a fixed
|
| 170 |
+
constant. Its spectrum is nonnegative. A fixed power of this walk
|
| 171 |
+
has mean-zero norm at most the requested $\lambda$. Reversing words
|
| 172 |
+
shows that the powered list remains symmetric. Its length is fixed,
|
| 173 |
+
and the same conclusion holds for left and right regular actions.
|
| 174 |
+
\end{proof}
|
| 175 |
+
|
| 176 |
+
\subsection{Common scalar local codes}
|
| 177 |
+
|
| 178 |
+
The distance and agreement estimates in this subsection hold over an
|
| 179 |
+
arbitrary field $J$, conditional on the scalar check matrices satisfying
|
| 180 |
+
the stated minor conditions. We will choose the special outer field
|
| 181 |
+
and those matrices after fixing the constants in these estimates.
|
| 182 |
+
|
| 183 |
+
The local agreement constant must be fixed before the outer Cayley
|
| 184 |
+
degree is chosen. To obtain this order, we make the label positions
|
| 185 |
+
the edges of a separate expander. For every integer $s_b\ge1$, consider
|
| 186 |
+
the Margulis--Gabber--Galil multigraph~\cite{Margulis1973,GabberGalil1981}
|
| 187 |
+
on $\mathbb Z_{s_b}^2$ with the
|
| 188 |
+
eight labelled moves
|
| 189 |
+
\[
|
| 190 |
+
(x\mathbin\pm2y,y),\quad (x\mathbin\pm(2y+1),y),\quad
|
| 191 |
+
(x,y\mathbin\pm2x),\quad (x,y\mathbin\pm(2x+1)).
|
| 192 |
+
\]
|
| 193 |
+
Its normalized mean-zero norm is at most $5\sqrt2/8$ for every positive
|
| 194 |
+
integer modulus, including composite moduli. The primary formal
|
| 195 |
+
development \cite[\texttt{mgg\_graph\_step},
|
| 196 |
+
\texttt{mgg\_numerical\_radius}]{MGGAFP} proves exactly this labelled,
|
| 197 |
+
symmetric, all-modulus statement. Add eight identity labels for
|
| 198 |
+
half-laziness and take a sufficiently large fixed power. Viewing the
|
| 199 |
+
result as a bipartite graph between two copies of $\mathbb Z_{s_b}^2$
|
| 200 |
+
gives a graph $B_0$ with fixed degree $d_0$, permutation labels
|
| 201 |
+
$1,\ldots,d_0$, and mean-zero cross-part norm
|
| 202 |
+
\begin{equation}\label{oc:base-parameters}
|
| 203 |
+
\lambda_0<10^{-4},\qquad
|
| 204 |
+
c_0=\lfloor d_0/16\rfloor,\qquad \delta_0=1/16.
|
| 205 |
+
\end{equation}
|
| 206 |
+
Take the fixed power large enough that $c_0\ge1$.
|
| 207 |
+
Let $n_b=s_b^2$ and $d=d_0n_b$. Each of the $d$ edge coordinates
|
| 208 |
+
is named by its left base vertex and permutation label. Both ends
|
| 209 |
+
of an outer edge use these same coordinate names.
|
| 210 |
+
|
| 211 |
+
For each of the four types $C_A^0,C_A^1,C_B^0,C_B^1$, choose two
|
| 212 |
+
$c_0\times d_0$ scalar matrices, one for each base side. Impose the
|
| 213 |
+
corresponding checks at every base vertex, with incident edges in
|
| 214 |
+
permutation-label order. There are eight check matrices in total;
|
| 215 |
+
their entries are shared by all stars of the same type. We require
|
| 216 |
+
every $c_0$-column minor to be nonzero. Section~\ref{oc:encoders-subsec}
|
| 217 |
+
constructs matrices meeting these conditions and the global encoder
|
| 218 |
+
conditions simultaneously. Until then the following conclusions hold
|
| 219 |
+
for every choice satisfying the stated minors. For a finite-dimensional
|
| 220 |
+
$J$-space $U$, notation such as $C_A^s(U)$ means that the scalar
|
| 221 |
+
constraints are applied componentwise to a word in $U^d$.
|
| 222 |
+
|
| 223 |
+
\begin{lemma}[Local distance and tensor agreement]\label{oc:local-agreement}
|
| 224 |
+
Set
|
| 225 |
+
\begin{equation}\label{oc:delta-one}
|
| 226 |
+
\delta_1=\delta_0(\delta_0-\lambda_0)>0.
|
| 227 |
+
\end{equation}
|
| 228 |
+
Every nonzero word of any of the four local codes, over any
|
| 229 |
+
finite-dimensional $J$-space $U$, has at least $\delta_1d$ nonzero
|
| 230 |
+
coordinates. There is a constant $C_0<\infty$, depending only on
|
| 231 |
+
$d_0,\delta_0,\lambda_0$, with the following property for every $s_b$,
|
| 232 |
+
every field and check matrices as above, every $U$, and every $s,t$.
|
| 233 |
+
If $F$ is a $d\times d$ table with rows in $C_B^t(U)$ and $D$ is such
|
| 234 |
+
a table with columns in $C_A^s(U)$, and their joint cell-disagreement
|
| 235 |
+
fraction is $z$, there is a table $W$ whose rows and columns obey both
|
| 236 |
+
codes and such that
|
| 237 |
+
\begin{equation}\label{oc:tensor-agreement}
|
| 238 |
+
\Pr_i[W(i,\cdot)\ne F(i,\cdot)]
|
| 239 |
+
+\Pr_j[W(\cdot,j)\ne D(\cdot,j)]\le C_0z.
|
| 240 |
+
\end{equation}
|
| 241 |
+
In particular, $C_0$ is independent of $d$, $|J|$, and $\dim_JU$.
|
| 242 |
+
\end{lemma}
|
| 243 |
+
|
| 244 |
+
\begin{proof}
|
| 245 |
+
The maximal-minor condition gives star distance at least
|
| 246 |
+
$c_0+1\ge\delta_0d_0$: a nonzero word of smaller support would give a
|
| 247 |
+
linear dependence among at most $c_0$ columns, which could be enlarged
|
| 248 |
+
to a dependence among $c_0$ columns. This also proves the assertion
|
| 249 |
+
for vector entries, either by applying a nonzero scalar component or
|
| 250 |
+
by solving the independent-column equations componentwise.
|
| 251 |
+
|
| 252 |
+
For a nonzero whole local word, let $l,u$ be the fractions of left and
|
| 253 |
+
right base vertices incident to its support, and let $a=\max(l,u)$.
|
| 254 |
+
Its edge-support fraction $e$ obeys, by star distance and mixing,
|
| 255 |
+
\[
|
| 256 |
+
\delta_0a\le e\le lu+\lambda_0\sqrt{lu}
|
| 257 |
+
\le a(a+\lambda_0).
|
| 258 |
+
\]
|
| 259 |
+
Hence $a\ge\delta_0-\lambda_0$ and $e\ge\delta_1$. Mixing here and
|
| 260 |
+
below follows by subtracting the two constant means and applying the
|
| 261 |
+
cross-part operator norm to the indicator functions.
|
| 262 |
+
|
| 263 |
+
For agreement, apply the A-base checks to the columns of $F$. Mark
|
| 264 |
+
every base star at which any check syndrome is nonzero. Each nonzero
|
| 265 |
+
syndrome, as a row indexed by the $d$ columns, is a scalar linear
|
| 266 |
+
combination of B-code rows, and is therefore a nonzero B-codeword over
|
| 267 |
+
$U$. Its support has size at least $\delta_1d$. In each such column
|
| 268 |
+
there must be a discrepancy with $D$ on an edge incident to the marked
|
| 269 |
+
star, since $D$ satisfies that star's check. A discrepancy cell is
|
| 270 |
+
incident to at most two base stars. If $w_0$ is the total marked-star
|
| 271 |
+
count divided by $n_b$ (counting both base sides), then
|
| 272 |
+
\begin{equation}\label{oc:marked-size}
|
| 273 |
+
w_0\le \frac{2zd^2}{\delta_1dn_b}
|
| 274 |
+
=\frac{2d_0z}{\delta_1}.
|
| 275 |
+
\end{equation}
|
| 276 |
+
|
| 277 |
+
We now confine every low-discrepancy difference column to edges inside
|
| 278 |
+
a small set of base vertices. Deleting those row indices, together
|
| 279 |
+
with the columns having large discrepancy, will leave a rectangle on
|
| 280 |
+
which $F$ and $D$ agree.
|
| 281 |
+
|
| 282 |
+
Close the marked set by adding a vertex whenever at least
|
| 283 |
+
$(\delta_0/2)d_0$ incident edges lead to the set. If the initial set
|
| 284 |
+
is empty it stays empty. Otherwise suppose its normalized size first
|
| 285 |
+
reaches $w\ge2w_0$. A single addition is at most $1/n_b\le w_0$, so
|
| 286 |
+
$w\le3w_0$. Edges made internal by additions give internal edge
|
| 287 |
+
fraction at least $(\delta_0/2)(w-w_0)$. Mixing gives the upper bound
|
| 288 |
+
$w^2/4+\lambda_0w/2$. Since $w\ge2w_0$, these inequalities imply
|
| 289 |
+
$\delta_0\le w+2\lambda_0$. They are incompatible when
|
| 290 |
+
$3w_0<\delta_0-2\lambda_0$. For sufficiently small $z$, therefore,
|
| 291 |
+
the final closure $T$ satisfies $|T|/n_b\le2w_0$, with strict
|
| 292 |
+
inequality when $w_0>0$.
|
| 293 |
+
Every star outside $T$ still satisfies all checks on $F$, and fewer
|
| 294 |
+
than $(\delta_0/2)d_0$ of its edges enter $T$.
|
| 295 |
+
|
| 296 |
+
Fix a constant
|
| 297 |
+
\[
|
| 298 |
+
0<z_0<\delta_0(\delta_0/2-\lambda_0).
|
| 299 |
+
\]
|
| 300 |
+
Consider a column whose discrepancy fraction is less than $z_0$.
|
| 301 |
+
The difference between its $F$ and $D$ columns satisfies all checks
|
| 302 |
+
outside $T$. An outside vertex incident to its support consequently
|
| 303 |
+
has at least $\delta_0d_0$ support edges in total and more than
|
| 304 |
+
$(\delta_0/2)d_0$ support edges to other outside vertices. The left
|
| 305 |
+
and right fractions of such outside vertices are each at most
|
| 306 |
+
$z_0/\delta_0$, by counting their total support edges. If $a$ is
|
| 307 |
+
their maximum fraction, mixing on the outside support would give
|
| 308 |
+
\[
|
| 309 |
+
(\delta_0/2)a\le a(a+\lambda_0),
|
| 310 |
+
\qquad a\le z_0/\delta_0<\delta_0/2-\lambda_0.
|
| 311 |
+
\]
|
| 312 |
+
Thus $a=0$. The difference column vanishes on every edge having an
|
| 313 |
+
endpoint outside $T$.
|
| 314 |
+
|
| 315 |
+
Delete the row indices corresponding to edges internal to $T$, and
|
| 316 |
+
delete columns with discrepancy fraction at least $z_0$. The former
|
| 317 |
+
fraction is at most $|T|/(2n_b)\le w_0$, since each internal edge consumes
|
| 318 |
+
two incidences in $T$, and the latter fraction is at most $z/z_0$.
|
| 319 |
+
The two tables agree on the complementary rectangle. Choose a fixed
|
| 320 |
+
$z_*>0$, depending only on the base parameters, so small that for
|
| 321 |
+
$z<z_*$ the closure inequality holds and each deleted fraction is
|
| 322 |
+
less than $\delta_1$. Puncturing either scalar local code to its
|
| 323 |
+
retained coordinates is then injective by distance. Its inverse
|
| 324 |
+
on the image is a scalar linear map. Lift the common rectangle in
|
| 325 |
+
the B direction and then in the A direction. Applying scalar linear
|
| 326 |
+
maps in one direction preserves the constraints in the other; hence
|
| 327 |
+
the resulting table belongs to the full tensor code. By injectivity
|
| 328 |
+
it agrees with every retained whole row of $F$ and every retained
|
| 329 |
+
whole column of $D$. This gives \eqref{oc:tensor-agreement} with
|
| 330 |
+
$2d_0/\delta_1+1/z_0$ for $z<z_*$. For $z\ge z_*$, use the zero
|
| 331 |
+
tensor table and the bound $2\le(2/z_*)z$. The maximum of these two
|
| 332 |
+
constants is a suitable $C_0$. All lifting maps and all support
|
| 333 |
+
counts act on joint vector entries, so no dimension factor occurs.
|
| 334 |
+
\end{proof}
|
| 335 |
+
|
| 336 |
+
We now fix, once and for all,
|
| 337 |
+
\begin{equation}\label{oc:lambda-choice}
|
| 338 |
+
0<\lambda\le\min\{(8C_0)^{-1},\delta_1/16\}.
|
| 339 |
+
\end{equation}
|
| 340 |
+
Apply Lemma~\ref{oc:expansion} to obtain an outer Cayley list of degree
|
| 341 |
+
$D$. Choose $s_b$ to be a positive multiple of $D$. Then
|
| 342 |
+
$d=d_0s_b^2$ is divisible by $D$, so label the $d$ local coordinates
|
| 343 |
+
by a balanced repetition of the outer list. This repetition changes
|
| 344 |
+
neither averaging operator nor its norm. Use such lists
|
| 345 |
+
$(a_i)_{i=1}^d$ and $(b_j)_{j=1}^d$ for the A and B directions.
|
| 346 |
+
All of $d_0,c_0,\lambda_0,\delta_1,C_0,\lambda,s_b,d$ are now fixed
|
| 347 |
+
constants. We now specialize $J$; the field choice will not change
|
| 348 |
+
these constants.
|
| 349 |
+
|
| 350 |
+
Choose an odd characteristic independently of the primes $p_a$
|
| 351 |
+
and independently of the characteristic-two translation group. Put
|
| 352 |
+
$m=M_o$. Linnik's theorem, for example the effective bound in
|
| 353 |
+
\cite[Theorem~1.1]{Xylouris2011}, supplies a prime
|
| 354 |
+
\begin{equation}\label{oc:prime}
|
| 355 |
+
p\equiv1\pmod m,\qquad m<p\le C_Lm^{L}
|
| 356 |
+
\end{equation}
|
| 357 |
+
for absolute constants $C_L,L$. Searching integers and testing
|
| 358 |
+
primality, even by trial division, takes polynomial time in $m$.
|
| 359 |
+
Search the prime field for an element $\zeta$ of exact order $m$;
|
| 360 |
+
such an element exists because its multiplicative group is cyclic.
|
| 361 |
+
Since $m$ is a power of two, testing $\zeta^m=1$ and
|
| 362 |
+
$\zeta^{m/2}\ne1$ suffices. We will use
|
| 363 |
+
\begin{equation}\label{oc:field}
|
| 364 |
+
J=\F_{p^4}.
|
| 365 |
+
\end{equation}
|
| 366 |
+
The proof below verifies that degree four supplies enough room for
|
| 367 |
+
every simultaneous outer-code choice. One can find an irreducible
|
| 368 |
+
quartic by enumeration and represent $J$ as its polynomial quotient.
|
| 369 |
+
Field operations and the root $\zeta$ then use $O(\log N)$ bits and
|
| 370 |
+
polynomial-in-$\log N$ Boolean computations. Our fixed lower cutoff
|
| 371 |
+
also ensures $p>m>|H|$, so both $m$ and $|H|$ are invertible in $J$.
|
| 372 |
+
|
| 373 |
+
\subsection{Twists and simultaneous systematic extension}
|
| 374 |
+
\label{oc:encoders-subsec}
|
| 375 |
+
|
| 376 |
+
There are four outer parts
|
| 377 |
+
\[
|
| 378 |
+
V=\Gamma\times\{0,1\}\times\{0,1\}.
|
| 379 |
+
\]
|
| 380 |
+
At $(k,s,t)$ a full slot stores a $d\times d$ matrix $W_k^{st}$ over
|
| 381 |
+
a finite-dimensional $J$-space $U$, with columns in $C_A^s(U)$ and
|
| 382 |
+
rows in $C_B^t(U)$. The A and B edges impose, respectively,
|
| 383 |
+
\begin{equation}\label{oc:edge-equations}
|
| 384 |
+
W_{a_ik}^{1t}(i,j)=\alpha_i W_k^{0t}(i,j),
|
| 385 |
+
\qquad
|
| 386 |
+
W_{kb_j}^{s1}(i,j)=\beta_j W_k^{s0}(i,j).
|
| 387 |
+
\end{equation}
|
| 388 |
+
The maps $\alpha_i,\beta_j$ are invertible $J$-linear maps on $U$,
|
| 389 |
+
independent of $k,s,t$, and satisfy
|
| 390 |
+
$\alpha_i\beta_j=\beta_j\alpha_i$ for every $i,j$. An A edge of
|
| 391 |
+
label $i$ transports the entire B-coded row $i$, while a B edge of
|
| 392 |
+
label $j$ transports the entire A-coded column $j$. A reverse edge
|
| 393 |
+
uses the inverse map. At their intersection the two transports give
|
| 394 |
+
\[
|
| 395 |
+
\begin{array}{ccc}
|
| 396 |
+
W_k^{00}(i,j)&\xrightarrow{\ \alpha_i\ }&W_{a_i k}^{10}(i,j)\\
|
| 397 |
+
{\scriptstyle\beta_j}\big\downarrow&&
|
| 398 |
+
\big\downarrow{\scriptstyle\beta_j}\\
|
| 399 |
+
W_{k b_j}^{01}(i,j)&\xrightarrow{\ \alpha_i\ }&W_{a_i k b_j}^{11}(i,j).
|
| 400 |
+
\end{array}
|
| 401 |
+
\]
|
| 402 |
+
Left and right multiplication on $\Gamma$ commute, so the two routes
|
| 403 |
+
reach the same index; commuting entry maps give the same entry value.
|
| 404 |
+
|
| 405 |
+
The scalar type has $U=J$ and identity twists. The programs in
|
| 406 |
+
Section~\ref{sec:outer-programs} will also need to multiply scalar
|
| 407 |
+
data $v:\Gamma\to J$ by $(-1)^{e\cdot x}$ for a distinguished bit
|
| 408 |
+
$e=e_a$. The matrix types below supply edge equations compatible
|
| 409 |
+
with this operation. The programs will use them to retain one axis
|
| 410 |
+
of code constraints while changing the other.
|
| 411 |
+
For each of the three distinguished bits $e=e_a$, define a
|
| 412 |
+
representation on the basis
|
| 413 |
+
$({\bf e}_{t'})_{t'\in H}$ by
|
| 414 |
+
\begin{equation}\label{oc:rho}
|
| 415 |
+
\rho_e(g,u){\bf e}_{t'}
|
| 416 |
+
=(-1)^{(ut'e)\cdot g}{\bf e}_{ut'}.
|
| 417 |
+
\end{equation}
|
| 418 |
+
Its entries are signed permutation entries in the prime field.
|
| 419 |
+
Indeed, for $k=(g,u)$ and $k'=(g',u')$, the exponent in
|
| 420 |
+
$\rho_e(k)\rho_e(k'){\bf e}_{t'}$ is
|
| 421 |
+
\[
|
| 422 |
+
(u't'e)\cdot g'+(uu't'e)\cdot g
|
| 423 |
+
=(uu't'e)\cdot(g+ug'),
|
| 424 |
+
\]
|
| 425 |
+
which proves multiplicativity. In a matrix type let
|
| 426 |
+
$U=\operatorname{Mat}_{|H|}(J)$ and independently choose each axis
|
| 427 |
+
to be untwisted or to use
|
| 428 |
+
\begin{equation}\label{oc:matrix-twists}
|
| 429 |
+
\alpha_i D=\rho_e(a_i)D,
|
| 430 |
+
\qquad \beta_j D=D\rho_e(b_j).
|
| 431 |
+
\end{equation}
|
| 432 |
+
Left and right matrix multiplication commute. Right multiplication
|
| 433 |
+
in \eqref{oc:matrix-twists} specifies edge maps; no convention about
|
| 434 |
+
its order as a group representation is needed. This gives at most
|
| 435 |
+
$1+3\cdot4=13$ full types. Finite tuples, with arbitrary repetitions
|
| 436 |
+
of these types, use direct sums of their entry spaces and block
|
| 437 |
+
diagonal twists.
|
| 438 |
+
|
| 439 |
+
On either local-label graph, let the parity set consist of all edges
|
| 440 |
+
with permutation number in $[4c_0]$. Its size and complement are
|
| 441 |
+
\begin{equation}\label{oc:parity-set}
|
| 442 |
+
q_{\rm par}=4c_0s_b^2,\qquad
|
| 443 |
+
I_A=[d]\setminus\text{A-parity set},\qquad
|
| 444 |
+
I_B=[d]\setminus\text{B-parity set}.
|
| 445 |
+
\end{equation}
|
| 446 |
+
Both systematic sets are nonempty; in fact they contain at least
|
| 447 |
+
$3d/4$ labels.
|
| 448 |
+
|
| 449 |
+
\begin{lemma}[Simultaneous systematic encoders]\label{oc:systematic}
|
| 450 |
+
One can choose the eight scalar check matrices over $J$ so that all
|
| 451 |
+
their maximal minors are nonzero and every A and B one-axis system
|
| 452 |
+
of the thirteen types above is systematically invertible. Precisely,
|
| 453 |
+
arbitrary data at the systematic labels of part zero have a unique
|
| 454 |
+
extension to both parts satisfying that axis's local checks and edge
|
| 455 |
+
equations. Consequently arbitrary data on
|
| 456 |
+
$\Gamma\times I_A\times I_B$ in part $(0,0)$ have a unique full
|
| 457 |
+
extension satisfying both axes, and the two orders of axis extension
|
| 458 |
+
give the same answer. The matrices and the full encoders are
|
| 459 |
+
deterministically constructible in polynomial time in $N$. These
|
| 460 |
+
assertions continue to hold for arbitrary finite direct sums of the
|
| 461 |
+
listed types, without any further field or check-matrix choices.
|
| 462 |
+
\end{lemma}
|
| 463 |
+
|
| 464 |
+
\begin{proof}
|
| 465 |
+
Consider one A-axis system. Eliminate part-one variables with the
|
| 466 |
+
A-edge equations. At each $k$, the two types of base-star checks in
|
| 467 |
+
part zero contribute $2c_0s_b^2$ equations; those in part one contribute
|
| 468 |
+
the same number after substitution. There are exactly
|
| 469 |
+
$q_{\rm par}=4c_0s_b^2$ parity-label variables at part zero for each
|
| 470 |
+
$k$, so the resulting parity system is square, also after scalarizing
|
| 471 |
+
$U$. Its entries are linear polynomials in the entries of the four
|
| 472 |
+
A check matrices.
|
| 473 |
+
|
| 474 |
+
Its determinant polynomial is nonzero in the prime characteristic.
|
| 475 |
+
For this purpose partition the $4c_0$ parity permutation numbers into
|
| 476 |
+
four disjoint sets of $c_0$ numbers, one for each pair consisting of an
|
| 477 |
+
outer part and a base side. Specialize each associated check matrix
|
| 478 |
+
to selectors of its set. For a fixed permutation number, every
|
| 479 |
+
label-index edge occurs exactly once at the specified base side.
|
| 480 |
+
At outer part zero its selected coordinate is unshifted; at part one
|
| 481 |
+
it is pulled back through an invertible group shift and an invertible
|
| 482 |
+
entry twist. Thus every scalarized parity coordinate is selected
|
| 483 |
+
exactly once, up to an invertible block and a permutation. The
|
| 484 |
+
specialized parity matrix is invertible. The same proof works for
|
| 485 |
+
the B axis and for every allowed twist type. It does not require
|
| 486 |
+
this selector specialization itself to have the desired maximal
|
| 487 |
+
minors: it separately witnesses that each determinant is a nonzero
|
| 488 |
+
polynomial. Each maximal-minor polynomial is also nonzero. Their
|
| 489 |
+
product is nonzero because a polynomial ring over a field is an
|
| 490 |
+
integral domain.
|
| 491 |
+
|
| 492 |
+
Here is a degree bound that justifies this field choice without
|
| 493 |
+
reference to any future number of slots. There are exactly
|
| 494 |
+
\begin{equation}\label{oc:number-variables}
|
| 495 |
+
8c_0d_0
|
| 496 |
+
\end{equation}
|
| 497 |
+
scalar indeterminates. Scalarizing a one-axis parity matrix gives
|
| 498 |
+
dimension at most
|
| 499 |
+
\begin{equation}\label{oc:parity-dimension}
|
| 500 |
+
q_{\rm par}|\Gamma|\dim_JU
|
| 501 |
+
\le q_{\rm par}m|H|^3\le q_{\rm par}mr^{27}.
|
| 502 |
+
\end{equation}
|
| 503 |
+
Its determinant has degree at most this number. At most
|
| 504 |
+
$2(1+3\cdot4)=26$ axis systems cover every required type, with
|
| 505 |
+
redundancies harmless. The product of the maximal minors of the
|
| 506 |
+
eight check matrices has degree $8c_0\binom{d_0}{c_0}$. Thus the
|
| 507 |
+
total degree is at most
|
| 508 |
+
\begin{equation}\label{oc:determinant-degree}
|
| 509 |
+
26q_{\rm par}mr^{27}+8c_0\binom{d_0}{c_0}<m^3.
|
| 510 |
+
\end{equation}
|
| 511 |
+
For the last inequality increase the fixed cutoff so that
|
| 512 |
+
$r^{27}\le m$, $m\ge2\cdot26q_{\rm par}$, and
|
| 513 |
+
$m^2\ge2\cdot8c_0\binom{d_0}{c_0}$. The first term is then at
|
| 514 |
+
most $m^3/2$ and the second at most $m^2/2<m^3/2$.
|
| 515 |
+
The exponent three is independent of $s_b$; only the cutoff depends
|
| 516 |
+
on the already fixed local degree.
|
| 517 |
+
|
| 518 |
+
A nonzero polynomial of total degree less than a finite field's
|
| 519 |
+
cardinality cannot vanish on every tuple over that field. For
|
| 520 |
+
completeness, view it as a polynomial in the last variable; by
|
| 521 |
+
induction choose the other variables so that a nonzero leading
|
| 522 |
+
coefficient remains nonzero, and then use the univariate root bound.
|
| 523 |
+
Since $|J|=p^4>m^3$, such a tuple exists in $J$. Enumerate all tuples
|
| 524 |
+
of the fixed number \eqref{oc:number-variables} of field elements,
|
| 525 |
+
testing maximal minors and parity ranks, until one succeeds. The
|
| 526 |
+
field cardinality and every matrix dimension are polynomial in $N$,
|
| 527 |
+
so this is a deterministic polynomial-time algorithm with a fixed
|
| 528 |
+
exponent. A direct sum of already invertible parity systems is
|
| 529 |
+
invertible with the direct sum of their inverses. It introduces no
|
| 530 |
+
new polynomial condition, even when the number of slots grows with
|
| 531 |
+
$N$.
|
| 532 |
+
|
| 533 |
+
It remains to justify two-axis extension. Regard an A parity matrix
|
| 534 |
+
as a matrix of operators on $U^\Gamma$: each entry is a scalar
|
| 535 |
+
combination of left translations and A twists. B entries are scalar
|
| 536 |
+
combinations of right translations and B twists. They commute
|
| 537 |
+
entrywise across axes. An invertible A parity matrix $L_A$ therefore
|
| 538 |
+
intertwines the diagonal actions of any B-entry operator $T$ on its
|
| 539 |
+
domain and codomain. From $L_AT=TL_A$ one obtains
|
| 540 |
+
$L_A^{-1}T=TL_A^{-1}$, with the same indexed domain and codomain
|
| 541 |
+
interpretation. Thus the operators making up either axis encoder
|
| 542 |
+
commute with every entry operator of the other axis encoder, including
|
| 543 |
+
its inverse parity solve.
|
| 544 |
+
|
| 545 |
+
Start with the systematic rectangle at part $(0,0)$. Extend along A
|
| 546 |
+
for every systematic B column and then along B for every resulting
|
| 547 |
+
A row. The second extension preserves all first-axis constraints
|
| 548 |
+
by this commutation. Both encoders leave their systematic entries
|
| 549 |
+
unchanged. Reversing their order gives the same map. Finally, one-axis
|
| 550 |
+
uniqueness applied in both directions shows that a full word is
|
| 551 |
+
uniquely determined by its systematic rectangle. Gaussian elimination
|
| 552 |
+
computes these extensions in polynomial time in $N$, or in polynomial
|
| 553 |
+
time in the total explicit input size for an arbitrary direct sum.
|
| 554 |
+
\end{proof}
|
| 555 |
+
|
| 556 |
+
For $v:\Gamma\to U$, give every systematic cell in part $(0,0)$ the
|
| 557 |
+
same value $v(k)$. Its full extension is denoted
|
| 558 |
+
\begin{equation}\label{oc:encoder}
|
| 559 |
+
E_{\alpha,\beta}v,
|
| 560 |
+
\end{equation}
|
| 561 |
+
or $Ev$ when its type is specified. We call this the
|
| 562 |
+
\emph{duplicated-payload} encoder. It is linear and injective, and
|
| 563 |
+
its rate in field coordinates is exactly $1/(4d^2)$: its domain has
|
| 564 |
+
$|\Gamma|\dim_JU$ coordinates and its stored word has
|
| 565 |
+
$4d^2|\Gamma|\dim_JU$ coordinates. In the largest individual type
|
| 566 |
+
the entry dimension is $|H|^2\le r^{18}$. Therefore one full slot
|
| 567 |
+
occupies $\operatorname{polylog}(N)$ bits at each of $|\Gamma|=O(N\operatorname{polylog} N)$
|
| 568 |
+
sites. Any fixed power of $\log(N+2)$ slots preserves this size form.
|
| 569 |
+
|
| 570 |
+
\begin{remark}[Operator invariance]\label{oc:orbit-invariance}
|
| 571 |
+
The preceding inverse argument also justifies restriction to frequency
|
| 572 |
+
orbits, as required by the local filling algorithms. Expand a function
|
| 573 |
+
of $(x,u)$ in the Walsh characters $(-1)^{\nu\cdot x}$, using $m^{-1}$
|
| 574 |
+
for the inverse transform over $J$. By \eqref{oc:actions}, a left pull
|
| 575 |
+
preserves each $x$-frequency, with a phase depending on $u$, whereas
|
| 576 |
+
a right pull permutes frequencies by $H$. Constant entry twists do
|
| 577 |
+
not change the frequency. For any $H$-orbit $O\subseteq G_0$, both
|
| 578 |
+
the $O$-frequency subspace and its complementary frequency subspace
|
| 579 |
+
are invariant under each parity operator. Its domain and codomain
|
| 580 |
+
have equal dimensions on this subspace: the parity-label and
|
| 581 |
+
check-label counts are both $q_{\rm par}$. Global invertibility
|
| 582 |
+
therefore implies invertibility of the restriction. Its scalar
|
| 583 |
+
dimension is at most $q_{\rm par}|O||H|\dim_JU\le
|
| 584 |
+
q_{\rm par}|H|^4$, polynomial in $r$, so the restriction and its
|
| 585 |
+
inverse can be computed by polynomial-in-$\log N$ field operations.
|
| 586 |
+
This is an algebraic consequence of the explicit parity matrices;
|
| 587 |
+
it does not require reading unspecified global values of a word.
|
| 588 |
+
\end{remark}
|
| 589 |
+
|
| 590 |
+
\subsection{Proximity and one-axis gaps}
|
| 591 |
+
|
| 592 |
+
Write $\dist_V$ for relative Hamming distance on the four-part vertex
|
| 593 |
+
set $V$. When all four parts at the same $k$ are packed into one
|
| 594 |
+
symbol, write $\dist_\Gamma$. For any two words,
|
| 595 |
+
\begin{equation}\label{oc:packing-metric}
|
| 596 |
+
\dist_V\le\dist_\Gamma\le4\dist_V.
|
| 597 |
+
\end{equation}
|
| 598 |
+
An \emph{A-only word} retains the A local constraints and A agreements
|
| 599 |
+
at all four parts; any other label indices and any collection of slots
|
| 600 |
+
are regarded as coordinates of a single row symbol. No B validity
|
| 601 |
+
or B agreement is asserted. Define B-only words symmetrically.
|
| 602 |
+
|
| 603 |
+
For a tuple of full slots a local check rejects when any component
|
| 604 |
+
fails its scalar local checks, and an edge is conflicting when any
|
| 605 |
+
slot fails its agreement on the whole row or column carried by that
|
| 606 |
+
edge. In particular, a growing tuple does not enlarge the set of
|
| 607 |
+
address maps or cause separate per-slot error charges.
|
| 608 |
+
|
| 609 |
+
\begin{lemma}[Full-code proximity]\label{oc:full-proximity}
|
| 610 |
+
There are fixed $\theta_*>0$ and $K_*<\infty$ such that the following
|
| 611 |
+
holds for every finite tuple of allowed full types and every received
|
| 612 |
+
word. Check local validity and all A and B agreements at a uniformly
|
| 613 |
+
random packed center, rejecting if any check there fails. If the
|
| 614 |
+
rejection fraction is $\theta\le\theta_*$, the word is at packed
|
| 615 |
+
distance at most $K_*\theta$ from a word satisfying every local and
|
| 616 |
+
edge constraint. The constants are independent of the tuple length,
|
| 617 |
+
the field size, and the entry dimensions. Duplicated-payload
|
| 618 |
+
constraints are addressed separately below.
|
| 619 |
+
\end{lemma}
|
| 620 |
+
|
| 621 |
+
The proof uses the decreasing-disagreement method of
|
| 622 |
+
\cite[Section~4.2, Algorithm~1 and Propositions~4.7--4.8]{DEL+2022}.
|
| 623 |
+
We prove the version for joint tuples with commuting twists needed here.
|
| 624 |
+
|
| 625 |
+
\begin{proof}
|
| 626 |
+
First replace every locally invalid whole tuple at a vertex by zero.
|
| 627 |
+
There are at most $\theta|V|$ such vertices. Initially at most
|
| 628 |
+
$d\theta|V|$ undirected edges conflict, and this replacement creates
|
| 629 |
+
at most $2d\theta|V|$ further conflicts. Starting with this locally
|
| 630 |
+
valid word, repeatedly replace a whole vertex by a locally valid tuple
|
| 631 |
+
whenever that strictly decreases its number of incident conflicting
|
| 632 |
+
edges. The total integer conflict count strictly decreases, so at
|
| 633 |
+
most $3d\theta|V|$ replacements occur. This argument establishes
|
| 634 |
+
existence and termination; it is not asserted to be an efficient
|
| 635 |
+
search through the alphabet. At most $(1+3d)\theta|V|$ vertices have
|
| 636 |
+
been touched, and the final conflict count is no larger than the
|
| 637 |
+
count before the replacements.
|
| 638 |
+
|
| 639 |
+
At a stable vertex $v$, let $p_A(v),p_B(v)$ be the fractions of its
|
| 640 |
+
A and B edges that conflict, and put
|
| 641 |
+
$p(v)=p_A(v)+p_B(v)$ and $\mu=\E_Vp$. Neighbors across A edges
|
| 642 |
+
suggest rows, transported by the appropriate twist or inverse twist.
|
| 643 |
+
They are valid B-code rows. Neighbors across B edges similarly
|
| 644 |
+
suggest valid A-code columns. At cell $(i,j)$ these suggestions
|
| 645 |
+
agree unless at least one of the two opposite square edges conflicts:
|
| 646 |
+
the common far corner and commuting twists supply the equality when
|
| 647 |
+
both opposite edges agree. If $P_A,P_B$ average over the respective
|
| 648 |
+
neighbor maps, their cell-disagreement fraction is at most
|
| 649 |
+
$P_Ap_B(v)+P_Bp_A(v)$. Lemma~\ref{oc:local-agreement} gives a local
|
| 650 |
+
replacement whose incident conflict fraction is at most $C_0$ times
|
| 651 |
+
this number. Stability therefore gives pointwise
|
| 652 |
+
\begin{equation}\label{oc:stability}
|
| 653 |
+
p\le C_0(P_Ap_B+P_Bp_A)\le C_0(P_Ap+P_Bp).
|
| 654 |
+
\end{equation}
|
| 655 |
+
|
| 656 |
+
All norms and inner products in this proof use uniform normalized
|
| 657 |
+
counting measure on $V$. Let $\bar p$ be the function equal to the
|
| 658 |
+
mean of $p$ on each of the four parts. Nonnegativity gives
|
| 659 |
+
$\|\bar p\|_2\le2\mu$. Each neighbor operator permutes the part
|
| 660 |
+
means and has norm at most $\lambda$ on their orthogonal complement.
|
| 661 |
+
Consequently \eqref{oc:stability} implies
|
| 662 |
+
\[
|
| 663 |
+
\|p\|_2\le2C_0(2\mu+\lambda\|p\|_2),
|
| 664 |
+
\qquad \|p\|_2\le C_1\mu,\quad C_1=8C_0,
|
| 665 |
+
\]
|
| 666 |
+
by \eqref{oc:lambda-choice}. This bound has no dependence on $d$.
|
| 667 |
+
|
| 668 |
+
Fix an A label $i$, let $S_i$ be the vertices whose incident A edge
|
| 669 |
+
of that label conflicts, and let $p_i=\Pr_V(S_i)$. At such an edge
|
| 670 |
+
the difference of its two transported rows is a nonzero B-codeword,
|
| 671 |
+
so it has at least $\delta_1d$ nonzero cells. In each corresponding
|
| 672 |
+
B direction, either a B edge conflicts at one A endpoint or an
|
| 673 |
+
$i$-label A edge conflicts at the opposite B neighbor. The
|
| 674 |
+
involution exchanging the two A endpoints preserves $S_i$. Averaging
|
| 675 |
+
this implication, and then subtracting the four part means in the
|
| 676 |
+
mixing term, yields
|
| 677 |
+
\begin{align}
|
| 678 |
+
\delta_1p_i
|
| 679 |
+
&\le 2\E_V[1_{S_i}p_B]
|
| 680 |
+
+\langle1_{S_i},P_B1_{S_i}\rangle \notag\\
|
| 681 |
+
&\le 2\E_V[1_{S_i}p_B]+4p_i^2+\lambda p_i.
|
| 682 |
+
\label{oc:conflict-propagation}
|
| 683 |
+
\end{align}
|
| 684 |
+
Indeed, the squared norm of the four part means of $1_{S_i}$ is at
|
| 685 |
+
most $4p_i^2$, and the squared norm of its remaining part is at most
|
| 686 |
+
$p_i$. Also $p_i\le d\mu$. For sufficiently small $\mu$, depending
|
| 687 |
+
on the now fixed $d$, we have $4d\mu+\lambda<\delta_1/2$.
|
| 688 |
+
Average \eqref{oc:conflict-propagation} over $i$ and repeat the
|
| 689 |
+
argument with A and B exchanged. It follows that
|
| 690 |
+
\begin{equation}\label{oc:stable-zero}
|
| 691 |
+
(\delta_1/2)\mu
|
| 692 |
+
\le4\E_V[p_Ap_B]\le4\E_V[p^2]\le4C_1^2\mu^2.
|
| 693 |
+
\end{equation}
|
| 694 |
+
If $0<\mu<\delta_1/(8C_1^2)$ this is impossible. Since the initial
|
| 695 |
+
zeroing left at most $3d\theta|V|$ conflicts, stability has
|
| 696 |
+
$\mu\le6\theta$. For example, choose $\theta_*$ so that
|
| 697 |
+
$6\theta_*<\min\{\delta_1/(32d),\delta_1/(16C_1^2)\}$.
|
| 698 |
+
Then $\mu=0$. The final word is exact, and
|
| 699 |
+
\eqref{oc:packing-metric} gives $K_*=4(1+3d)$ as a permissible
|
| 700 |
+
proximity constant for this normalization. Common scalar local
|
| 701 |
+
checks, block diagonal twists, and joint conflict events justify
|
| 702 |
+
every step for an arbitrary tuple without a slot-count factor.
|
| 703 |
+
\end{proof}
|
| 704 |
+
|
| 705 |
+
\begin{lemma}[One-axis distance and exact comparisons]\label{oc:one-axis}
|
| 706 |
+
Let $\Delta_A=(\delta_1-\lambda)/4>0$. Every nonzero A-only or
|
| 707 |
+
B-only word with the specified local constraints and invertible twists
|
| 708 |
+
has relative vertex support at least $\Delta_A$ on $V$. The same
|
| 709 |
+
holds for differences of two words with the same axis constraints,
|
| 710 |
+
and for arbitrary finite joint tuples. It also holds for full words.
|
| 711 |
+
|
| 712 |
+
Among exact full words, the duplicated-payload condition has a fixed
|
| 713 |
+
gap under the following checks: at $s=0$, compare all systematic A
|
| 714 |
+
rows as whole rows, at both values of $t$; at $t=0$, compare all
|
| 715 |
+
systematic B columns as whole columns, at both values of $s$.
|
| 716 |
+
If any payload is not duplicated, the packed-center rejection
|
| 717 |
+
fraction is at least $\Delta_A$. The tests accept every word $Ev$.
|
| 718 |
+
|
| 719 |
+
More generally, suppose an expression $X$ and a full target $Y=Ev$
|
| 720 |
+
both obey the same A constraints, and the systematic rectangle of
|
| 721 |
+
$X$ is duplicated with payload $w$. Equality of their whole
|
| 722 |
+
systematic B columns at $t=0$, including both $s$ parts, holds if
|
| 723 |
+
and only if $v=w$. If $v\ne w$, the comparison rejects at least a
|
| 724 |
+
$\Delta_A$ fraction of packed centers. The symmetric assertion
|
| 725 |
+
holds for a shared B axis and comparisons of whole systematic A
|
| 726 |
+
rows at $s=0$. No constraint on the other axis of $X$ is needed.
|
| 727 |
+
\end{lemma}
|
| 728 |
+
|
| 729 |
+
\begin{proof}
|
| 730 |
+
For one A slice with fixed $t$, a nonzero vertex has at least
|
| 731 |
+
$\delta_1d$ nonzero row symbols by local distance. Each is carried
|
| 732 |
+
to a nonzero symbol at its opposite endpoint, because twists are
|
| 733 |
+
invertible. If $l,u$ are the two vertex-support fractions and
|
| 734 |
+
$a=\max(l,u)$, the fraction $e$ of nonzero carried edges obeys
|
| 735 |
+
\[
|
| 736 |
+
\delta_1a\le e\le lu+\lambda\sqrt{lu}\le a(a+\lambda).
|
| 737 |
+
\]
|
| 738 |
+
Thus $a\ge\delta_1-\lambda$. Support on these two parts is at
|
| 739 |
+
least $(\delta_1-\lambda)/2$ in their own normalization and at least
|
| 740 |
+
$\Delta_A$ in the four-part normalization. At least one slice is
|
| 741 |
+
nonzero. The argument for B, differences, and joint entries is
|
| 742 |
+
identical.
|
| 743 |
+
|
| 744 |
+
For two systematic A row labels, their difference at $s=0$, considered
|
| 745 |
+
over both $t$ parts and all $k$, is a B-only word: the scalar B checks
|
| 746 |
+
and B twists are the same for both rows. If nonzero it has the
|
| 747 |
+
distance just proved. Differences between systematic B columns are
|
| 748 |
+
A-only words. A nonduplicated systematic rectangle contains two
|
| 749 |
+
unequal entries connected either by a change of its A label or a
|
| 750 |
+
change of its B label, so one of these comparisons is nonzero.
|
| 751 |
+
Conversely, for a duplicated payload, B-axis uniqueness extends the
|
| 752 |
+
same systematic row data identically at every systematic A label,
|
| 753 |
+
and A-axis uniqueness does the analogous thing for columns.
|
| 754 |
+
|
| 755 |
+
For the last assertion, if $v=w$, A-axis uniqueness identifies the
|
| 756 |
+
two whole columns at every systematic B label. If $v\ne w$, a
|
| 757 |
+
systematic payload cell differs somewhere, so one of the compared
|
| 758 |
+
column differences is a nonzero A-only word and has support at least
|
| 759 |
+
$\Delta_A$. The B-sharing assertion is proved in the same way.
|
| 760 |
+
These comparisons use whole one-axis codewords, which is why an
|
| 761 |
+
arbitrary localized payload disagreement has a constant exact gap.
|
| 762 |
+
\end{proof}
|
| 763 |
+
|
| 764 |
+
The next estimate will control a growing tuple of A-only scratch
|
| 765 |
+
slots against one exact reference. It uses the tuple's joint edge
|
| 766 |
+
conflicts, with no factor for its number of components.
|
| 767 |
+
|
| 768 |
+
\begin{lemma}[One-axis near-code estimate]\label{oc:near-code}
|
| 769 |
+
Let $W$ and $V_0$ be locally A-valid joint tuples on $V$, and suppose
|
| 770 |
+
$V_0$ has exact A agreement with the same twists as $W$. Let
|
| 771 |
+
$p=\dist_V(W,V_0)$ and let $z_A$ be the A-edge conflict fraction of
|
| 772 |
+
$W$, normalized as the probability that a uniform vertex and a
|
| 773 |
+
uniform A label give a conflict. Then
|
| 774 |
+
\begin{equation}\label{oc:near-code-inequality}
|
| 775 |
+
\delta_1p\le z_A+4p^2+\lambda p.
|
| 776 |
+
\end{equation}
|
| 777 |
+
In particular, if $p\le\delta_1/16$, then
|
| 778 |
+
$p\le2z_A/\delta_1$. Both statements hold for every finite tuple
|
| 779 |
+
of A-only and full slots, uniformly in its size. They also hold
|
| 780 |
+
with A and B exchanged.
|
| 781 |
+
\end{lemma}
|
| 782 |
+
|
| 783 |
+
\begin{proof}
|
| 784 |
+
Let $S$ be the joint vertex-disagreement set. At each vertex in $S$,
|
| 785 |
+
local distance gives at least $\delta_1d$ nonzero difference rows.
|
| 786 |
+
For each corresponding label, either the other endpoint also lies
|
| 787 |
+
in $S$, or agreement of $V_0$ forces an actual conflict of $W$.
|
| 788 |
+
Consequently
|
| 789 |
+
\[
|
| 790 |
+
\delta_1p\le z_A+\langle1_S,P_A1_S\rangle
|
| 791 |
+
\le z_A+4p^2+\lambda p,
|
| 792 |
+
\]
|
| 793 |
+
by the four-part mixing bound used above. For
|
| 794 |
+
$p\le\delta_1/16$ and \eqref{oc:lambda-choice},
|
| 795 |
+
$4p+\lambda<\delta_1/2$, giving the stated rearrangement.
|
| 796 |
+
The proof concerns one fixed received word and one joint reference.
|
| 797 |
+
It can be applied to successively larger prefixes of a tuple without
|
| 798 |
+
modifying the received word or accumulating a number-of-prefixes
|
| 799 |
+
loss.
|
| 800 |
+
\end{proof}
|
| 801 |
+
|
| 802 |
+
We also allow a clock or control tuple repeated identically at every
|
| 803 |
+
$k$. For any received tuple, let its distinct-value class proportions
|
| 804 |
+
be $u_j$. Equality across an expanding symmetric A list has probability
|
| 805 |
+
at most
|
| 806 |
+
\begin{equation}\label{oc:clock-gap}
|
| 807 |
+
\sum_j u_j^2+\lambda\left(1-\sum_j u_j^2\right).
|
| 808 |
+
\end{equation}
|
| 809 |
+
This follows by applying the mean-zero bound to each class indicator
|
| 810 |
+
and summing. If the equality rejection is $\eta$, then
|
| 811 |
+
$1-\max_j u_j\le1-\sum_j u_j^2\le\eta/(1-\lambda)$.
|
| 812 |
+
Thus a small rejection fraction implies proximity to one constant
|
| 813 |
+
tuple, irrespective of its bit length.
|
| 814 |
+
|
| 815 |
+
Use unique bit representations of field elements and canonical zero
|
| 816 |
+
padding. At a packed center check parsing, ranges, and padding.
|
| 817 |
+
Replace a malformed symbol by a fixed parsable default when reasoning
|
| 818 |
+
from acceptance. If all checks read from one fixed finite list
|
| 819 |
+
$\Pi$ of permutation addresses, modifying a set of $u|\Gamma|$
|
| 820 |
+
symbols can change their center outcomes on at most
|
| 821 |
+
$|\Pi|u|\Gamma|$ centers, by taking the union of inverse images.
|
| 822 |
+
This applies even when many slots are checked together or branches
|
| 823 |
+
use only subsets of the list. Combining this observation with
|
| 824 |
+
Lemma~\ref{oc:full-proximity}, \eqref{oc:clock-gap}, and the
|
| 825 |
+
duplicated-payload gap of Lemma~\ref{oc:one-axis} gives proximity
|
| 826 |
+
to exact duplicated full encodings and a repeated clock whenever
|
| 827 |
+
the total packed rejection is sufficiently small. Indeed, the
|
| 828 |
+
one-time repair changes only $O(\theta)$ centers and hence leaves
|
| 829 |
+
duplication rejection $O(\theta)$; choose its threshold below the
|
| 830 |
+
fixed exact gap. Any required public range for a corrected clock
|
| 831 |
+
is likewise enforced, since a constant illegal value fails its
|
| 832 |
+
local range test everywhere. These constants may depend on the
|
| 833 |
+
fixed address-list size, but not on the slot count.
|
| 834 |
+
|
| 835 |
+
\begin{theorem}[Outer-code interface]\label{thm:outer-codes}
|
| 836 |
+
There exist fixed constants $d$, $\delta_1>0$, $C_0<\infty$,
|
| 837 |
+
$\lambda>0$, $\theta_{\mathrm{out}}>0$, and $K_{\mathrm{out}}<\infty$, with
|
| 838 |
+
$\lambda\le\min\{(8C_0)^{-1},\delta_1/16\}$, having the following
|
| 839 |
+
uniform properties for every input length $N$ and its padded tape
|
| 840 |
+
length $h=O(N)$, after the fixed padding in \eqref{oc:outer-size}.
|
| 841 |
+
\begin{enumerate}[label=(\roman*)]
|
| 842 |
+
\item The group $\Gamma=\F_2^r\rtimes H$ has
|
| 843 |
+
$|\Gamma|\le M_or^9=O(N\operatorname{polylog} N)$, where $M_o=2^r=O(N)$.
|
| 844 |
+
Its A and B label lists are symmetric, of degree $d$, and have
|
| 845 |
+
mean-zero norm at most $\lambda$. There is a field
|
| 846 |
+
$J=\F_{p^4}$ with $p>M_o>|H|$, $p\equiv1\pmod{M_o}$, and a
|
| 847 |
+
primitive $M_o$-th root $\zeta\in\F_p$. All public group and field
|
| 848 |
+
data and the common scalar check matrices are deterministically
|
| 849 |
+
constructible in polynomial time in $N$, and the data needed at an
|
| 850 |
+
index have $\operatorname{polylog}(N)$ size and Boolean computation cost.
|
| 851 |
+
\item Each of the scalar and three matrix-representation families,
|
| 852 |
+
with either axis independently twisted or untwisted as specified
|
| 853 |
+
in \eqref{oc:matrix-twists}, has the simultaneous systematic
|
| 854 |
+
encoder \eqref{oc:encoder}. Arbitrary systematic rectangle data
|
| 855 |
+
extend uniquely; the A and B extensions commute. Duplicated payload
|
| 856 |
+
encoding is injective, linear, and has rate $1/(4d^2)$ in field
|
| 857 |
+
coordinates. A full slot has $\operatorname{polylog}(N)$ bits per packed site.
|
| 858 |
+
Arbitrary finite tuples reuse the same checks and inverses.
|
| 859 |
+
\item The local distance and tensor-agreement statement of
|
| 860 |
+
Lemma~\ref{oc:local-agreement} holds uniformly in field size and
|
| 861 |
+
joint vector dimension. Local validity, edge agreement, and
|
| 862 |
+
duplicated-payload comparisons have perfect completeness. For
|
| 863 |
+
every finite tuple of full slots, if their joint packed-center
|
| 864 |
+
rejection fraction is $\theta\le\theta_{\mathrm{out}}$, their packed
|
| 865 |
+
distance to a tuple of exact duplicated encodings is at most
|
| 866 |
+
$K_{\mathrm{out}}\theta$. Canonical parsing and a repeated control
|
| 867 |
+
tuple can be included with the same form of conclusion, changing
|
| 868 |
+
only the fixed constants.
|
| 869 |
+
\item The one-axis distance and shared-axis comparison gaps of
|
| 870 |
+
Lemma~\ref{oc:one-axis} hold with $\Delta_A=(\delta_1-\lambda)/4$.
|
| 871 |
+
For every actual and reference joint tuple satisfying the hypotheses
|
| 872 |
+
of Lemma~\ref{oc:near-code},
|
| 873 |
+
$\delta_1p\le z_A+4p^2+\lambda p$ and, when
|
| 874 |
+
$p\le\delta_1/16$, $p\le2z_A/\delta_1$. A-only slots require
|
| 875 |
+
no B constraints for these conclusions. The symmetric B assertions
|
| 876 |
+
hold as well.
|
| 877 |
+
\end{enumerate}
|
| 878 |
+
All constants are independent of $N$ and of the number of later
|
| 879 |
+
program slots. The field search has only $8c_0d_0$ indeterminates,
|
| 880 |
+
at most $26$ parity determinant factors, and total degree less than
|
| 881 |
+
$M_o^3$; in particular it causes no feedback into $C_0$, $\lambda$,
|
| 882 |
+
or $d$.
|
| 883 |
+
\end{theorem}
|
| 884 |
+
|
| 885 |
+
\begin{proof}
|
| 886 |
+
Parts (i) and (ii) follow from Lemmas~\ref{oc:expansion} and
|
| 887 |
+
\ref{oc:systematic}, the field construction, and the coordinate
|
| 888 |
+
count after \eqref{oc:encoder}. Part (iii) is
|
| 889 |
+
Lemma~\ref{oc:local-agreement}, Lemma~\ref{oc:full-proximity}, and
|
| 890 |
+
the parsing and exact-gap argument following \eqref{oc:clock-gap}.
|
| 891 |
+
Decrease $\theta_{\mathrm{out}}$ and increase $K_{\mathrm{out}}$ once to
|
| 892 |
+
cover those fixed costs. Part (iv) is
|
| 893 |
+
Lemmas~\ref{oc:one-axis} and \ref{oc:near-code}. The degree and
|
| 894 |
+
dependency assertions are \eqref{oc:number-variables}--
|
| 895 |
+
\eqref{oc:determinant-degree} and the parameter order fixed in
|
| 896 |
+
\eqref{oc:lambda-choice}. No external local-testability theorem is
|
| 897 |
+
used for these specialized conclusions.
|
| 898 |
+
\end{proof}
|
| 899 |
+
|
| 900 |
+
\subsection{Correction with value-independent uncertainty supports}
|
| 901 |
+
|
| 902 |
+
The next guarantee is stronger than correction of a single fixed
|
| 903 |
+
word. It tracks a set on which values are wholly unspecified, and
|
| 904 |
+
therefore applies to separate bounded-cone simulations with different
|
| 905 |
+
choices on that set.
|
| 906 |
+
|
| 907 |
+
\begin{lemma}[Outer uncertainty shrinkage]\label{lem:outer-uncertainty}
|
| 908 |
+
Fix the data in Theorem~\ref{thm:outer-codes}, and any finite tuple of
|
| 909 |
+
full or A-only slots with their allowed A twists. Optionally include
|
| 910 |
+
a control tuple constant over $\Gamma$ and canonical padding.
|
| 911 |
+
There is a deterministic synchronous local correction map $\mathcal C$
|
| 912 |
+
with the following property. Let $V_0$ be any reference word satisfying
|
| 913 |
+
all A local constraints and A agreements, with constant control and
|
| 914 |
+
canonical parsing. Let $S\subseteq\Gamma$ and let $W$ be any input
|
| 915 |
+
equal to $V_0$ outside $S$, with arbitrary values or malformed symbols
|
| 916 |
+
on $S$. Then $\mathcal C W=V_0$ outside
|
| 917 |
+
\begin{equation}\label{oc:uncertainty-set}
|
| 918 |
+
S'=
|
| 919 |
+
\left\{k:\frac1d\#\{i:a_ik\in S\}\ge\delta_1/2\right\}
|
| 920 |
+
\ \cup\
|
| 921 |
+
\left\{k:\frac1d\#\{i:a_i^{-1}k\in S\}\ge\delta_1/2\right\}.
|
| 922 |
+
\end{equation}
|
| 923 |
+
In particular, $S'$ depends on $S$ alone. If $u=|S|/|\Gamma|<\delta_1/4$,
|
| 924 |
+
then
|
| 925 |
+
\begin{equation}\label{oc:uncertainty-shrink}
|
| 926 |
+
\frac{|S'|}{|\Gamma|}
|
| 927 |
+
\le\frac{2\lambda^2u}{(\delta_1/2-u)^2}\le u/2.
|
| 928 |
+
\end{equation}
|
| 929 |
+
The local map uses a fixed number of permutation addresses and time
|
| 930 |
+
polynomial in the symbol bit length and the public local-parameter
|
| 931 |
+
length, with total default behavior on arbitrary inputs.
|
| 932 |
+
|
| 933 |
+
For every fixed integer $q\ge0$, the $q$-round map has a bounded
|
| 934 |
+
input cone consisting of fixed permutations of its target; the bound
|
| 935 |
+
may depend on $q$ but not on $N$. For an arbitrary initial $S$, the
|
| 936 |
+
recursively defined supports contain the errors simultaneously for
|
| 937 |
+
all completions on $S$. If $|S|/|\Gamma|<\delta_1/4$, their densities
|
| 938 |
+
are at most $2^{-q}|S|/|\Gamma|$ after $q$ rounds. Different target-cone
|
| 939 |
+
simulations may use different such completions, provided each simulation
|
| 940 |
+
assigns one consistent initial value to every address repeated within
|
| 941 |
+
that cone. Under this small-initial-support hypothesis,
|
| 942 |
+
$O(\log|\Gamma|)$ rounds correct the whole word exactly in time
|
| 943 |
+
polynomial in its explicit size and $N$.
|
| 944 |
+
\end{lemma}
|
| 945 |
+
|
| 946 |
+
\begin{proof}
|
| 947 |
+
At a target part $(k,0,t)$, take the row of label $i$ from
|
| 948 |
+
$(a_ik,1,t)$ and apply $\alpha_i^{-1}$. At $(k,1,t)$, take it from
|
| 949 |
+
$(a_i^{-1}k,0,t)$ and apply $\alpha_i$. Combine all other indices
|
| 950 |
+
and all slots into one row-symbol vector. Decode these $d$ row
|
| 951 |
+
suggestions in $C_A^s$ up to strictly fewer than $\delta_1d/2$
|
| 952 |
+
joint row errors. There is at most one such local word by the
|
| 953 |
+
distance in Lemma~\ref{oc:local-agreement}. A total deterministic
|
| 954 |
+
implementation enumerates all subsets $T\subseteq[d]$ with
|
| 955 |
+
$|T|>d-\delta_1d/2$, solves the local scalar constraints together
|
| 956 |
+
with the suggested values on $T$ componentwise, and verifies that
|
| 957 |
+
the candidate has fewer than $\delta_1d/2$ joint row errors.
|
| 958 |
+
Such a puncturing is injective by local distance, so each consistent
|
| 959 |
+
system gives at most one candidate. If the distance promise holds,
|
| 960 |
+
the set of all correct suggestions is one enumerated $T$ and gives
|
| 961 |
+
the required word. Return zero if no candidate passes. Malformed
|
| 962 |
+
neighbor symbols are first replaced by the fixed parsable default.
|
| 963 |
+
Restore each control bit by majority on the forward A-neighbor list,
|
| 964 |
+
with fixed tie behavior, and write canonical padding.
|
| 965 |
+
|
| 966 |
+
If $k\notin S'$, each relevant list contains fewer than
|
| 967 |
+
$\delta_1d/2$ positions of $S$. Every other row suggestion equals
|
| 968 |
+
the corresponding row of $V_0$, by its exact A agreement. Thus the
|
| 969 |
+
local decoder recovers all four reference parts and all slots
|
| 970 |
+
jointly. The same good-neighbor count is strictly below $d/2$, so
|
| 971 |
+
control majorities are also correct. This proves the support
|
| 972 |
+
containment for every assignment of values on $S$.
|
| 973 |
+
|
| 974 |
+
For either forward or inverse averaging operator $P$ on $\Gamma$,
|
| 975 |
+
the mean-zero bound gives
|
| 976 |
+
\[
|
| 977 |
+
\E_k(P1_S(k)-u)^2
|
| 978 |
+
\le\lambda^2u(1-u)\le\lambda^2u.
|
| 979 |
+
\]
|
| 980 |
+
When $u<\delta_1/4$, Chebyshev's inequality at threshold
|
| 981 |
+
$\delta_1/2-u>0$ and a union bound for the two lists prove the first
|
| 982 |
+
inequality in \eqref{oc:uncertainty-shrink}. Its right side is then
|
| 983 |
+
at most $32\lambda^2u/\delta_1^2\le u/2$ by
|
| 984 |
+
\eqref{oc:lambda-choice}.
|
| 985 |
+
|
| 986 |
+
Iterate the deterministic operation on supports in
|
| 987 |
+
\eqref{oc:uncertainty-set}. The preceding reasoning holds for every
|
| 988 |
+
completion at each step, so the same iterated supports contain all
|
| 989 |
+
possible errors. A depth-$q$ dependency cone is obtained by
|
| 990 |
+
composing at most $q$ forward or inverse A moves, with the finite
|
| 991 |
+
part and slot bookkeeping. For fixed $q$ this is a fixed finite
|
| 992 |
+
list of permutations. A consistent assignment to repeated initial
|
| 993 |
+
addresses in one cone extends to a global initial word agreeing
|
| 994 |
+
with $V_0$ outside $S$. Applying the global support statement to
|
| 995 |
+
that extension proves the claimed result for that cone. This
|
| 996 |
+
argument can use a different global extension for each target.
|
| 997 |
+
|
| 998 |
+
Assume now $|S|/|\Gamma|<\delta_1/4$. Every iterated support stays
|
| 999 |
+
in this regime, so its integer cardinality decreases by a factor of
|
| 1000 |
+
at least two while nonempty. More than $\log_2|\Gamma|$ rounds make
|
| 1001 |
+
it zero. Running these rounds synchronously on the complete array
|
| 1002 |
+
uses $O(|\Gamma|\log|\Gamma|)$ local calls, each of polynomial
|
| 1003 |
+
bit complexity as established above. This proves polynomial-time
|
| 1004 |
+
global correction without using the existential greedy repair in
|
| 1005 |
+
Lemma~\ref{oc:full-proximity} as an algorithm.
|
| 1006 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/04-outer-programs.tex
ADDED
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|
| 1 |
+
\section{Certified programs and persistent tape equations}\label{sec:outer-programs}
|
| 2 |
+
|
| 3 |
+
We turn local code constraints into certificates for computations on the
|
| 4 |
+
tape. This section supplies local reversible filling
|
| 5 |
+
(Lemma~\ref{lem:outer-fill}) and a persistent tuple of tape equations
|
| 6 |
+
(Lemma~\ref{lem:outer-wiring}); Section~\ref{sec:outer-representation}
|
| 7 |
+
will assemble them into the evolving representation.
|
| 8 |
+
|
| 9 |
+
We retain the outer notation of Sections~\ref{sec:macrograph} and
|
| 10 |
+
\ref{sec:outer-codes}: $h=2^\ell$, $M_o=2^r$, the odd-characteristic
|
| 11 |
+
field $J$, the group $\Gamma=\mathbb F_2^r\rtimes H$, and coordinates
|
| 12 |
+
$k=(g,u)=(ux,u)$. In particular $r=O(\log N)$,
|
| 13 |
+
$|H|\le r^9$, and a field element has $O(\log N)$ bits.
|
| 14 |
+
All constants and polynomial exponents in this section are fixed
|
| 15 |
+
independently of $N$. The local star degree $d$ is a constant.
|
| 16 |
+
We pack the four parts $(s,t)\in\{0,1\}^2$ at one $k$ into one symbol;
|
| 17 |
+
``part distance'' instead normalizes over the four parts separately.
|
| 18 |
+
These distances differ by at most a factor of four.
|
| 19 |
+
|
| 20 |
+
There are two kinds of storage. A \emph{full slot} has both axis
|
| 21 |
+
constraints and duplicated systematic payload, and thus equals
|
| 22 |
+
$E_{\alpha,\beta}v$ for a unique payload $v:\Gamma\to U$.
|
| 23 |
+
An \emph{A-only scratch slot} has the same local A constraints and
|
| 24 |
+
A-edge agreements, but its other labels and entry coordinates are
|
| 25 |
+
merely vector coordinates: no B condition is imposed. Keeping all
|
| 26 |
+
intermediate certificates, rather than just the values being computed,
|
| 27 |
+
will let us certify a computation at every point of a reversible schedule.
|
| 28 |
+
|
| 29 |
+
\subsection{Full operations and a fixed query list}
|
| 30 |
+
|
| 31 |
+
\begin{definition}[Certified full operation]\label{op:full-operation}
|
| 32 |
+
A full operation specifies parent full slots, a target encoder
|
| 33 |
+
$E_{\mathrm{out}}$, and a local expression $X^{st}_k(i,j)$ in the parents.
|
| 34 |
+
For arbitrary exact duplicated full parents, $X$ must have duplicated
|
| 35 |
+
systematic payload $v$ and satisfy an allowed A-axis constraint system.
|
| 36 |
+
In addition, either its A system is that of the target, or $X$ satisfies
|
| 37 |
+
the target's B system. The required target is $E_{\mathrm{out}}v$.
|
| 38 |
+
Scalar coefficients in linear combinations are identical at every
|
| 39 |
+
index. They may depend on an identical clock and on previously
|
| 40 |
+
certified, completed public address data. The specified covariant
|
| 41 |
+
primitive $W(k)\mapsto W(k)\rho_e(k)$ below may additionally use its
|
| 42 |
+
explicit index-dependent public matrix; it must satisfy the same
|
| 43 |
+
axis-constraint requirements on $X$.
|
| 44 |
+
\end{definition}
|
| 45 |
+
|
| 46 |
+
In the first case compare $X$ and the target on all systematic B columns
|
| 47 |
+
at $t=0$, retaining every entry in each such column at both A parts.
|
| 48 |
+
In the second case compare all systematic A rows at $s=0$, retaining
|
| 49 |
+
their entire rows at both B parts. The one-axis uniqueness and distance
|
| 50 |
+
in Theorem~\ref{thm:outer-codes} give a constant $\gamma_{\mathrm{op}}>0$
|
| 51 |
+
with the following alternative: the required payload identity is true
|
| 52 |
+
and all comparisons hold, or these comparisons fail on at least
|
| 53 |
+
$\gamma_{\mathrm{op}}$ of the centers. Indeed, equality of payloads
|
| 54 |
+
fixes each compared column or row by the shared one-axis extension.
|
| 55 |
+
If a payload differs, at least one compared column or row is a nonzero
|
| 56 |
+
codeword difference for that axis, so its vertex support has constant
|
| 57 |
+
density. The number of labels and parts is fixed. A comparison of
|
| 58 |
+
isolated systematic cells would not have this implication.
|
| 59 |
+
|
| 60 |
+
We use the following full operations, splitting sums into bounded-arity
|
| 61 |
+
stages whenever necessary.
|
| 62 |
+
\begin{enumerate}[label=(\roman*)]
|
| 63 |
+
\item Scalar linear combinations and right pulls
|
| 64 |
+
$R_bF(k)=F(kb)$ share the scalar A system. Elementary pulls are the
|
| 65 |
+
identity, the three first-bit translations $(e_a,1)$, and one-step
|
| 66 |
+
Singer-cycle rotations of each block and their inverses.
|
| 67 |
+
\item A matrix payload can be reencoded while changing only one axis
|
| 68 |
+
type, using the other as the shared axis. Constant linear maps and
|
| 69 |
+
contractions of fully untwisted entry alphabets also give full operations.
|
| 70 |
+
\item To multiply a payload by a one-bit Walsh character, we must also
|
| 71 |
+
certify the resulting full encoding. An index-dependent scalar
|
| 72 |
+
multiplier need not preserve the scalar edge equations. The matrix
|
| 73 |
+
representation supplies a shared-axis route through the twisted types.
|
| 74 |
+
Starting from an untwisted scalar slot $W$, form
|
| 75 |
+
\[
|
| 76 |
+
X^{st}_k(i,j)=W^{st}_k(i,j)\rho_e(k),
|
| 77 |
+
\]
|
| 78 |
+
where $e$ is a distinguished first bit of a block and $\rho_e$ is the
|
| 79 |
+
representation of Section~\ref{sec:outer-codes}. Multiplicativity gives
|
| 80 |
+
\[
|
| 81 |
+
X^{1t}_{a_i k}(i,j)=\rho_e(a_i)X^{0t}_k(i,j),\qquad
|
| 82 |
+
X^{s1}_{k b_j}(i,j)=X^{s0}_k(i,j)\rho_e(b_j).
|
| 83 |
+
\]
|
| 84 |
+
Scalar local checks continue to hold, since the same entry matrix
|
| 85 |
+
multiplies every local scalar. Reencode first with twisted A and
|
| 86 |
+
untwisted B, sharing A, and then with both axes untwisted, sharing B.
|
| 87 |
+
The column of $\rho_e(g,u)$ indexed by $1_H$ has just one nonzero entry,
|
| 88 |
+
in row $u$, equal to
|
| 89 |
+
$(-1)^{(ue)\cdot g}=(-1)^{e\cdot x}$.
|
| 90 |
+
Summing this entry-alphabet column therefore produces the full scalar
|
| 91 |
+
encoding of $(-1)^{e\cdot x}v_W(k)$. The contraction is on entry
|
| 92 |
+
coordinates, not on outer star labels.
|
| 93 |
+
\end{enumerate}
|
| 94 |
+
Every intermediate matrix slot in this construction has a specified
|
| 95 |
+
homogeneous linear payload recipe. An arbitrary multiplier depending
|
| 96 |
+
on one bit, with values $a_0,a_1\in J$, is
|
| 97 |
+
$\frac12(a_0+a_1)I+\frac12(a_0-a_1)M_e$, where
|
| 98 |
+
$M_ef(x,u)=(-1)^{e\cdot x}f(x,u)$ is the corresponding modulation.
|
| 99 |
+
The divisions by two are valid because $J$ has odd characteristic.
|
| 100 |
+
|
| 101 |
+
Right rotations move these operations to any bit in a block. For a
|
| 102 |
+
block rotation $v$ the pull convention gives
|
| 103 |
+
\[
|
| 104 |
+
R_{(0,v)}R_{(e,1)}R_{(0,v^{-1})}=R_{(ve,1)}.
|
| 105 |
+
\]
|
| 106 |
+
Conjugating the modulation in the same way gives the modulation of bit
|
| 107 |
+
$ve$. A power of a rotation is implemented as a sequence of single
|
| 108 |
+
rotations, returning to the original layout after the operation.
|
| 109 |
+
Thus an arbitrary bit operation costs $O(r)$ elementary full stages,
|
| 110 |
+
without introducing new query maps.
|
| 111 |
+
|
| 112 |
+
Fix once and for all a permutation list $\Pi$ containing identity,
|
| 113 |
+
the required forward and inverse A and B neighbor maps, left pulls by
|
| 114 |
+
a fixed generating list of $H$, the elementary right pulls above,
|
| 115 |
+
and right pulls by a fixed generating list of $H$ and its inverses.
|
| 116 |
+
Include any bounded compositions used in a local expression.
|
| 117 |
+
Its cardinality $q=|\Pi|$ is independent of $N$.
|
| 118 |
+
All constraints of all slots are checked together at a center using
|
| 119 |
+
the symbols at $\Pi(k)$. A growing number of slots consequently
|
| 120 |
+
increases local computation and symbol size, but not the number of
|
| 121 |
+
queried positions. In particular a single false exact full operation
|
| 122 |
+
retains the gap $\gamma_{\mathrm{op}}$, rather than having its gap
|
| 123 |
+
divided by the program length.
|
| 124 |
+
|
| 125 |
+
\subsection{Scalar transforms with certified stages}
|
| 126 |
+
|
| 127 |
+
\begin{lemma}[Scalar program library]\label{op:scalar-programs}
|
| 128 |
+
On scalar tables indexed by $x\in\mathbb F_2^r$, the full operations
|
| 129 |
+
above give homogeneous linear programs of $\poly(r)$ stages for:
|
| 130 |
+
bit-conjunction and interval masks; controlled bit flips and bit
|
| 131 |
+
permutations; integer cyclic shifts; discrete Fourier transforms and
|
| 132 |
+
their inverses of lengths $M_o$ and $h$; the Walsh transform; and cyclic
|
| 133 |
+
coefficient multiplication by any systematic Lagrange polynomial
|
| 134 |
+
$L_j$, $0\le j<h$. The last operation is uniform also when $j$ is
|
| 135 |
+
supplied by already identical address bits. All intermediate stages
|
| 136 |
+
are full slots with fixed encoder types and query maps in $\Pi$.
|
| 137 |
+
\end{lemma}
|
| 138 |
+
|
| 139 |
+
\begin{proof}
|
| 140 |
+
A bit-conjunction mask is a product of one-bit masks, applied in
|
| 141 |
+
sequence. For the integer interval $[0,a)$ with $0\le a\le M_o$,
|
| 142 |
+
represent $a$ by $r+1$ public or already identical control bits.
|
| 143 |
+
Use the zero operator for $a=0$ and the identity for $a=M_o$.
|
| 144 |
+
For $0<a<M_o$, use the disjoint prefix rectangles obtained by
|
| 145 |
+
specifying the most significant differing bit: at a position where
|
| 146 |
+
$a$ has bit one, match its more significant bits and require the
|
| 147 |
+
current bit to be zero. There are at most $r$ rectangles.
|
| 148 |
+
More explicitly, writing $a_r$ for the endpoint bit, one fixed
|
| 149 |
+
padded program applies the mask
|
| 150 |
+
\[
|
| 151 |
+
a_r+(1-a_r)\sum_{i=0}^{r-1}a_i\,
|
| 152 |
+
1[x_i=0]\prod_{j=i+1}^{r-1}1[x_j=a_j].
|
| 153 |
+
\]
|
| 154 |
+
All endpoint decisions and rectangle coefficients are identical at
|
| 155 |
+
every index; the program keeps all candidate stages and uses scalar
|
| 156 |
+
coefficient selection, so its topology and polynomial size do not
|
| 157 |
+
depend on $a$. Differences of two such masks give arbitrary intervals.
|
| 158 |
+
|
| 159 |
+
Let $m$ be the indicator of a conjunction not involving bit $i$.
|
| 160 |
+
The pullback of the permutation that flips bit $i$ precisely when
|
| 161 |
+
$m=1$ is
|
| 162 |
+
\begin{equation}\label{op:controlled-flip}
|
| 163 |
+
f-mf+R_{(e_i,1)}(mf).
|
| 164 |
+
\end{equation}
|
| 165 |
+
To verify this, if $m(x)=0$ then $m(x+e_i)=0$, and the result is $f(x)$;
|
| 166 |
+
if $m(x)=1$ then $m(x+e_i)=1$, and the result is $f(x+e_i)$.
|
| 167 |
+
The independence of $m$ from the flipped bit is essential here.
|
| 168 |
+
Three controlled XOR operations exchange two index bits, so they
|
| 169 |
+
implement bit reversal and any prescribed bit permutation.
|
| 170 |
+
|
| 171 |
+
For an integer subtraction of $2^j$ modulo $2^r$, flip bit $i>j$
|
| 172 |
+
when the original bits $j,\ldots,i-1$ are all zero, and flip bit $j$
|
| 173 |
+
unconditionally. Process the higher bits in descending order;
|
| 174 |
+
then none of the bits used by a condition has yet changed.
|
| 175 |
+
The addition rule uses ones instead of zeros. Pullbacks reverse the
|
| 176 |
+
chronological composition of index permutations: thus the table
|
| 177 |
+
stages apply these borrow gates in ascending bit order, the reverse
|
| 178 |
+
of their descending index-permutation order. This implements the
|
| 179 |
+
desired cyclic table shift. A conjunction uses $O(r)$ bit
|
| 180 |
+
operations, so this procedure is polynomial in $r$.
|
| 181 |
+
|
| 182 |
+
For the Fourier transform we realize the radix-two Cooley--Tukey
|
| 183 |
+
decomposition~\cite[pp.~299--300]{CooleyTukey1965} by the certified full
|
| 184 |
+
operations above. Let $D=2^v\in\{h,M_o\}$ and let
|
| 185 |
+
$\xi=\zeta^{M_o/D}$ have order $D$.
|
| 186 |
+
The transform acts on the low $v$ integer bits, independently within
|
| 187 |
+
each block of fixed higher bits, and is
|
| 188 |
+
\begin{equation}\label{op:dft}
|
| 189 |
+
\mathcal F_D(f)(y)=\sum_{z=0}^{D-1}\xi^{yz}f(z).
|
| 190 |
+
\end{equation}
|
| 191 |
+
First reverse these $v$ bits. At level $j$, pair positions separated
|
| 192 |
+
by XOR of bit $j-1$ in each aligned window of length $2^j$.
|
| 193 |
+
Writing $a<2^{j-1}$ for the offset and $U,V$ for the lower and upper
|
| 194 |
+
entries, replace the pair by
|
| 195 |
+
\begin{equation}\label{op:butterfly}
|
| 196 |
+
U+\xi^{aD/2^j}V,\qquad U-\xi^{aD/2^j}V.
|
| 197 |
+
\end{equation}
|
| 198 |
+
The factor is a product of one-bit factors, since if
|
| 199 |
+
$a=\sum_{i<j-1}2^ia_i$, then
|
| 200 |
+
$\xi^{aD/2^j}=\prod_{i<j-1}(\xi^{2^iD/2^j})^{a_i}$.
|
| 201 |
+
Half-window masks, the bit pull, these factors, and addition implement
|
| 202 |
+
the displayed rule. The identity
|
| 203 |
+
\[
|
| 204 |
+
\sum_{z=0}^{D-1}\xi^{yz}f(z)
|
| 205 |
+
=\sum_{z=0}^{D/2-1}(\xi^2)^{yz}f(2z)
|
| 206 |
+
+\xi^y\sum_{z=0}^{D/2-1}(\xi^2)^{yz}f(2z+1)
|
| 207 |
+
\]
|
| 208 |
+
proves the algorithm by induction, with bit reversal placing the
|
| 209 |
+
recursive even and odd subproblems in the required order. More
|
| 210 |
+
explicitly, if $\operatorname{rev}_a$ reverses $a$ bits, after level
|
| 211 |
+
$j$ the entry at $b2^j+y$, $0\le y<2^j$, is
|
| 212 |
+
\[
|
| 213 |
+
\sum_{z=0}^{2^j-1}(\xi^{D/2^j})^{yz}
|
| 214 |
+
f\bigl(\operatorname{rev}_{v-j}(b)+2^{v-j}z\bigr).
|
| 215 |
+
\]
|
| 216 |
+
The level-$j$ butterfly combines the even and odd values of $z$ in
|
| 217 |
+
the level-$(j-1)$ formula, proving this invariant from the bit-reversed
|
| 218 |
+
input at level zero; at level $v$ it is \eqref{op:dft}.
|
| 219 |
+
Using $\xi^{-1}$ and multiplying by $D^{-1}$ gives the inverse:
|
| 220 |
+
$\sum_{y=0}^{D-1}\xi^{y(z-z')}=D\,1[z=z']$.
|
| 221 |
+
Without initial bit reversal, apply the sum/difference butterflies
|
| 222 |
+
directly to the input table, one coordinate bit at a time, and use
|
| 223 |
+
no twiddle factors. This gives
|
| 224 |
+
\begin{equation}\label{op:walsh}
|
| 225 |
+
\mathcal W(f)(x)=\sum_y(-1)^{x\cdot y}f(y).
|
| 226 |
+
\end{equation}
|
| 227 |
+
They can be applied on all $r$ bits or just a specified block.
|
| 228 |
+
The Walsh inverse is $M_o^{-1}\mathcal W$ when all bits are used.
|
| 229 |
+
|
| 230 |
+
Finally set $\omega=\zeta^{M_o/h}$ and
|
| 231 |
+
\begin{equation}\label{op:lagrange}
|
| 232 |
+
L_j(Z)=h^{-1}\sum_{a=0}^{h-1}\omega^{-ja}Z^a.
|
| 233 |
+
\end{equation}
|
| 234 |
+
The root sum just used gives $L_j(\omega^i)=1[i=j]$.
|
| 235 |
+
For a length-$M_o$ coefficient table $F$, cyclic multiplication by
|
| 236 |
+
$L_j$ has coefficient at $w$ equal to
|
| 237 |
+
\begin{equation}\label{op:lagrange-convolution}
|
| 238 |
+
h^{-1}\omega^{-jw}\sum_{a=0}^{h-1}F_{w-a}\omega^{j(w-a)},
|
| 239 |
+
\end{equation}
|
| 240 |
+
with subscripts modulo $M_o$. The powers are well defined under
|
| 241 |
+
cyclic indexing because $h\mid M_o$. Each of the two diagonal
|
| 242 |
+
factors splits over the bits of $w$ and has coefficients computable
|
| 243 |
+
from $j$. If $T_bf(w)=f(w-b\bmod M_o)$, the middle window sum is
|
| 244 |
+
\[
|
| 245 |
+
\prod_{i=0}^{\ell-1}(I+T_{2^i}).
|
| 246 |
+
\]
|
| 247 |
+
Every integer in $[0,h)$ has a unique binary expansion, proving this
|
| 248 |
+
identity. The previously constructed shifts implement it.
|
| 249 |
+
When $\deg(F L_j)<M_o$, cyclic and ordinary multiplication coincide;
|
| 250 |
+
we impose this degree bound at every ordinary-product use.
|
| 251 |
+
|
| 252 |
+
For clarity, crude stage bounds suffice: a bit operation uses $O(r)$
|
| 253 |
+
elementary stages, a conjunction $O(r^2)$, a carry shift $O(r^3)$,
|
| 254 |
+
and the window product $O(r^4)$. The Fourier, Walsh, and range-mask
|
| 255 |
+
constructions also fit a fixed polynomial bound. Coefficient
|
| 256 |
+
calculation, layout descriptions and every elementary local operation
|
| 257 |
+
use polynomially many bit operations in $r$. Padding unused steps
|
| 258 |
+
with zero or identity operations makes all lengths independent of
|
| 259 |
+
the particular control or address values.
|
| 260 |
+
\end{proof}
|
| 261 |
+
|
| 262 |
+
\subsection{Triangular A-only certificates}
|
| 263 |
+
|
| 264 |
+
An A-only program starts from A-coded public constants or a local
|
| 265 |
+
expression $X$ from Definition~\ref{op:full-operation}. It forms
|
| 266 |
+
identical-coefficient linear combinations and right pulls of earlier
|
| 267 |
+
slots having the same A twist. Right pulls commute with left
|
| 268 |
+
translations and constant entry twists, and therefore preserve A
|
| 269 |
+
constraints. A fixed generating list of $H$ suffices to compute all
|
| 270 |
+
desired right-$H$ pulls through stored paths in its Cayley graph.
|
| 271 |
+
Each path has length at most $|H|-1$ after removing repetitions.
|
| 272 |
+
Arbitrary bit pulls use the rotation sequences already described.
|
| 273 |
+
The number of stored stages is polynomial in $r$, while all recurrence
|
| 274 |
+
queries still belong to $\Pi$.
|
| 275 |
+
|
| 276 |
+
At a fixed clock value, the initialized slots form triangular prefixes
|
| 277 |
+
and satisfy their recurrences; every other scratch slot is zero.
|
| 278 |
+
Filling one next stage evaluates its recurrence locally. Erasing in
|
| 279 |
+
reverse order replaces that stage by zero while its parents are still
|
| 280 |
+
available. Each step changes one designated slot or fixed family of
|
| 281 |
+
slots, with the same definition of every retained slot.
|
| 282 |
+
|
| 283 |
+
\begin{lemma}[Simultaneous scratch restoration]\label{op:scratch-restoration}
|
| 284 |
+
Suppose all scratch recurrences at a legal repeated clock are
|
| 285 |
+
triangular and their references, on arbitrary exact duplicated full
|
| 286 |
+
parents, satisfy their assigned A constraints. Public address-focus
|
| 287 |
+
recurrences precede every recurrence using the resulting coefficients.
|
| 288 |
+
There exist constants $C_{\mathrm{sc}}$ and $\theta_{\mathrm{sc}}>0$,
|
| 289 |
+
independent of the number of stages, slots and entry coordinates,
|
| 290 |
+
with the following property. If the packed parsing, clock, full-code,
|
| 291 |
+
duplication, scratch local-code, scratch-edge, recurrence and inactive-zero
|
| 292 |
+
tests reject on a fraction $\theta<\theta_{\mathrm{sc}}$ of centers,
|
| 293 |
+
then after one preprocessing of the parsing, clock and full slots,
|
| 294 |
+
all scratch can be replaced simultaneously by its exact triangular
|
| 295 |
+
reference at total symbol cost at most $C_{\mathrm{sc}}\theta$.
|
| 296 |
+
The references are taken on the corrected full parents; those parents
|
| 297 |
+
need not yet satisfy their advertised payload-operation identities.
|
| 298 |
+
\end{lemma}
|
| 299 |
+
|
| 300 |
+
\begin{proof}
|
| 301 |
+
Theorem~\ref{thm:outer-codes} first repairs parsing, repetition and
|
| 302 |
+
full codes at $O(\theta)$ symbol cost. A repeated illegal clock is
|
| 303 |
+
excluded by its range test. The full-code duplication gap then
|
| 304 |
+
excludes any failure of duplicated payload, for small enough $\theta$.
|
| 305 |
+
Replace all locally A-invalid scratch parts by zero. This is one
|
| 306 |
+
further packed $O(\theta)$ change. Call the resulting word $W$, and
|
| 307 |
+
\emph{keep this word fixed throughout the following induction}.
|
| 308 |
+
|
| 309 |
+
If preprocessing changed at most $C_{\mathrm{pre}}\theta$ packed
|
| 310 |
+
sites, any test using $\Pi$ can change its outcome only on their
|
| 311 |
+
$q$ inverse images. After harmless fixed conversions of edge and
|
| 312 |
+
part normalizations there are constants $C_z,C_r$ such that
|
| 313 |
+
\begin{equation}\label{op:fixed-word-invariant}
|
| 314 |
+
z_A(W)\le C_z\theta,\qquad
|
| 315 |
+
\Pr[\text{some scratch recurrence or inactive-zero test fails on }W]
|
| 316 |
+
\le C_r\theta.
|
| 317 |
+
\end{equation}
|
| 318 |
+
One can use constant multiples of $1+qC_{\mathrm{pre}}$ for both
|
| 319 |
+
constants. These bounds concern the \emph{entire} packed scratch
|
| 320 |
+
tuple, so they contain no slot-count factor.
|
| 321 |
+
|
| 322 |
+
Order all initialized families topologically, putting public focus
|
| 323 |
+
first, and include the inactive-zero families with their zero
|
| 324 |
+
references. Let $V_j$ be the exact reference of the first $j$ families
|
| 325 |
+
on the corrected full parents and legal clock, and let $p_j$ be the
|
| 326 |
+
joint part distance from the corresponding prefix of $W$ to $V_j$.
|
| 327 |
+
The empty prefix has $p_0=0$. The full parents may have incorrect
|
| 328 |
+
advertised identities, but are A-coded; every allowed initial $X$
|
| 329 |
+
is A-coded on such parents. Right pulls and identical coefficients
|
| 330 |
+
preserve this property. Public focus begins with hardwired correct
|
| 331 |
+
constant encodings and the identical clock. Its completed reference
|
| 332 |
+
supplies globally identical coefficients to subsequent recurrences.
|
| 333 |
+
Consequently every $V_j$ is exactly A-coded.
|
| 334 |
+
|
| 335 |
+
An error in the new family occurs only at a recurrence-failure center
|
| 336 |
+
or at a center reading an erroneous earlier part. A joint part-error
|
| 337 |
+
set of density $p_j$ occupies at most $4p_j$ of the packed sites.
|
| 338 |
+
Taking a union over the $q$ maps, and retaining the old prefix, gives
|
| 339 |
+
\begin{equation}\label{op:prefix-provisional}
|
| 340 |
+
p_{j+1}\le C_r\theta+(1+4q)p_j.
|
| 341 |
+
\end{equation}
|
| 342 |
+
This remains true when a recurrence reads all earlier slots or types
|
| 343 |
+
at one of those sites: the error event is already joint.
|
| 344 |
+
Put $K=2C_z/\delta_1$ and choose $\theta_{\mathrm{sc}}$ so small that
|
| 345 |
+
\begin{equation}\label{op:scratch-smallness}
|
| 346 |
+
(C_r+(1+4q)K)\theta_{\mathrm{sc}}<\delta_1/16.
|
| 347 |
+
\end{equation}
|
| 348 |
+
If $p_j\le K\theta$, the provisional estimate is in the small-error
|
| 349 |
+
range of the A near-code inequality of Theorem~\ref{thm:outer-codes}.
|
| 350 |
+
Apply that inequality to the \emph{same fixed word} $W$, restricted
|
| 351 |
+
to the enlarged tuple, and to $V_{j+1}$:
|
| 352 |
+
\[
|
| 353 |
+
\delta_1p_{j+1}
|
| 354 |
+
\le z_A(W|_{j+1})+4p_{j+1}^2+\lambda p_{j+1}.
|
| 355 |
+
\]
|
| 356 |
+
The conflict count of a prefix is at most that of the whole tuple.
|
| 357 |
+
Since $\lambda\le\delta_1/8$ and $p_{j+1}<\delta_1/16$, this implies
|
| 358 |
+
\[
|
| 359 |
+
p_{j+1}\le 2z_A(W)/\delta_1\le K\theta.
|
| 360 |
+
\]
|
| 361 |
+
Induction proves this bound for the complete scratch tuple.
|
| 362 |
+
It resets an \emph{estimate}, without making successive word repairs.
|
| 363 |
+
Only now replace the whole scratch tuple by its reference, at symbol
|
| 364 |
+
cost at most $4K\theta$. The common scalar local checks act on joint
|
| 365 |
+
vectors, and the finitely many twist types act by a block-diagonal
|
| 366 |
+
invertible map; the near-code estimate is therefore valid in exactly
|
| 367 |
+
this joint metric. Together with preprocessing this proves the lemma.
|
| 368 |
+
\end{proof}
|
| 369 |
+
|
| 370 |
+
\subsection{Mode-serial filling of a full slot}
|
| 371 |
+
|
| 372 |
+
The target must remain a full codeword while it is being filled, even
|
| 373 |
+
though its final value can depend on the parents at every index. We use
|
| 374 |
+
a sequence of frequency cutoffs that commute with the encoder. Each
|
| 375 |
+
increment is supported on one $H$-orbit, so its encoded contribution
|
| 376 |
+
can be computed from a polylogarithmic list of coefficients gathered
|
| 377 |
+
locally. A completed certificate for the old cutoff is retained until
|
| 378 |
+
the next cutoff and its increment have both been prepared.
|
| 379 |
+
|
| 380 |
+
Retaining the completed target while reversing its auxiliary computation
|
| 381 |
+
follows the reversible-cleanup principle of Bennett~\cite[pp.~525--526]{Bennett1973}.
|
| 382 |
+
The two-buffer schedule, local transitions, and certification guarantees
|
| 383 |
+
needed here are established in the following proof.
|
| 384 |
+
|
| 385 |
+
\begin{lemma}[Local reversible filling]\label{lem:outer-fill}
|
| 386 |
+
For every full operation in Definition~\ref{op:full-operation}, there
|
| 387 |
+
is a canonical reversible schedule from zero target and zero temporary
|
| 388 |
+
scratch to its required full target and zero temporary scratch.
|
| 389 |
+
Parents and all coefficient data remain fixed throughout. The schedule
|
| 390 |
+
has $O(M_o\poly(r))$ steps, a $\poly(r)$-bit local symbol and local
|
| 391 |
+
algorithm, and an $O(\log M_o+\log\poly(r))$-bit microclock.
|
| 392 |
+
Its checks and both local transition directions use only $\Pi$.
|
| 393 |
+
At each clock location the target is a specified full encoding and
|
| 394 |
+
all scratch consists of specified initialized prefixes. After
|
| 395 |
+
simultaneous scratch restoration, failure of the required target
|
| 396 |
+
identity has a constant center gap. Each reference scratch slot
|
| 397 |
+
satisfies its A constraints, even when its full parents have not yet
|
| 398 |
+
been shown to satisfy their advertised payload identities.
|
| 399 |
+
\end{lemma}
|
| 400 |
+
|
| 401 |
+
\begin{proof}
|
| 402 |
+
Write the operation's local expression as $X$ and its duplicated
|
| 403 |
+
systematic payload as $v$. For each label, part and entry coordinate
|
| 404 |
+
expand in the $x$ variable:
|
| 405 |
+
\[
|
| 406 |
+
X(x,u)=\sum_{\nu\in\mathbb F_2^r}\widehat X_\nu(u)(-1)^{x\cdot\nu},
|
| 407 |
+
\qquad
|
| 408 |
+
\widehat X_\nu(u)=M_o^{-1}\sum_xX(x,u)(-1)^{x\cdot\nu}.
|
| 409 |
+
\]
|
| 410 |
+
For $0\le\tau\le M_o$ define a Fourier multiplier $P_\tau$ by
|
| 411 |
+
\begin{equation}\label{op:cutoff}
|
| 412 |
+
w_\tau(\nu)=|H|^{-1}\sum_{a\in H}
|
| 413 |
+
1[\underline{a^{-1}\nu}<\tau].
|
| 414 |
+
\end{equation}
|
| 415 |
+
Thus $P_0=0$ and $P_{M_o}=I$. The inverses of $|H|$ and $M_o$
|
| 416 |
+
exist in $J$. The multipliers are constant on frequency orbits of
|
| 417 |
+
$H$; they are not asserted to be projections.
|
| 418 |
+
|
| 419 |
+
Here is the required commutation in detail. A left pull by $(w,a)$
|
| 420 |
+
sends $(x,u)$ to $(x+u^{-1}a^{-1}w,au)$, so it preserves each
|
| 421 |
+
frequency, changing its coefficient by a known sign and an $H$-index
|
| 422 |
+
permutation. A right pull sends $(x,u)$ to
|
| 423 |
+
$(a^{-1}(x+w),ua)$, carrying a frequency $\nu$ to $a\nu$, with
|
| 424 |
+
sign $(-1)^{w\cdot a\nu}$. Hence $P_\tau$ commutes with both pulls.
|
| 425 |
+
The constant entry twists act on a different coordinate and also
|
| 426 |
+
commute. Every parity operator and every systematic injection thus
|
| 427 |
+
intertwines $P_\tau$ on its domain and codomain. If an invertible
|
| 428 |
+
parity operator $T$ satisfies $TP_\tau=P_\tau T$, then its inverse
|
| 429 |
+
does too, by multiplication by $T^{-1}$ on both sides. Applying the
|
| 430 |
+
two one-axis extensions gives
|
| 431 |
+
\begin{equation}\label{op:cutoff-extension}
|
| 432 |
+
P_\tau E_{\mathrm{out}}v
|
| 433 |
+
=E_{\mathrm{out}}(P_\tau v).
|
| 434 |
+
\end{equation}
|
| 435 |
+
No commutation with a preliminary index-dependent operation such as
|
| 436 |
+
$W(k)\mapsto W(k)\rho_e(k)$ is needed: $P_\tau$ is applied to its
|
| 437 |
+
already formed expression $X$.
|
| 438 |
+
|
| 439 |
+
The mode-bit selector
|
| 440 |
+
\begin{equation}\label{op:mode-selector}
|
| 441 |
+
\frac{I+(-1)^bR_{(e_i,1)}}2
|
| 442 |
+
\end{equation}
|
| 443 |
+
retains precisely those frequencies with $\nu_i=b$.
|
| 444 |
+
For each $a\in H$, decompose
|
| 445 |
+
$\underline{a^{-1}\nu}<\tau$ into at most $r$ disjoint prefix
|
| 446 |
+
rectangles and multiply their selectors. Sum over rectangles and
|
| 447 |
+
average over $a$. This gives an A-only program computing $P_\tau X$
|
| 448 |
+
with $\poly(r)$ stages. Include all candidate rectangles and use
|
| 449 |
+
coefficient bits from the microclock, so topology and length are fixed.
|
| 450 |
+
The case $\tau=M_o$ uses the identity with the same padding.
|
| 451 |
+
All selectors use the elementary pull list via stored bit alignments.
|
| 452 |
+
|
| 453 |
+
The partial target at cutoff $\tau$ is
|
| 454 |
+
$Y_\tau=E_{\mathrm{out}}(P_\tau v)$.
|
| 455 |
+
Compare it with the completed cutoff program using the shared-axis
|
| 456 |
+
test of Definition~\ref{op:full-operation}. In the shared-B case,
|
| 457 |
+
intermediate scratch is only A-coded. The test's justification is
|
| 458 |
+
made \emph{after} Lemma~\ref{op:scratch-restoration}: the completed
|
| 459 |
+
reference is then exactly $P_\tau X$, which satisfies the target's
|
| 460 |
+
B constraints by the commutation above. One may now use B distance
|
| 461 |
+
on its whole systematic A rows. This argument neither assumes nor
|
| 462 |
+
tests B validity of unfinished scratch. The shared-A case uses the
|
| 463 |
+
analogous columns. Thus equality of the required payload suffices,
|
| 464 |
+
and its failure has the same constant gap at every cutoff.
|
| 465 |
+
|
| 466 |
+
It remains to compute a cutoff increment locally. Let $a_\tau$ be
|
| 467 |
+
the bit vector for the integer $\tau<M_o$, and set $O=Ha_\tau$.
|
| 468 |
+
The increment multiplier is zero outside $O$ and, for $\nu\in O$, is
|
| 469 |
+
\begin{equation}\label{op:orbit-weight}
|
| 470 |
+
(w_{\tau+1}-w_\tau)(\nu)
|
| 471 |
+
=\frac{\#\{a\in H:aa_\tau=\nu\}}{|H|}
|
| 472 |
+
=\frac1{|O|}.
|
| 473 |
+
\end{equation}
|
| 474 |
+
For each $\nu$ in the fixed-length list $(aa_\tau)_{a\in H}$,
|
| 475 |
+
apply all $r$ mode selectors to $X$. Repetitions are harmless.
|
| 476 |
+
The resulting pure-mode slot is
|
| 477 |
+
$X_\nu(x,u)=(-1)^{x\cdot\nu}\widehat X_\nu(u)$.
|
| 478 |
+
Also store each right pull $R_{(0,b)}X_\nu$, $b\in H$, through
|
| 479 |
+
generator paths and their intermediate stages. At the current
|
| 480 |
+
$k=(x,u)$ its systematic payload is
|
| 481 |
+
\begin{equation}\label{op:orbit-focus}
|
| 482 |
+
(-1)^{(b^{-1}x)\cdot\nu}\widehat v_\nu(ub).
|
| 483 |
+
\end{equation}
|
| 484 |
+
For any desired $u'\in H$, take $b=u^{-1}u'$ and remove the displayed
|
| 485 |
+
known sign. One symbol now contains every coefficient
|
| 486 |
+
$\widehat v_\nu(u')$ for $\nu\in O$ and every $u'\in H$.
|
| 487 |
+
These are read from locally stored pull slots, not from remote global
|
| 488 |
+
payload positions.
|
| 489 |
+
|
| 490 |
+
We can apply $E_{\mathrm{out}}$ to this coefficient list locally.
|
| 491 |
+
Remark~\ref{oc:orbit-invariance} supplies the inverse of each one-axis
|
| 492 |
+
parity system on the $O$-frequency subspace: both this subspace and its
|
| 493 |
+
complement are invariant, and the restricted domain and codomain have
|
| 494 |
+
equal dimensions. Here its Fourier coordinates are indexed by frequency,
|
| 495 |
+
$H$, labels, parts and entry coordinates, so the restricted dimension is
|
| 496 |
+
at most
|
| 497 |
+
\begin{equation}\label{op:orbit-dimension}
|
| 498 |
+
C|O|\,|H|\,\dim_J U\le C|H|^4=\poly(r),
|
| 499 |
+
\end{equation}
|
| 500 |
+
where $C$ depends only on the fixed labels, and
|
| 501 |
+
$\dim_JU\le |H|^2$. Form its entries using the explicit pulls and
|
| 502 |
+
Walsh signs, solve the two successive axis systems by Gaussian
|
| 503 |
+
elimination, and sum the output modes at $x$. Together with
|
| 504 |
+
\eqref{op:orbit-weight}, this computes every local entry of
|
| 505 |
+
\[
|
| 506 |
+
E_{\mathrm{out}}((P_{\tau+1}-P_\tau)v).
|
| 507 |
+
\]
|
| 508 |
+
Matrix assembly, elimination and field arithmetic take $\poly(r)$
|
| 509 |
+
bit operations. Canonical parsing and fixed defaults on malformed
|
| 510 |
+
values, illegal clocks or failed pivots make the local algorithm total;
|
| 511 |
+
on the promised data the prescribed matrices are invertible.
|
| 512 |
+
|
| 513 |
+
Use two cutoff-program buffers and one orbit-focus buffer.
|
| 514 |
+
Initially the target and all three buffers are zero.
|
| 515 |
+
At iteration $\tau$ keep the completed buffer for cutoff $\tau$
|
| 516 |
+
when $\tau>0$, and compare the target with it; at $\tau=0$ compare
|
| 517 |
+
the entire target with zero. In the other, empty buffer fill the
|
| 518 |
+
cutoff-$\tau+1$ program in dependency order, and fill the orbit focus
|
| 519 |
+
in dependency order. With both complete, perform one pivot adding
|
| 520 |
+
the local encoded increment to the target. Its required comparison
|
| 521 |
+
now uses the completed cutoff-$\tau+1$ buffer. Erase focus in reverse
|
| 522 |
+
order and erase the old cutoff buffer in reverse order when present.
|
| 523 |
+
Swap the buffer roles, determined by the iteration parity.
|
| 524 |
+
At cutoff $M_o$, compare the target directly with $X$ while erasing
|
| 525 |
+
the final cutoff buffer. This finishes with the full desired target
|
| 526 |
+
and zero temporary scratch.
|
| 527 |
+
|
| 528 |
+
At every clock value enforce the full-code and duplication constraints
|
| 529 |
+
of the target, all initialized-prefix recurrences, inactive zeros,
|
| 530 |
+
and the stated comparison. While a new proof is being prepared, a
|
| 531 |
+
completed old proof remains available. At a pivot both the next
|
| 532 |
+
proof and the increment focus are complete. In reverse traversal,
|
| 533 |
+
erased prefixes are first reconstructed in forward dependency order,
|
| 534 |
+
so the reverse pivot subtracts the same locally available increment.
|
| 535 |
+
Thus both directions are local, mutually inverse on canonical data,
|
| 536 |
+
and never use a partial certificate as a completed one.
|
| 537 |
+
|
| 538 |
+
For the size bound, each cutoff program uses at most
|
| 539 |
+
$O(|H|r^3)$ elementary stages up to fixed padding factors.
|
| 540 |
+
The orbit selectors and all right-$H$ paths use at most
|
| 541 |
+
$O(|H|r^2+|H|^3)$ such stages, with a polynomial allowance for
|
| 542 |
+
metadata. Even a bound $O(r^{30})$ for both programs and their
|
| 543 |
+
descriptions suffices. Each entry alphabet has at most $r^{18}$
|
| 544 |
+
field coordinates, each of $O(r)$ bits. The two reused buffers
|
| 545 |
+
therefore have $\poly(r)$ bits per index. There are $M_o$ iterations
|
| 546 |
+
of a common polynomial sublength, with a special initial omission
|
| 547 |
+
and final erasure; their location is decoded by arithmetic on a
|
| 548 |
+
logarithmic microclock. No local step loops over all $M_o$ modes.
|
| 549 |
+
The different cutoffs reuse the same zeroed buffers and do not
|
| 550 |
+
contribute a factor $M_o$ to the word length. Separate buffers for
|
| 551 |
+
the finitely many required A types keep every slot's type fixed.
|
| 552 |
+
These observations prove all bounds and claims of the lemma.
|
| 553 |
+
\end{proof}
|
| 554 |
+
|
| 555 |
+
\subsection{From sparse tape wiring to row systems}
|
| 556 |
+
|
| 557 |
+
We next construct a persistent tuple $P(b)$ independent of the clock
|
| 558 |
+
frame, where $b$ comprises the four tape-content and occupation arrays.
|
| 559 |
+
Its canonical formulas are defined for every $b\in J^{4h}$; Boolean
|
| 560 |
+
and phase-validity tests are additional conditions.
|
| 561 |
+
Testing a uniformly chosen tape row would not detect one false row with
|
| 562 |
+
constant probability. Instead we interpolate the row data, certify the
|
| 563 |
+
required products, and encode the remainder of each row-equation
|
| 564 |
+
polynomial modulo $Z^h-1$. A single false row makes that remainder
|
| 565 |
+
nonzero; comparing its full encoding with zero then has the code's
|
| 566 |
+
constant gap. The tuple retains the intermediate linear computations
|
| 567 |
+
needed to perform these checks at every frame.
|
| 568 |
+
|
| 569 |
+
\begin{lemma}[Persistent wiring and certification]\label{lem:outer-wiring}
|
| 570 |
+
There are $\poly(r)$ persistent full slots $P(b)$, with polynomial
|
| 571 |
+
canonical payload formulas in $b\in J^{4h}$, and packed local tests
|
| 572 |
+
using $\Pi$, with the following properties.
|
| 573 |
+
\begin{enumerate}[label=(\roman*)]
|
| 574 |
+
\item Structural tests uniquely determine $P(b)$ from its four logical
|
| 575 |
+
arrays. Each variable factor array is a fixed permutation of one
|
| 576 |
+
logical array; a one-address logical edit changes that factor at at
|
| 577 |
+
most one publicly determined address.
|
| 578 |
+
\item Each primary has assigned logical degree at most a fixed $d_2$.
|
| 579 |
+
Every other persistent slot has a homogeneous linear recipe on the
|
| 580 |
+
primaries, including all intermediate matrix reencodings and all
|
| 581 |
+
phase-specific computations. Its assigned logical degree can be
|
| 582 |
+
the maximum degree of its primary inputs.
|
| 583 |
+
\item There are persistent full encodings of
|
| 584 |
+
\begin{equation}\label{op:address-transform}
|
| 585 |
+
U_D(x)=\sum_{j=0}^{h-1}(-1)^{x\cdot j}D_j
|
| 586 |
+
\end{equation}
|
| 587 |
+
for every needed logical singleton $D$, where $j$ denotes its padded
|
| 588 |
+
$r$-bit vector. Its Walsh coefficient at $j<h$ is exactly $D_j$.
|
| 589 |
+
\item Conditional on exact duplicated full codes and a legal repeated
|
| 590 |
+
clock, either all structural formulas hold and $b$ is a valid
|
| 591 |
+
Boolean macrovertex at that clock, or one packed test rejects on
|
| 592 |
+
at least a fixed fraction $\gamma_{\mathrm{per}}>0$ of centers.
|
| 593 |
+
The same alternative without the macro-validity conclusion holds
|
| 594 |
+
if only structural tests are imposed.
|
| 595 |
+
\end{enumerate}
|
| 596 |
+
The canonical tuple and public data are deterministically constructible
|
| 597 |
+
in $\poly(N)$ time. The number of field coordinates, public local
|
| 598 |
+
parameters and bit operations at one index is $\poly(r)$.
|
| 599 |
+
\end{lemma}
|
| 600 |
+
|
| 601 |
+
\begin{proof}
|
| 602 |
+
\paragraph{Sparse row equations.}
|
| 603 |
+
Use the normalization in Lemma~\ref{lem:macrograph}.
|
| 604 |
+
The Boolean tests for the four arrays are $z(z-1)=0$ at each row,
|
| 605 |
+
and content must vanish where occupation is zero, by $a(1-e)=0$.
|
| 606 |
+
For occupation in a prescribed order $\pi$, impose
|
| 607 |
+
\[
|
| 608 |
+
e_{\pi(i+1)}(1-e_{\pi(i)})=0\quad(0\le i<h-1).
|
| 609 |
+
\]
|
| 610 |
+
Together with Booleanity, these equations say that occupied positions
|
| 611 |
+
form a prefix. Its desired length is imposed separately by its
|
| 612 |
+
integer count. Full occupation may instead be imposed row by row.
|
| 613 |
+
Fixed gate truth tables have multilinear representing polynomials
|
| 614 |
+
over $J$: for a Boolean input $a\in\{0,1\}^m$ its indicator is
|
| 615 |
+
$\prod_{i:a_i=1}z_i\prod_{i:a_i=0}(1-z_i)$, so summing the indicators
|
| 616 |
+
weighted by the truth-table values gives the desired polynomial.
|
| 617 |
+
The arity is fixed. Gate, input-copy, designated-comparison, dummy,
|
| 618 |
+
and tape-to-tape-copy equations are conditioned by the occupation
|
| 619 |
+
of their destination where appropriate. This expresses exactly
|
| 620 |
+
the phase rules in Section~\ref{sec:macrograph}; the phase prescription
|
| 621 |
+
ensures that an occupied computation only depends on earlier occupied
|
| 622 |
+
positions or the fixed full tape. In a full $Q_x$, its $S$ inputs
|
| 623 |
+
are free, with the terminal and other-input relations imposed as in
|
| 624 |
+
its definition. At shared phase boundaries fix either equivalent
|
| 625 |
+
description.
|
| 626 |
+
|
| 627 |
+
For each of the four phases and each unconditional family, organize
|
| 628 |
+
these equations into a fixed number of length-$h$ lists, padding with
|
| 629 |
+
zero equations. Every operand map from list rows to an original
|
| 630 |
+
logical array has bounded multiplicity: this follows from bounded
|
| 631 |
+
fan-out for internal feeds, separate designated copies, and partial
|
| 632 |
+
permutations for adjacency and same-position copies.
|
| 633 |
+
An operand map of multiplicity at most $B$ splits into $B$ partial
|
| 634 |
+
injections by coloring its preimages separately at each target.
|
| 635 |
+
Each partial injection extends to a permutation of $[h]$, by any
|
| 636 |
+
bijection between the unused domain and range. Separate logical
|
| 637 |
+
array types and intersect the finitely many operand-color and
|
| 638 |
+
active-row cases. Because arity and $B$ are constants, this causes
|
| 639 |
+
only a constant number of cases. Expand the representing polynomials
|
| 640 |
+
into monomials. Each row list is now a sum of a fixed number of
|
| 641 |
+
bounded-length monomials, whose factors are permuted logical arrays
|
| 642 |
+
or public coefficient and mask arrays. Empty monomials represent
|
| 643 |
+
constant terms. Counting coefficient factors in the length still
|
| 644 |
+
gives a fixed bound on the degree.
|
| 645 |
+
|
| 646 |
+
\paragraph{Routing arbitrary permutations.}
|
| 647 |
+
For completeness a permutation of $2^\ell$ locations has a binary
|
| 648 |
+
switch realization with $2\ell-1$ layers, each layer switching pairs
|
| 649 |
+
along one fixed XOR bit, with a public Boolean mask constant on each
|
| 650 |
+
pair. This is the binary specialization of the Bene\v{s}
|
| 651 |
+
rearrangeability construction~\cite[Lemma~3 and Theorems~2--3]{Benes1964Permutation}.
|
| 652 |
+
Pair sources along the top
|
| 653 |
+
bit and do the same for targets. The prescribed item routes form a
|
| 654 |
+
bipartite multigraph on these pairs with degree two at every vertex.
|
| 655 |
+
Every component is an even cycle, including a pair of parallel edges;
|
| 656 |
+
alternate its edges with two colors. An initial top-bit switch and
|
| 657 |
+
a final top-bit switch route each item through the half corresponding
|
| 658 |
+
to its color. Each half now has a permutation of $2^{\ell-1}$ items.
|
| 659 |
+
Recurse with the same layer schedule in the two halves. The base case
|
| 660 |
+
$\ell=1$ has one layer and $\ell=0$ none; the recurrence for depth is
|
| 661 |
+
$L(\ell)=L(\ell-1)+2$. Cycle coloring and recursive routing take
|
| 662 |
+
polynomial time in $h$.
|
| 663 |
+
|
| 664 |
+
Introduce a variable factor type for every routed intermediate, and
|
| 665 |
+
for each layer introduce the XOR-pulled counterpart $D^*$ of its input
|
| 666 |
+
$D$. The layer output $D'$ satisfies the row equation
|
| 667 |
+
\begin{equation}\label{op:switch-row}
|
| 668 |
+
D'-D-m_{\mathrm{sw}}(D^*-D)=0.
|
| 669 |
+
\end{equation}
|
| 670 |
+
The mask is pair-constant, so this is exactly either the identity or
|
| 671 |
+
a transposition on each pair. The counterpart identity itself is
|
| 672 |
+
checked by a scalar program below. These equations are always
|
| 673 |
+
imposed, including in inactive phases. Induction through the network
|
| 674 |
+
makes each variable factor a known permutation of an original logical
|
| 675 |
+
array, for arbitrary field values of that array.
|
| 676 |
+
There are only $O(r)$ layers among a fixed number of routing networks,
|
| 677 |
+
hence $\poly(r)$ factor and equation types with bounded arity per row.
|
| 678 |
+
For an edit of an original logical array at $j$, every factor derived
|
| 679 |
+
from it changes only at the image of $j$ under its fixed permutation.
|
| 680 |
+
All such addresses for one frame occupy $\poly(r)$ bits.
|
| 681 |
+
Their entire frame-indexed tables need not have a succinct random-access
|
| 682 |
+
formula; they will be stored as public encoded tables and focused
|
| 683 |
+
before use in Section~\ref{sec:outer-representation}.
|
| 684 |
+
|
| 685 |
+
\paragraph{Primaries and assigned degree.}
|
| 686 |
+
For every factor array $D\in J^h$, define its unique degree-$<h$
|
| 687 |
+
interpolant on the subgroup grid by
|
| 688 |
+
\begin{equation}\label{op:factor-interpolant}
|
| 689 |
+
F_D(Z)=\sum_{j=0}^{h-1}D_jL_j(Z).
|
| 690 |
+
\end{equation}
|
| 691 |
+
For each factor-occurrence list of each monomial, include primaries
|
| 692 |
+
for every subset $S$ of its occurrences, with payload the
|
| 693 |
+
length-$M_o$ coefficient table, padded by zeros, of
|
| 694 |
+
\begin{equation}\label{op:subset-primary}
|
| 695 |
+
F_S(Z)=\prod_{a\in S}F_{D_a}(Z).
|
| 696 |
+
\end{equation}
|
| 697 |
+
The index set here consists of occurrences: repeated uses of one
|
| 698 |
+
factor remain distinct. The empty subset gives $1$.
|
| 699 |
+
Identify shared singleton primaries or impose direct full-word
|
| 700 |
+
equalities on copies, and include independent singletons when needed.
|
| 701 |
+
The assigned logical degree $k_S$ counts variable occurrences only;
|
| 702 |
+
public factors have degree zero. Let $d_2$ bound the length of every
|
| 703 |
+
factor-occurrence list after all switch and row equations have been
|
| 704 |
+
included. It is a fixed constant, and $k_S\le d_2$.
|
| 705 |
+
The honest ordinary polynomial degree is at most $d_2(h-1)$.
|
| 706 |
+
Choose the earlier size constant so that
|
| 707 |
+
\begin{equation}\label{op:degree-slack}
|
| 708 |
+
M_o>(8d_2+8)h.
|
| 709 |
+
\end{equation}
|
| 710 |
+
All primary formulas exist for arbitrary $b\in J^{4h}$.
|
| 711 |
+
|
| 712 |
+
\paragraph{Index independence and support.}
|
| 713 |
+
Scalar primaries are intended to depend only on $x$, not on $u$.
|
| 714 |
+
Test invariance of their payloads under left $(0,a)$ pulls for the
|
| 715 |
+
fixed generating list of $H$. Such a pull fixes $x$ and changes
|
| 716 |
+
$u$ to $au$, and shares B with the original untwisted scalar slot.
|
| 717 |
+
Compare whole systematic A rows as above, using the pulled local
|
| 718 |
+
expression without introducing a free encoder witness.
|
| 719 |
+
The shared-B exact gap forces invariance under each generator;
|
| 720 |
+
since these generate $H$, this is precisely independence from $u$.
|
| 721 |
+
No independent invariance test is needed on a derived program stage
|
| 722 |
+
whose exact recipe already determines it, and matrix intermediates
|
| 723 |
+
need not be $u$-independent.
|
| 724 |
+
|
| 725 |
+
Use range masks from Lemma~\ref{op:scalar-programs} to require
|
| 726 |
+
singleton coefficient support in $[0,h)$ and product-primary support
|
| 727 |
+
in $[0,d_2h+1)$, with sharper public bounds when appropriate.
|
| 728 |
+
Encode the masked complement as a full output and compare that
|
| 729 |
+
entire word with zero. A nonzero output has full-code distance.
|
| 730 |
+
Compare each public singleton and each empty product with its
|
| 731 |
+
precomputed canonical full encoding. These are structural conditions.
|
| 732 |
+
|
| 733 |
+
\paragraph{Product certification.}
|
| 734 |
+
Compute the length-$M_o$ DFT of each relevant primary coefficient
|
| 735 |
+
table by certified full stages. Its payload at integer $y$ is the
|
| 736 |
+
polynomial's value at $\zeta^y$. For every nontrivial subset choose
|
| 737 |
+
one occurrence $a\in S$ and check, at one fixed systematic payload
|
| 738 |
+
cell at $s=t=0$,
|
| 739 |
+
\begin{equation}\label{op:primary-product-test}
|
| 740 |
+
F_S(\zeta^y)
|
| 741 |
+
=F_{S\setminus\{a\}}(\zeta^y)F_{D_a}(\zeta^y).
|
| 742 |
+
\end{equation}
|
| 743 |
+
These are pointwise nonlinear tests; the stored transform stages
|
| 744 |
+
themselves have linear recipes. Once support, independence and
|
| 745 |
+
transform identities hold, a false equality is the nonzero polynomial
|
| 746 |
+
$F_S-F_{S\setminus\{a\}}F_{D_a}$, of degree less than
|
| 747 |
+
$(d_2+1)h+1<M_o/2$. A nonzero polynomial of degree $D$ over a field
|
| 748 |
+
has at most $D$ roots, as follows by successively dividing by $Z-z$
|
| 749 |
+
at distinct roots. Thus the false equality fails at more than half
|
| 750 |
+
the $M_o$ distinct points $\zeta^y$. Uniform $k$ has uniform $x$,
|
| 751 |
+
and independence from $u$ prevents the extra index from diluting this
|
| 752 |
+
gap. Induction on subset size forces exactly all products
|
| 753 |
+
\eqref{op:subset-primary} once these tests hold.
|
| 754 |
+
|
| 755 |
+
\paragraph{Counterparts and the subgroup annihilator.}
|
| 756 |
+
Apply the length-$h$ Fourier transform to the low $\ell$ bits of each
|
| 757 |
+
singleton's padded coefficient table. Its first block is the value
|
| 758 |
+
table $D$, and every higher block is zero by coefficient support.
|
| 759 |
+
For each XOR counterpart use the certified bit pull on this padded
|
| 760 |
+
table and compare its full output with the counterpart's separately
|
| 761 |
+
computed padded value table. Their full-operation gap forces the
|
| 762 |
+
exact counterpart identity needed in \eqref{op:switch-row}.
|
| 763 |
+
|
| 764 |
+
For a row-equation list let $R(Z)$ be the indicated linear combination
|
| 765 |
+
of its product primaries. Its value at $\omega^j$ is exactly the
|
| 766 |
+
row expression at $j$. Its remainder modulo $Z^h-1$ has coefficients
|
| 767 |
+
\begin{equation}\label{op:remainder-fold}
|
| 768 |
+
[Z^i](R\bmod(Z^h-1))
|
| 769 |
+
=\sum_{z=0}^{M_o/h-1}[Z^{i+zh}]R,
|
| 770 |
+
\quad 0\le i<h,
|
| 771 |
+
\end{equation}
|
| 772 |
+
and zero padding elsewhere. This formula follows from
|
| 773 |
+
$Z^{i+zh}\equiv Z^i\pmod{Z^h-1}$, since the coefficient table is
|
| 774 |
+
supported below $M_o$. It is a short linear program: apply
|
| 775 |
+
$\prod_{i=\ell}^{r-1}(I+R_{(e_i,1)})$ to sum all high-bit blocks,
|
| 776 |
+
then mask to high bits zero. Require its entire full word to be
|
| 777 |
+
zero when the equation is imposed.
|
| 778 |
+
|
| 779 |
+
The polynomial $Z^h-1$ is exactly the annihilator of the subgroup grid:
|
| 780 |
+
it has the $h$ distinct roots $\omega^j$, because $h$ is invertible
|
| 781 |
+
in $J$, and its degree is $h$. The remainder has degree below $h$.
|
| 782 |
+
Therefore it vanishes as a polynomial if and only if $R$ vanishes at
|
| 783 |
+
all grid points. In one direction divisibility suffices; in the
|
| 784 |
+
other direction a degree-$<h$ polynomial with $h$ distinct roots
|
| 785 |
+
is zero. This proves that the folded full-word checks impose the
|
| 786 |
+
row equations exactly, without any random sampling loss over rows.
|
| 787 |
+
All structural switch equations and their folded computations are
|
| 788 |
+
always present. All phase-specific folded computations are also
|
| 789 |
+
stored persistently; the repeated clock selects only which final
|
| 790 |
+
zero conditions are imposed.
|
| 791 |
+
|
| 792 |
+
\paragraph{Counts and address transforms.}
|
| 793 |
+
The constant coefficient of \eqref{op:factor-interpolant} is
|
| 794 |
+
\begin{equation}\label{op:occupation-count}
|
| 795 |
+
[Z^0]F_e=h^{-1}\sum_{j=0}^{h-1}e_j,
|
| 796 |
+
\end{equation}
|
| 797 |
+
since every $L_j$ has constant coefficient $h^{-1}$.
|
| 798 |
+
Mask the occupation coefficient table to index zero, using all bit
|
| 799 |
+
masks. Compare its full word with the public full encoding of
|
| 800 |
+
$1[\underline x=0]$ times $c h^{-1}$, where the expected count
|
| 801 |
+
$c\in[0,h]$ is computed from the legal repeated stage and phase.
|
| 802 |
+
This scalar is used in the comparison; it is not part of a changing
|
| 803 |
+
persistent value. On Boolean occupation data, characteristic
|
| 804 |
+
$p>M_o\ge h$ implies that two counts in $[0,h]$ are equal in $J$
|
| 805 |
+
only when they are equal as integers. Together with monotonicity
|
| 806 |
+
this enforces the prescribed prefix exactly.
|
| 807 |
+
|
| 808 |
+
For address access, take the padded length-$h$ value table obtained
|
| 809 |
+
above and apply the full $r$-bit Walsh transform. Its result is
|
| 810 |
+
\eqref{op:address-transform}. Walsh orthogonality gives
|
| 811 |
+
\[
|
| 812 |
+
M_o^{-1}\sum_x U_D(x)(-1)^{x\cdot j}
|
| 813 |
+
=\sum_{i<h}D_i
|
| 814 |
+
\left(M_o^{-1}\sum_x(-1)^{x\cdot(i+j)}\right)
|
| 815 |
+
=D_j \qquad(j<h).
|
| 816 |
+
\]
|
| 817 |
+
In particular the high bits of the zero-padded value table cause
|
| 818 |
+
$U_D$ to repeat across the corresponding high output blocks;
|
| 819 |
+
they do not introduce an additional normalization factor.
|
| 820 |
+
|
| 821 |
+
\paragraph{Exact alternatives and complexity.}
|
| 822 |
+
Every stage of every mask, transform, counterpart comparison and
|
| 823 |
+
remainder computation is stored as a full slot with its specified
|
| 824 |
+
linear recipe, including mixed and untwisted matrix intermediates.
|
| 825 |
+
Give a derived stage the maximum assigned degree of its primary
|
| 826 |
+
ancestors and retain its ancestor subprogram or shared directed
|
| 827 |
+
acyclic recipe. Public indexed arrays are degree-zero inputs with
|
| 828 |
+
precomputed encoded constants.
|
| 829 |
+
|
| 830 |
+
On exact duplicated full codewords, a false independence, support,
|
| 831 |
+
public-constant, full-operation, counterpart, folded-zero or count
|
| 832 |
+
identity has a constant gap by the shared-axis or full-code distance.
|
| 833 |
+
If none is false, the polynomial root argument forces all primary
|
| 834 |
+
products. Singleton support makes the interpolant unique from its
|
| 835 |
+
subgroup values. The counterpart and switch equations then determine
|
| 836 |
+
all factors as their prescribed permutations of the four original
|
| 837 |
+
logical arrays, and the public factors are fixed. Thus the structural
|
| 838 |
+
tests force precisely $P(b)$. The remaining Boolean, prefix, count
|
| 839 |
+
and selected-phase row equations are exactly the macrovertex rules.
|
| 840 |
+
If any is false, its folded or count check has the same exact gap.
|
| 841 |
+
All tests are packed at the center; choosing one false relation in
|
| 842 |
+
this argument entails no division by their number. The minimum of
|
| 843 |
+
the fixed code gaps and the product gap gives
|
| 844 |
+
$\gamma_{\mathrm{per}}>0$ and proves both alternatives.
|
| 845 |
+
|
| 846 |
+
There are $O(r)$ routed factor and row families before the scalar
|
| 847 |
+
program expansions, a constant number of occurrence subsets per
|
| 848 |
+
monomial, and polynomially many stages per transform. Thus the
|
| 849 |
+
number of full slots, recipes and local metadata is $\poly(r)$.
|
| 850 |
+
The entry dimension and field bit length give a further fixed
|
| 851 |
+
polynomial factor. At one center the checker scans these lists,
|
| 852 |
+
performs field operations and evaluates fixed-length control
|
| 853 |
+
decisions, all in $\poly(r)$ bit operations. It reads public encoded
|
| 854 |
+
constants only at the publicly specified positions in $\Pi(k)$;
|
| 855 |
+
arbitrary hidden-frame table lookup is never assumed.
|
| 856 |
+
All public permutations, masks, coefficients, encodings and complete
|
| 857 |
+
canonical arrays are constructible globally by polynomial-time
|
| 858 |
+
combinatorial and linear-algebra algorithms. Since
|
| 859 |
+
$|\Gamma|=M_o|H|=O(N\operatorname{polylog} N)$ and every scalarized encoding system
|
| 860 |
+
has polynomial dimension in $N$, this takes $\poly(N)$ time.
|
| 861 |
+
The persistent word length is $O(N\operatorname{polylog} N)$ field-bit storage,
|
| 862 |
+
with a fixed exponent in the polylogarithmic factor. This completes
|
| 863 |
+
the construction and proof.
|
| 864 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/05-outer-representation.tex
ADDED
|
@@ -0,0 +1,696 @@
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|
|
| 1 |
+
\section{A locally evolving outer representation}\label{sec:outer-representation}
|
| 2 |
+
|
| 3 |
+
We now combine the macrograph, the outer codes, and the certified programs
|
| 4 |
+
into one representation. A long preparation is part of the represented
|
| 5 |
+
path: its current position is recorded by a binary clock, while its scratch
|
| 6 |
+
space is reused. Thus preparation time does not multiply the length of a
|
| 7 |
+
represented vertex. The main additional requirement is that every retained
|
| 8 |
+
certificate, including certificates introduced to verify other
|
| 9 |
+
certificates, can change locally when a logical tape entry changes.
|
| 10 |
+
|
| 11 |
+
All notation in this section belongs to the outer construction. In
|
| 12 |
+
particular, $J$, $H$, and $\Gamma=\F_2^r\rtimes H$ are those of
|
| 13 |
+
Section~\ref{sec:outer-codes}. We retain $M_o=2^r$, the tape length $h$,
|
| 14 |
+
the four logical arrays $b$, and the persistent tuple $P(b)$ of
|
| 15 |
+
Lemma~\ref{lem:outer-wiring}. The assigned degree $k_S$ of a primary
|
| 16 |
+
$F_S$ counts its variable factor occurrences, and $d_2$ is the fixed upper
|
| 17 |
+
bound on the number of factor occurrences. In particular,
|
| 18 |
+
\[
|
| 19 |
+
r=O(\log N),\qquad M_o=O(N),\qquad |H|\leq r^9,
|
| 20 |
+
\qquad M_o>(8d_2+8)h.
|
| 21 |
+
\]
|
| 22 |
+
Every persistent program stage has a specified linear payload recipe in
|
| 23 |
+
the primaries. This includes support masks, transforms, routing checks,
|
| 24 |
+
remainder computations for inactive phases, and every matrix-valued
|
| 25 |
+
reencoding intermediate. Its assigned degree is at most the maximum
|
| 26 |
+
assigned degree of the primary inputs to that recipe.
|
| 27 |
+
|
| 28 |
+
\subsection{Finite differences of the complete certificate tuple}
|
| 29 |
+
|
| 30 |
+
Fix a start frame $c\in\{0,\ldots,4h-1\}$. The finite edit alphabet
|
| 31 |
+
$\Sigma$ of Lemma~\ref{lem:macrograph} describes additive changes
|
| 32 |
+
$h_\sigma(c)$ of the logical arrays. Enlarge this fixed alphabet by inverse
|
| 33 |
+
edits and a zero edit if necessary. All addresses depend only on
|
| 34 |
+
$(c,\sigma)$ and public routing data. The choice of the edit can depend on
|
| 35 |
+
the critical logical bits; a recipe for a specified edit cannot.
|
| 36 |
+
For a field-valued function $F$ define
|
| 37 |
+
\[
|
| 38 |
+
\Delta_\sigma F(b)=F(b+h_\sigma(c))-F(b).
|
| 39 |
+
\]
|
| 40 |
+
This definition is made on arbitrary field arrays $b$, independently of
|
| 41 |
+
whether they satisfy the macrograph conditions.
|
| 42 |
+
|
| 43 |
+
For a variable singleton occurrence $a$, routing gives either no change or
|
| 44 |
+
a change $\epsilon_{a,\sigma}L_{j_{a,\sigma}}(Z)$, where
|
| 45 |
+
$\epsilon_{a,\sigma}\in\{-1,0,1\}$ and $j_{a,\sigma}<h$ are public at
|
| 46 |
+
this frame. A default address is used when $\epsilon_{a,\sigma}=0$.
|
| 47 |
+
Public factors have zero increment. If $S_{\rm var}$ is the set of
|
| 48 |
+
variable \emph{occurrences} in $S$, distributivity gives
|
| 49 |
+
\begin{equation}\label{oe:primary-difference}
|
| 50 |
+
\Delta_\sigma F_S
|
| 51 |
+
=\sum_{\varnothing\ne A\subseteq S_{\rm var}}
|
| 52 |
+
F_{S\setminus A}(b)
|
| 53 |
+
\prod_{a\in A}\epsilon_{a,\sigma}L_{j_{a,\sigma}}.
|
| 54 |
+
\end{equation}
|
| 55 |
+
Repeated occurrences are retained separately in this formula. Every
|
| 56 |
+
primary on its right has assigned degree at most $k_S-1$. Multiplication
|
| 57 |
+
by a specified Lagrange polynomial is the linear coefficient program of
|
| 58 |
+
Lemma~\ref{op:scalar-programs}. The number of subsets in
|
| 59 |
+
\eqref{oe:primary-difference} is bounded in terms of $d_2$ alone.
|
| 60 |
+
Every ordinary polynomial product appearing here has degree at most
|
| 61 |
+
$d_2(h-1)<M_o$; consequently its implementation by cyclic coefficient
|
| 62 |
+
convolution has no wraparound error. All possible addresses and zero
|
| 63 |
+
coefficients use a common padded program topology.
|
| 64 |
+
|
| 65 |
+
\begin{lemma}[Closure under finite differences]\label{oe:derivative-closure}
|
| 66 |
+
For every positive-degree persistent full slot $D$ and every
|
| 67 |
+
$\sigma\in\Sigma$, one can allocate a finite certified full program whose
|
| 68 |
+
output, in the same encoder type as $D$, is the increment of $D$ under
|
| 69 |
+
$b\mapsto b+h_\sigma(c)$. One can do this simultaneously for every
|
| 70 |
+
positive-degree full intermediate introduced by these programs, including
|
| 71 |
+
all their verification intermediates. The resulting list has
|
| 72 |
+
$\operatorname{poly}(r)$ slots and description bits. Every new slot has a
|
| 73 |
+
specified linear recipe in persistent primaries of strictly smaller
|
| 74 |
+
assigned degree than its parent target. All identities hold on arbitrary
|
| 75 |
+
field arrays $b$.
|
| 76 |
+
\end{lemma}
|
| 77 |
+
|
| 78 |
+
\begin{proof}
|
| 79 |
+
For a primary use \eqref{oe:primary-difference}. If $D$ is another
|
| 80 |
+
persistent stage with linear payload recipe $\mathcal L_D$, apply
|
| 81 |
+
$\mathcal L_D$ to the corresponding primary increments, replacing
|
| 82 |
+
degree-zero primary increments by zero. At this fixed frame its
|
| 83 |
+
coefficients, pulls, and encoder types are fixed. Hence
|
| 84 |
+
\[
|
| 85 |
+
\mathcal L_D\bigl((F_S(b+h_\sigma(c)))_S\bigr)
|
| 86 |
+
-\mathcal L_D\bigl((F_S(b))_S\bigr)
|
| 87 |
+
=\mathcal L_D\bigl((\Delta_\sigma F_S(b))_S\bigr).
|
| 88 |
+
\]
|
| 89 |
+
The operations used in Section~\ref{sec:outer-programs} implement this
|
| 90 |
+
identity at the payload level. In particular, multiplying a scalar slot
|
| 91 |
+
by the public matrix $\rho_e(k)$ is linear in that scalar; changing one
|
| 92 |
+
encoder axis or contracting matrix entries is also linear. These
|
| 93 |
+
operations introduce no additional logical degree.
|
| 94 |
+
|
| 95 |
+
Allocate full slots for every stage of each increment program, with new
|
| 96 |
+
slots for its mixed and untwisted verification stages. An identity or zero
|
| 97 |
+
stage may be inserted to give an output its required type. Order stages
|
| 98 |
+
topologically, so that Lemma~\ref{lem:outer-fill} can initialize one full
|
| 99 |
+
target using already completed parents. For every newly allocated stage,
|
| 100 |
+
record the ancestor directed acyclic graph that expresses its payload in
|
| 101 |
+
the persistent primaries. Its roots have degrees at most one less than
|
| 102 |
+
those of the target whose increment is being computed. If its assigned
|
| 103 |
+
degree is positive, apply the same construction to this new stage for
|
| 104 |
+
every edit. This includes a stage introduced solely for verification: it
|
| 105 |
+
will be retained at full preparation and therefore needs its own
|
| 106 |
+
increment.
|
| 107 |
+
|
| 108 |
+
Inlining here means substitution in a directed acyclic graph, with
|
| 109 |
+
sharing retained within each target computation. If a primary is used
|
| 110 |
+
many times, substitute its increment program once and fan out its result.
|
| 111 |
+
Separate target computations may use fresh copies. Along any chain of
|
| 112 |
+
newly generated targets the assigned degree drops by at least one.
|
| 113 |
+
Therefore the construction stops after at most $d_2$ derivative tiers.
|
| 114 |
+
At each tier the number of target graphs, their sizes, their ancestor
|
| 115 |
+
descriptions, and their substitutions are bounded by a fixed polynomial
|
| 116 |
+
in the preceding total description size and $r$. A fixed number of such
|
| 117 |
+
polynomial expansions remains polynomial in $r$.
|
| 118 |
+
|
| 119 |
+
The programs verify the computed increments by their own stage
|
| 120 |
+
relations, starting from the lower-degree primaries. They do not test a
|
| 121 |
+
finite-difference assertion about an otherwise unspecified witness.
|
| 122 |
+
Neither their construction nor their identities use the final validity
|
| 123 |
+
equations. This also ensures that increment recipes remain defined on
|
| 124 |
+
field data produced by an edit that is not a legal macrograph move.
|
| 125 |
+
\end{proof}
|
| 126 |
+
|
| 127 |
+
\subsection{Public addresses, logical reads, and a reversible preparation}
|
| 128 |
+
|
| 129 |
+
Public address tables need not admit succinct evaluation at a hidden
|
| 130 |
+
frame $c$. We therefore represent the needed access explicitly. For each
|
| 131 |
+
field entry $a(c)$ of the public data table, form the scalar payload
|
| 132 |
+
\begin{equation}\label{oe:public-walsh-table}
|
| 133 |
+
V_a(x,u)=\sum_{0\leq c'<4h}a(c')(-1)^{x\cdot c'}.
|
| 134 |
+
\end{equation}
|
| 135 |
+
Integers in this display are identified with their $r$-bit vectors, and
|
| 136 |
+
the coefficient table is zero outside $[0,4h)$. The payload is independent
|
| 137 |
+
of $u$. Hardwire its full encoding at every publicly requested symbol
|
| 138 |
+
position. The table includes operand addresses, rule types,
|
| 139 |
+
terminal-comparison addresses, and choice-rule data for both directions,
|
| 140 |
+
together with the
|
| 141 |
+
permuted edit addresses of every factor type used by
|
| 142 |
+
Lemma~\ref{oe:derivative-closure}. Addresses for inactive phases are
|
| 143 |
+
included too. Strings and indices are split into field entries with fixed
|
| 144 |
+
parsing conventions. There are only $\operatorname{poly}(r)$ entries per
|
| 145 |
+
frame.
|
| 146 |
+
|
| 147 |
+
The first preparation steps are an A-only public focus. For the bits of
|
| 148 |
+
the repeated frame $c$, apply the mode selectors
|
| 149 |
+
\[
|
| 150 |
+
\frac{I+(-1)^{c_i}R_{(e_i,1)}}2
|
| 151 |
+
\]
|
| 152 |
+
successively, implementing a nonfirst-bit pull by the fixed generators
|
| 153 |
+
as in Section~\ref{sec:outer-programs}. Applied to
|
| 154 |
+
\eqref{oe:public-walsh-table}, their completed output is
|
| 155 |
+
$a(c)(-1)^{x\cdot c}$ on the systematic payload. Removing that known sign
|
| 156 |
+
recovers $a(c)$ identically at every center. No recurrence using a
|
| 157 |
+
table-dependent coefficient is active before the public focus is
|
| 158 |
+
complete. Retain this focus until preparation has been reversed. On
|
| 159 |
+
malformed data use fixed default field values, indices, and instructions;
|
| 160 |
+
thus every local algorithm is total.
|
| 161 |
+
|
| 162 |
+
Next, in the topological order of Lemma~\ref{oe:derivative-closure}, fill
|
| 163 |
+
every transient full computation stage by Lemma~\ref{lem:outer-fill}.
|
| 164 |
+
Previously completed targets remain full and their temporary fill scratch
|
| 165 |
+
is empty. At every intermediate location check their direct full-operation
|
| 166 |
+
relations; apply the two-buffer fill checks to the current target; and
|
| 167 |
+
check zero in all still empty full targets and inactive scratch slots.
|
| 168 |
+
The persistent tuple $P(b)$ is checked throughout. All these conditions
|
| 169 |
+
are tested together at the same center.
|
| 170 |
+
|
| 171 |
+
Finally prepare the critical logical reads. The persistent slot $U_D$
|
| 172 |
+
provided by Lemma~\ref{lem:outer-wiring} has payload
|
| 173 |
+
\[
|
| 174 |
+
U_D(x)=\sum_{j<h}(-1)^{x\cdot j}D_j.
|
| 175 |
+
\]
|
| 176 |
+
Its Walsh coefficient at address $j$ is $D_j$. Using the completed public
|
| 177 |
+
address focus, build A-only selector stacks for the fixed list of
|
| 178 |
+
critical roles needed by either the forward or reverse macro proposal
|
| 179 |
+
and its existence flag. Unused roles use default addresses. Include
|
| 180 |
+
enough roles for each logical array type; their number is constant.
|
| 181 |
+
Build the identical focus stacks on the full increment outputs for
|
| 182 |
+
$U_D$ for every $\sigma$. The recipe for $U_D$ uses just one degree-one
|
| 183 |
+
singleton, so each increment input has assigned degree zero. At a fixed
|
| 184 |
+
frame its entire focused stack is independent of $b$ as well.
|
| 185 |
+
|
| 186 |
+
\begin{lemma}[Preparation and local evolution]\label{oe:preparation}
|
| 187 |
+
There is an integer $J_{\max}\geq1$ and a canonical preparation indexed by
|
| 188 |
+
$j=0,\ldots,J_{\max}$ with the following properties.
|
| 189 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 190 |
+
\item At $j=0$ all frame-dependent full and A-only transient slots are
|
| 191 |
+
zero. At $j=J_{\max}$ all full increment programs and critical focuses are
|
| 192 |
+
complete, and every full-target fill buffer and orbit-focus buffer is
|
| 193 |
+
zero.
|
| 194 |
+
\item For every field array $b$ and frame $c$, every snapshot is uniquely
|
| 195 |
+
specified. Its transition to the next or previous snapshot uses a fixed
|
| 196 |
+
finite list of permutation-neighbors of each requested center.
|
| 197 |
+
\item The number of steps is $J_{\max}=O(M_o\operatorname{poly}(r))$.
|
| 198 |
+
The number of stored slots, the schedule description, and the work to
|
| 199 |
+
interpret one microclock or perform one local transition are
|
| 200 |
+
$\operatorname{poly}(r)$, including entry dimensions and bit lengths.
|
| 201 |
+
\item At full preparation, applying an edit $h_\sigma(c)$ changes the
|
| 202 |
+
entire retained tuple to its canonical value on $b+h_\sigma(c)$ by local
|
| 203 |
+
addition of the stored increment outputs. The public focus is unchanged.
|
| 204 |
+
\end{enumerate}
|
| 205 |
+
\end{lemma}
|
| 206 |
+
|
| 207 |
+
\begin{proof}
|
| 208 |
+
Concatenate the public focus, all full-target filling schedules, and the
|
| 209 |
+
critical-read focuses. The stage lists for selectors and cutoffs have
|
| 210 |
+
fixed padded lengths independent of their address values. The
|
| 211 |
+
per-target mode schedule consists of $M_o$ iterations of fixed
|
| 212 |
+
polylogarithmic sublength, together with its initial and final buffer
|
| 213 |
+
steps. The exceptional first iteration and final erasure are specified
|
| 214 |
+
separately. Thus a binary microclock can be interpreted by scanning the
|
| 215 |
+
polynomial-in-$r$ list of program boundaries and performing arithmetic
|
| 216 |
+
on $O(\log M_o+\log\operatorname{poly}(r))$ bits. The interpreter selects
|
| 217 |
+
the current iteration, buffer, initialized prefix, and transition; it
|
| 218 |
+
does not execute all preceding iterations. Distinct programs may use
|
| 219 |
+
distinct scratch indices to keep their shapes and twists fixed.
|
| 220 |
+
An idle preparation step supplies $J_{\max}\geq1$ if needed.
|
| 221 |
+
|
| 222 |
+
For the last assertion, write $D_\sigma(b)$ for the stored full increment
|
| 223 |
+
of a positive-degree full slot $D$. At the top perform, simultaneously,
|
| 224 |
+
\begin{equation}\label{oe:simultaneous-edit}
|
| 225 |
+
D(b)\longmapsto D(b)+D_\sigma(b)
|
| 226 |
+
=D(b+h_\sigma(c))
|
| 227 |
+
\end{equation}
|
| 228 |
+
for every persistent and transient full computation slot. Equation
|
| 229 |
+
\eqref{oe:simultaneous-edit} is valid in its own encoder because that
|
| 230 |
+
encoder is linear. The increment slots themselves are included in this
|
| 231 |
+
update whenever their assigned degree is positive; their required
|
| 232 |
+
increments exist by Lemma~\ref{oe:derivative-closure}. Degree-zero slots
|
| 233 |
+
do not change. All additions read the old tuple before writing the new
|
| 234 |
+
one.
|
| 235 |
+
|
| 236 |
+
The full-target temporary buffers are already empty. Public focus
|
| 237 |
+
depends only on $c$ and remains fixed. Each main critical-read stack is a
|
| 238 |
+
linear selector-and-pull program at fixed public addresses. Adding the
|
| 239 |
+
matching focused increment stack therefore updates all its initialized
|
| 240 |
+
stages to their new canonical values. Those increment stacks have degree
|
| 241 |
+
zero and stay fixed. This verifies the assertion also for the retained
|
| 242 |
+
A-only data. The preparation can now be erased in the reverse order,
|
| 243 |
+
using exactly the same recipes on the new $b$ and unchanged frame.
|
| 244 |
+
\end{proof}
|
| 245 |
+
|
| 246 |
+
\subsection{The extended graph and its endpoint payload}
|
| 247 |
+
|
| 248 |
+
Define an extended valid label to be
|
| 249 |
+
\begin{equation}\label{oe:extended-label}
|
| 250 |
+
v=(c,b,\eta,j),\qquad
|
| 251 |
+
0\leq c<4h,\quad \eta\in\{0,1\},\quad 0\leq j\leq J_{\max},
|
| 252 |
+
\end{equation}
|
| 253 |
+
where $b$ is a valid macrograph state at stage $c$ if $\eta=0$, and at
|
| 254 |
+
stage $c+1\pmod{4h}$ if $\eta=1$. We call these modes pre and post,
|
| 255 |
+
respectively. Its raw word $R_v$ contains, at every $k\in\Gamma$, all four
|
| 256 |
+
parts of the persistent tuple $P(b)$, all full and A-only transient data
|
| 257 |
+
in the canonical snapshot $(c,b,j)$, and a canonically encoded repeated
|
| 258 |
+
copy of $(c,\eta,j)$ and its range information. Padding conventions will
|
| 259 |
+
be fixed below.
|
| 260 |
+
|
| 261 |
+
In pre mode increase $j$ until the top. At the top use the prepared
|
| 262 |
+
critical reads to compute the macrograph's forward choice and existence
|
| 263 |
+
flag. If the edge exists, perform \eqref{oe:simultaneous-edit}, leave
|
| 264 |
+
$c,j$ fixed, and change the mode to post. In post mode decrease $j$ until
|
| 265 |
+
zero, then perform
|
| 266 |
+
\begin{equation}\label{oe:frame-advance}
|
| 267 |
+
(c,b,1,0)\longmapsto(c+1\bmod4h,b,0,0).
|
| 268 |
+
\end{equation}
|
| 269 |
+
The reverse rules use the reverse preparation transition, the reverse
|
| 270 |
+
macro choice at the same start frame, and the inverse of
|
| 271 |
+
\eqref{oe:frame-advance}. Both directions read their choice and flag
|
| 272 |
+
before the top update. At a missing edge the corresponding proposed word
|
| 273 |
+
is defined to be the current raw word and its flag is zero. This is a
|
| 274 |
+
total proposal convention, not a graph self-edge. At a malformed input
|
| 275 |
+
the local proposal and flag likewise have a fixed total default.
|
| 276 |
+
|
| 277 |
+
For each valid macro vertex at stage $s$, the extended graph contains the
|
| 278 |
+
directed path
|
| 279 |
+
\begin{equation}\label{oe:replacement-path}
|
| 280 |
+
\begin{split}
|
| 281 |
+
(s-1,b,1,J_{\max})&\longrightarrow\cdots
|
| 282 |
+
\longrightarrow(s-1,b,1,0)\\
|
| 283 |
+
&\longrightarrow(s,b,0,0)
|
| 284 |
+
\longrightarrow\cdots\longrightarrow(s,b,0,J_{\max}),
|
| 285 |
+
\end{split}
|
| 286 |
+
\end{equation}
|
| 287 |
+
with frames taken modulo $4h$. Macro edges join the corresponding ends
|
| 288 |
+
of these paths. Every internal edge changes the clock or mode, and every
|
| 289 |
+
top edge changes mode, so none is a self-edge. The graph has indegree and
|
| 290 |
+
outdegree at most one. Every label belongs to a path of positive length;
|
| 291 |
+
there are no isolated vertices.
|
| 292 |
+
|
| 293 |
+
Let $(s_*,b_*)$ be the public exceptional macro source of
|
| 294 |
+
Lemma~\ref{lem:macrograph}. The unique exceptional extended source and
|
| 295 |
+
its actual successor are
|
| 296 |
+
\begin{equation}\label{oe:public-source}
|
| 297 |
+
v_*=(s_*-1,b_*,1,J_{\max}),\qquad
|
| 298 |
+
v_*^+=(s_*-1,b_*,1,J_{\max}-1).
|
| 299 |
+
\end{equation}
|
| 300 |
+
Their entire raw words are deterministically computable in
|
| 301 |
+
$\operatorname{poly}(N)$ time. Indeed the macro source is public, all
|
| 302 |
+
full encoders and program formulas are computable by global array
|
| 303 |
+
algorithms, and even explicitly following this one preparation takes
|
| 304 |
+
only polynomially many steps.
|
| 305 |
+
|
| 306 |
+
An extended endpoint can occur only at a top label of
|
| 307 |
+
\eqref{oe:replacement-path}. Map it to its macro vertex by retaining $b$
|
| 308 |
+
and taking stage $c+\eta\pmod{4h}$. If it is not $v_*$, the endpoint
|
| 309 |
+
decoder of Lemma~\ref{lem:macrograph} returns a nonzero string $y$ with
|
| 310 |
+
$P(S(y))\ne y$ or $S(P(y))\ne y$. Thus the endpoint payload consists of
|
| 311 |
+
the logical tapes and the repeated label; it does not require finding a
|
| 312 |
+
history of the transient computation.
|
| 313 |
+
|
| 314 |
+
\subsection{A packed tester for valid represented vertices}
|
| 315 |
+
|
| 316 |
+
Let $\Pi$ contain identity, all forward and inverse A- and B-neighbor
|
| 317 |
+
maps needed by the codes, the left $H$ generators used for payload
|
| 318 |
+
independence, the right first-bit shifts and single-cycle rotations and
|
| 319 |
+
their inverses, and the right $H$ generators used by scratch programs.
|
| 320 |
+
Add the finitely many bounded compositions required by a primitive local
|
| 321 |
+
expression. Its cardinality $q=|\Pi|$ is fixed independently of $N$.
|
| 322 |
+
Arbitrary powers of a rotation or paths through $H$ are represented by
|
| 323 |
+
successive stages; they do not add new query maps to this list. At every
|
| 324 |
+
center the tester reads $W|_{\Pi(k)}$ and rejects if \emph{any} applicable
|
| 325 |
+
condition below fails:
|
| 326 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 327 |
+
\item canonical parsing, legal repeated clock, range checks, and zero
|
| 328 |
+
padding;
|
| 329 |
+
\item all full-slot local codes, A/B agreements, and systematic-payload
|
| 330 |
+
duplication, including targets that are partial or inactive;
|
| 331 |
+
\item all A-only local codes and A agreements, including inactive
|
| 332 |
+
scratch;
|
| 333 |
+
\item all structural persistent relations and the macro-validity
|
| 334 |
+
conditions selected by $(c,\eta)$;
|
| 335 |
+
\item every required current-snapshot relation: completed full-operation
|
| 336 |
+
checks, the current partial-target comparison, initialized scratch-prefix
|
| 337 |
+
recurrences in both buffers and all focuses, and inactive-zero checks.
|
| 338 |
+
\end{enumerate}
|
| 339 |
+
In particular, the tester does not choose one relation uniformly from a
|
| 340 |
+
growing list. All relations share this fixed set of center permutations.
|
| 341 |
+
Write $\operatorname{rej}(W)$ for its rejection probability at uniform
|
| 342 |
+
$k\in\Gamma$, and use normalized whole-symbol distance
|
| 343 |
+
\[
|
| 344 |
+
\dist(W,W')=\Pr_{k\in\Gamma}[W(k)\ne W'(k)].
|
| 345 |
+
\]
|
| 346 |
+
|
| 347 |
+
\begin{lemma}[Soundness of the valid-word tester]\label{oe:valid-testing}
|
| 348 |
+
There are fixed constants $C_{\rm rep}<\infty$ and $g_{\rm rep}>0$
|
| 349 |
+
such that, if $\operatorname{rej}(W)<g_{\rm rep}$, some valid extended
|
| 350 |
+
label $v$ satisfies
|
| 351 |
+
\[
|
| 352 |
+
\dist(W,R_v)\leq C_{\rm rep}\operatorname{rej}(W).
|
| 353 |
+
\]
|
| 354 |
+
The tester has perfect completeness. Conversely,
|
| 355 |
+
$\operatorname{rej}(W)\leq q\dist(W,R_v)$ for every valid label $v$.
|
| 356 |
+
Distinct valid labels have raw distance at least a fixed
|
| 357 |
+
$\delta_{\rm raw}>0$.
|
| 358 |
+
\end{lemma}
|
| 359 |
+
|
| 360 |
+
\begin{proof}
|
| 361 |
+
Put $\theta=\operatorname{rej}(W)$. The parsing, repetition, and full-code
|
| 362 |
+
proximity conclusions of Theorem~\ref{thm:outer-codes} first change
|
| 363 |
+
$O(\theta)$ centers to give legal constant clock data and exact full
|
| 364 |
+
codewords. A corrected repeated clock of illegal range would cause
|
| 365 |
+
rejection everywhere, so small enough $\theta$ rules it out. Exact
|
| 366 |
+
one-axis distance then forces systematic-payload duplication in every
|
| 367 |
+
full slot. Otherwise that one failed duplication relation already has a
|
| 368 |
+
fixed positive rejection probability. Zeroing locally A-invalid scratch
|
| 369 |
+
parts costs another $O(\theta)$ centers. A change on $z$ centers changes
|
| 370 |
+
any simultaneous test on at most $qz$ centers; this estimate uses the
|
| 371 |
+
common permutation list and does not depend on the number of slots.
|
| 372 |
+
|
| 373 |
+
We next restore all scratch relative to these corrected full codewords
|
| 374 |
+
and the corrected clock, before using any advertised full-operation
|
| 375 |
+
identity. The reference for the public focus is the actual hardwired
|
| 376 |
+
public word at the corrected frame. Treat its recurrences first. A later
|
| 377 |
+
table-dependent recurrence is active only when this reference focus is
|
| 378 |
+
complete and hence gives identical correct coefficients at every center.
|
| 379 |
+
Each initial expression $X$ in a mode-fill program is A-coded from its
|
| 380 |
+
exact full parents, even if those parents do not yet satisfy their
|
| 381 |
+
advertised payload recipes. The critical and increment focuses also
|
| 382 |
+
start from exact A-coded full words. Thus every required reference
|
| 383 |
+
prefix is exactly A-coded.
|
| 384 |
+
|
| 385 |
+
These are precisely the reference and ordering hypotheses of
|
| 386 |
+
Lemma~\ref{op:scratch-restoration}. The preprocessing above changed only
|
| 387 |
+
$O(\theta)$ sites, so the common query list bounds both the joint
|
| 388 |
+
A-conflict fraction and the simultaneous recurrence-failure fraction of
|
| 389 |
+
this one preprocessed word by $O(\theta)$. Apply the lemma to its entire
|
| 390 |
+
scratch tuple, including inactive zeros. Its fixed-word induction keeps
|
| 391 |
+
every prefix estimate $O(\theta)$ and makes only one final replacement.
|
| 392 |
+
All scratch is therefore restored at cost $O(\theta)$, independently of
|
| 393 |
+
the number of stages. No full-operation identity has been used to obtain
|
| 394 |
+
this conclusion.
|
| 395 |
+
|
| 396 |
+
Call the resulting tuple $\widetilde W$. Its remaining tests still fail
|
| 397 |
+
with probability at most $C'\theta$ for a fixed $C'$. By
|
| 398 |
+
Lemma~\ref{lem:outer-wiring}, either its persistent tuple is exactly
|
| 399 |
+
$P(b)$ for logical bits $b$ valid at the selected macro stage, or a
|
| 400 |
+
persistent relation fails with fixed positive probability. Choose
|
| 401 |
+
$\theta$ below that gap divided by $C'$ to obtain the former alternative.
|
| 402 |
+
Now follow the initialization order of the transient full targets.
|
| 403 |
+
Completed targets with canonical parents are forced to their exact
|
| 404 |
+
outputs by the shared-axis gap following Definition~\ref{op:full-operation}.
|
| 405 |
+
For the current partial target, its required cutoff comparison has the
|
| 406 |
+
same gap by Lemma~\ref{lem:outer-fill}. The cutoff scratch has already
|
| 407 |
+
been restored: its completed value is precisely $P_{t'}X$. In the case
|
| 408 |
+
that the target shares only the B axis with $X$, orbit invariance makes
|
| 409 |
+
this completed reference B-coded. Only at this point is B-axis distance
|
| 410 |
+
applied. No intermediate A-only scratch is assumed to be B-valid.
|
| 411 |
+
Inactive full targets are forced to zero by full-word distance.
|
| 412 |
+
|
| 413 |
+
There are only finitely many kinds of these gaps, uniformly in their
|
| 414 |
+
stage indices, program lengths, and vector dimensions. Their minimum is
|
| 415 |
+
positive. If any relation failed exactly on $\widetilde W$, it alone
|
| 416 |
+
would give at least that gap in the packed test. Decrease $\theta$ once
|
| 417 |
+
more to rule out every such failure. All full slots and restored scratch
|
| 418 |
+
then have the unique canonical values of $(c,b,\eta,j)$. The total
|
| 419 |
+
restoration cost is $C_{\rm rep}\theta$ for a fixed $C_{\rm rep}$.
|
| 420 |
+
|
| 421 |
+
Canonical snapshots satisfy every test by their construction, proving
|
| 422 |
+
perfect completeness. If a neighborhood avoids the disagreement set
|
| 423 |
+
between $W$ and $R_v$, its test accepts; a union bound over $\Pi$ proves
|
| 424 |
+
the converse. Finally, two labels with different repeated data differ
|
| 425 |
+
at every center. If only their logical arrays differ, one logical
|
| 426 |
+
singleton interpolant differs. Its full encoded difference is nonzero
|
| 427 |
+
and has the fixed distance of Theorem~\ref{thm:outer-codes}, including the
|
| 428 |
+
constant conversion between four-part and whole-symbol metrics. This
|
| 429 |
+
gives $\delta_{\rm raw}>0$.
|
| 430 |
+
\end{proof}
|
| 431 |
+
|
| 432 |
+
\subsection{Full representation cost and a fixed local Boolean exponent}
|
| 433 |
+
|
| 434 |
+
We record the size argument before choosing any correction accuracy or
|
| 435 |
+
any number of Boolean ports. This order is needed later. All constants
|
| 436 |
+
in the following count depend only on the fixed gate basis, $d_2$, and
|
| 437 |
+
the already chosen outer code parameters.
|
| 438 |
+
|
| 439 |
+
One-bit alignment takes $O(r)$ elementary rotations. A conjunction of
|
| 440 |
+
bit conditions takes $O(r^2)$ primitive stages, and a carry or borrow
|
| 441 |
+
shift takes $O(r^3)$. The Lagrange window product takes $O(r^4)$ stages.
|
| 442 |
+
The other transforms and masks in Section~\ref{sec:outer-programs} fit
|
| 443 |
+
within this last bound. There are $O(r)$ initial factor and row families:
|
| 444 |
+
a fixed number of row lists, with $O(r)$ routing layers for each needed
|
| 445 |
+
permutation and a bounded subset list for each monomial. Hence there are
|
| 446 |
+
$O(r^5)$ persistent primitive stages. Storing their ancestor graphs,
|
| 447 |
+
parent indices, types, and coefficient instructions is bounded, with
|
| 448 |
+
ample slack, by $Cr^{20}$ description bits. Public indexed field data
|
| 449 |
+
are counted separately as local constant words below; descriptors refer
|
| 450 |
+
to their entries by indices, rather than copying an entire length-$h$
|
| 451 |
+
array into a descriptor.
|
| 452 |
+
|
| 453 |
+
Here is an explicit finite-depth bound for derivative expansion. Let $T$
|
| 454 |
+
bound the complete current list of graph descriptions and subgraph
|
| 455 |
+
descriptions, with each slot, parent occurrence, and instruction counted
|
| 456 |
+
at least once. A target graph has at most $T$ nodes and at most $T$
|
| 457 |
+
primary roots. Substitution at one root uses a bounded number of the
|
| 458 |
+
$O(r^4)$ Lagrange programs. There are at most $T$ target graphs. Recording
|
| 459 |
+
an ancestor subgraph for every newly introduced stage, retaining sharing
|
| 460 |
+
within it and allowing fresh copies for separate targets, costs at most
|
| 461 |
+
the square of the size of its target computation. Public address
|
| 462 |
+
instructions and index encodings contribute fixed powers of $r$ and
|
| 463 |
+
logarithms of these list lengths. The following deliberately loose bound
|
| 464 |
+
therefore covers all these operations at one tier:
|
| 465 |
+
\begin{equation}\label{oe:recipe-size-recurrence}
|
| 466 |
+
T_{a+1}\leq C r^{20}(T_a+1)^6,\qquad T_0\leq Cr^{20}.
|
| 467 |
+
\end{equation}
|
| 468 |
+
For example, the six factors allow a separate factor for choosing a
|
| 469 |
+
target, traversing its graph, substituting its roots, and copying the
|
| 470 |
+
ancestor descriptions, with two additional factors for indexing and
|
| 471 |
+
duplication; the actual substitution keeps more sharing. If
|
| 472 |
+
\begin{equation}\label{oe:recipe-exponent}
|
| 473 |
+
E_0=20,\qquad E_{a+1}=6E_a+20,\qquad E=E_{d_2},
|
| 474 |
+
\end{equation}
|
| 475 |
+
then all descriptions are $O(r^E)$. This recurrence is composed only
|
| 476 |
+
$d_2$ times, by Lemma~\ref{oe:derivative-closure}.
|
| 477 |
+
|
| 478 |
+
For each full target, a cutoff program uses at most $|H|$ group elements,
|
| 479 |
+
$r$ prefix rectangles, $r$ selectors per rectangle, and $O(r)$ primitive
|
| 480 |
+
alignment stages per selector. This is $O(r^{12})$ stages. For the orbit
|
| 481 |
+
focus, there are at most $|H|$ frequencies and $|H|$ requested group
|
| 482 |
+
indices. Even finding and storing a separate generator path of length
|
| 483 |
+
$|H|$ for every such pull gives $|H|^3$ stages, in addition to the mode
|
| 484 |
+
selectors. A bound $O(r^{30})$ covers both focus and cutoff work and the
|
| 485 |
+
two buffers. An entry alphabet has dimension at most $|H|^2\leq r^{18}$,
|
| 486 |
+
and a field entry uses $O(r)$ bits. Therefore
|
| 487 |
+
\begin{equation}\label{oe:raw-size-bound}
|
| 488 |
+
\text{raw data, local public constants, and schedule metadata at one
|
| 489 |
+
center}\ \leq C r^{E+60}.
|
| 490 |
+
\end{equation}
|
| 491 |
+
This includes public-address focus, critical focus, all slot types and
|
| 492 |
+
all four parts. The long sequence of $M_o$ cutoffs is represented by a
|
| 493 |
+
clock and reusable buffers, not by $M_o$ copies of these data.
|
| 494 |
+
|
| 495 |
+
Put $\ell_N=\lceil\log_2(N+2)\rceil$. Fix once an integer $C_L>E+100$
|
| 496 |
+
and pad each raw symbol to
|
| 497 |
+
\begin{equation}\label{oe:raw-length}
|
| 498 |
+
L=(\ell_N+C_{\rm base})^{C_L}.
|
| 499 |
+
\end{equation}
|
| 500 |
+
A fixed lower bound on $C_{\rm base}\geq1$ makes
|
| 501 |
+
\eqref{oe:raw-size-bound} fit for every $N$. The unpadded construction is
|
| 502 |
+
still parameterized by $r$ and the same slot schema. Increasing
|
| 503 |
+
$C_{\rm base}$ later adds zero padding only. The raw word and all
|
| 504 |
+
center-specific public descriptions have total length
|
| 505 |
+
\begin{equation}\label{oe:total-raw-size}
|
| 506 |
+
|\Gamma|\operatorname{poly}(\ell_N)
|
| 507 |
+
=M_o|H|\operatorname{poly}(\ell_N)
|
| 508 |
+
=N\operatorname{poly}(\ell_N).
|
| 509 |
+
\end{equation}
|
| 510 |
+
This is a bound on the listed bits, including index and field
|
| 511 |
+
representations, rather than just the number of slots.
|
| 512 |
+
|
| 513 |
+
Every local test and proposal can now be implemented by a fixed
|
| 514 |
+
polynomial-time bit algorithm on a bounded number of $L$-bit symbols.
|
| 515 |
+
Parsing, loops over slots and the explicit group $H$, arithmetic in $J$,
|
| 516 |
+
program interpretation, and multiplexing within a supplied
|
| 517 |
+
polylogarithmic array use bounded nests of polynomially bounded loops.
|
| 518 |
+
The largest local computation is the orbit-restricted parity solve of
|
| 519 |
+
Lemma~\ref{lem:outer-fill}. Its dimension is at most
|
| 520 |
+
\[
|
| 521 |
+
C|O|\,|H|\,\dim_J(U)\leq C|H|^4\leq CL^4.
|
| 522 |
+
\]
|
| 523 |
+
Its explicitly stored matrix has $O(L^9)$ bits if each field entry is
|
| 524 |
+
bounded by $L$ bits. Gaussian elimination uses $O(L^{12})$ field
|
| 525 |
+
operations, and elementary arithmetic and inversion have a schoolbook
|
| 526 |
+
bound $O(L^4)$ in this generous bit-length allowance. Even accessing
|
| 527 |
+
each entry by a linear scan through the matrix, and scanning the full
|
| 528 |
+
slot and metadata lists, adds only fixed polynomial factors. All other
|
| 529 |
+
displayed local operations have the same type of finite loop bound.
|
| 530 |
+
No routine iterates through the $M_o$ cutoffs to answer one query.
|
| 531 |
+
Choose an integer $a$ exceeding the sum of these fixed loop and
|
| 532 |
+
arithmetic exponents. A standard direct time-unrolling of a deterministic
|
| 533 |
+
bit computation of length $O(L^a)$ gives an acyclic bounded-fanin Boolean
|
| 534 |
+
circuit of size $O(L^{2a+2})$: represent each configuration by its used
|
| 535 |
+
tape cells and head indicators, and implement each next configuration
|
| 536 |
+
by Boolean selection. Thus one fixed exponent $c_{\rm raw}$ bounds all
|
| 537 |
+
raw local circuits. Its precise numerical value is immaterial; the
|
| 538 |
+
displayed construction fixes it before correction rounds or port arities
|
| 539 |
+
are selected.
|
| 540 |
+
|
| 541 |
+
All lists and constants are uniformly constructible. Global algorithms
|
| 542 |
+
enumerate the finite fields, groups, public routing tables, and full
|
| 543 |
+
constant encodings, using the deterministic searches and linear algebra
|
| 544 |
+
of Sections~\ref{sec:outer-codes} and~\ref{sec:outer-programs}. Their
|
| 545 |
+
time is $\operatorname{poly}(N)$, though it need not be quasilinear.
|
| 546 |
+
Input-dependent data without succinct evaluation at $c$ are accessed
|
| 547 |
+
through \eqref{oe:public-walsh-table}; other public constants are
|
| 548 |
+
hardwired only at the bounded, publicly specified neighbors of the
|
| 549 |
+
requested center. There is no hidden access to an unrepresented
|
| 550 |
+
length-$N$ array.
|
| 551 |
+
|
| 552 |
+
\subsection{Correction and the complete outer interface}
|
| 553 |
+
|
| 554 |
+
All full and scratch slots of $R_v$ satisfy their A constraints. Apply
|
| 555 |
+
the joint A-axis corrector of Lemma~\ref{lem:outer-uncertainty} to all
|
| 556 |
+
of them, together with majority correction of the repeated clock and
|
| 557 |
+
canonical padding. The local decoder enumerates at most $2^d$ label
|
| 558 |
+
subsets and solves the common scalar constraints componentwise. Since
|
| 559 |
+
$d$ is fixed, this again has a fixed polynomial bound in $L$, independent
|
| 560 |
+
of the number or dimensions of the packed slots. Enlarge $c_{\rm raw}$
|
| 561 |
+
once to cover this one-round routine.
|
| 562 |
+
|
| 563 |
+
Let $Q\geq2$ bound its neighborhood size and the sizes of the raw
|
| 564 |
+
neighborhoods. For any fixed nonnegative integer $t$, unrolling $t$
|
| 565 |
+
correction rounds followed by a raw local routine uses at most
|
| 566 |
+
\begin{equation}\label{oe:fixed-interface-composition}
|
| 567 |
+
C(1+Q+\cdots+Q^t)=O(Q^t)
|
| 568 |
+
\end{equation}
|
| 569 |
+
copies of these same $L$-bit circuits. Their intermediate outputs still
|
| 570 |
+
have length $L$. It follows that, for a constant $C_t$ depending on $t$,
|
| 571 |
+
the composite circuit has size at most $C_tL^{c_{\rm raw}}$. Its ports
|
| 572 |
+
are the finitely many compositions of the original permutations to depth
|
| 573 |
+
at most $t$, followed by a raw neighborhood. The exponent is independent
|
| 574 |
+
of $t$. A later increase of $C_{\rm base}$ changes only the linear work
|
| 575 |
+
of checking and writing padding; it changes neither this exponent nor
|
| 576 |
+
the number of ports. In particular, fixed multiplicative constants may
|
| 577 |
+
be absorbed into a subsequent exponent allowance with slack by increasing
|
| 578 |
+
$C_{\rm base}$ after all those constants have been fixed.
|
| 579 |
+
|
| 580 |
+
\begin{theorem}[Outer representation interface]\label{thm:outer-representation}
|
| 581 |
+
There are fixed positive constants $\delta_{\rm raw},\rho_{\rm raw}$,
|
| 582 |
+
fixed integers $C_L,c_{\rm raw}$, and uniform deterministic algorithms
|
| 583 |
+
with the following properties for every End-of-Line input of length $N$.
|
| 584 |
+
They construct a directed graph of valid extended labels, represented by
|
| 585 |
+
canonical words
|
| 586 |
+
\[
|
| 587 |
+
R_v\in(\{0,1\}^L)^\Gamma,
|
| 588 |
+
\qquad |\Gamma|=N\operatorname{poly}(\ell_N),
|
| 589 |
+
\qquad L=(\ell_N+C_{\rm base})^{C_L},
|
| 590 |
+
\qquad \ell_N=\lceil\log_2(N+2)\rceil,
|
| 591 |
+
\]
|
| 592 |
+
where $C_{\rm base}$ may be any sufficiently large fixed integer.
|
| 593 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 594 |
+
\item \textbf{Graph and endpoint data.} The graph has indegree and
|
| 595 |
+
outdegree at most one, no self-edges, and no isolated vertices. It has the
|
| 596 |
+
public distinguished source $v_*$ and actual successor $v_*^+$ in
|
| 597 |
+
\eqref{oe:public-source}; their entire words are computable in
|
| 598 |
+
$\operatorname{poly}(N)$ time. Every other endpoint is mapped in
|
| 599 |
+
$\operatorname{poly}(N)$ time to a nonzero solution of the input
|
| 600 |
+
End-of-Line instance. Every canonical word is computable from its valid
|
| 601 |
+
label in polynomial time.
|
| 602 |
+
\item \textbf{Distance and valid-word testing.} Distinct canonical words
|
| 603 |
+
have normalized symbol distance at least $\delta_{\rm raw}$. A uniform
|
| 604 |
+
center test has perfect completeness and uses only a fixed finite list
|
| 605 |
+
$\Pi$ of permutation-neighbors, of cardinality $q$ independent of $N$.
|
| 606 |
+
For every fixed $\alpha>0$ there is a fixed $\theta_\alpha>0$ such that
|
| 607 |
+
\[
|
| 608 |
+
\operatorname{rej}(W)<\theta_\alpha
|
| 609 |
+
\quad\Longrightarrow\quad
|
| 610 |
+
\dist(W,R_v)<\alpha\quad\hbox{for some valid }v.
|
| 611 |
+
\]
|
| 612 |
+
Also $\operatorname{rej}(W)\leq q\dist(W,R_v)$ for every valid $v$.
|
| 613 |
+
\item \textbf{Local proposals and flags.} At each requested center,
|
| 614 |
+
total deterministic routines on $\Pi(k)$ compute a next or previous
|
| 615 |
+
proposed symbol and an existence bit. On $R_v$ the bit is independent
|
| 616 |
+
of the center and equals the actual edge-existence flag. If it is one,
|
| 617 |
+
the proposed symbols form exactly the canonical neighboring word; if it
|
| 618 |
+
is zero, the default proposal is $R_v$ itself.
|
| 619 |
+
\item \textbf{Value-independent uncertainty correction.} There is a
|
| 620 |
+
total local one-round corrector with a bounded permutation neighborhood.
|
| 621 |
+
If $|U|/|\Gamma|\leq\rho_{\rm raw}$, it maps every word agreeing with
|
| 622 |
+
$R_v$ outside $U$ to a word agreeing with $R_v$ outside a set $U^+$
|
| 623 |
+
determined only by $U$, with $|U^+|\leq|U|/2$. Consequently $t$ rounds
|
| 624 |
+
leave a prescribed uncertainty support of density at most
|
| 625 |
+
$2^{-t}|U|/|\Gamma|$. The guarantee holds for arbitrary values on $U$.
|
| 626 |
+
Different requested-center simulations may use different values there,
|
| 627 |
+
provided repeated occurrences of a position are consistent within each
|
| 628 |
+
individual cone.
|
| 629 |
+
\item \textbf{Global recovery.} From any word within
|
| 630 |
+
$\rho_{\rm raw}$ symbol distance of a valid word, a deterministic
|
| 631 |
+
polynomial-time algorithm recovers its exact extended label and raw
|
| 632 |
+
word. It then recovers the logical bits by systematic coefficient
|
| 633 |
+
extraction and evaluation on the subgroup. In particular it extracts an
|
| 634 |
+
End-of-Line answer whenever the recovered label is a nonexceptional
|
| 635 |
+
endpoint.
|
| 636 |
+
\item \textbf{Uniform cost and order of choices.} The total raw data and
|
| 637 |
+
listed public descriptions have $N\operatorname{poly}(\ell_N)$ bits
|
| 638 |
+
and are constructible in $\operatorname{poly}(N)$ time. Each raw local
|
| 639 |
+
test, proposed symbol, flag, and one-round corrector has a Boolean
|
| 640 |
+
circuit of size at most $CL^{c_{\rm raw}}$ on a fixed number of symbols.
|
| 641 |
+
For each fixed $t$, correction for $t$ rounds followed by any such raw
|
| 642 |
+
routine has size at most $C_tL^{c_{\rm raw}}$ and at most $O(Q^t)$
|
| 643 |
+
symbol ports, with uniform construction for that $t$. The exponents
|
| 644 |
+
$C_L,c_{\rm raw}$ are fixed before $t$ and any later port arity. Further
|
| 645 |
+
fixed additive padding in $C_{\rm base}$ has only linear processing
|
| 646 |
+
cost and does not change these exponents or arities.
|
| 647 |
+
\end{enumerate}
|
| 648 |
+
\end{theorem}
|
| 649 |
+
|
| 650 |
+
\begin{proof}
|
| 651 |
+
The graph and local evolution were established in
|
| 652 |
+
Lemma~\ref{oe:preparation} and \eqref{oe:replacement-path}. The tester
|
| 653 |
+
and distance are Lemma~\ref{oe:valid-testing}. For example, its constants
|
| 654 |
+
allow
|
| 655 |
+
\[
|
| 656 |
+
\theta_\alpha=
|
| 657 |
+
\min\{g_{\rm rep}/2,\alpha/(2C_{\rm rep})\}.
|
| 658 |
+
\]
|
| 659 |
+
All local proposals use the same primitive permutation list as the
|
| 660 |
+
tester, enlarging it by a fixed number of maps if necessary.
|
| 661 |
+
|
| 662 |
+
For the correction claim, let $d$ and $\delta_1$ be the outer A-code
|
| 663 |
+
degree and distance. Choose $\rho_{\rm raw}$ smaller than both
|
| 664 |
+
$\delta_{\rm raw}/3$ and $\delta_1/4$, and smaller than the fixed
|
| 665 |
+
uncertainty radius in Lemma~\ref{lem:outer-uncertainty}. An admissible
|
| 666 |
+
choice of $U^+$ is the set of centers having at least $(\delta_1/2)d$
|
| 667 |
+
neighbors in $U$ in a forward or inverse A list. Off this set all row
|
| 668 |
+
suggestions have fewer than half the local minimum distance in errors,
|
| 669 |
+
so the joint decoder recovers the reference exactly; the clock majority
|
| 670 |
+
and padding agree there too. If $u=|U|/|\Gamma|$, the spectral estimate
|
| 671 |
+
from that lemma gives
|
| 672 |
+
\[
|
| 673 |
+
\frac{|U^+|}{|\Gamma|}
|
| 674 |
+
\leq\frac{2\lambda^2u}{(\delta_1/2-u)^2}
|
| 675 |
+
\leq\frac u2.
|
| 676 |
+
\]
|
| 677 |
+
Neither this support nor the proof refers to the values inside $U$.
|
| 678 |
+
For a requested-center cone with consistent repeated positions, extend
|
| 679 |
+
its initially supplied values arbitrarily to the whole word, setting
|
| 680 |
+
the reference outside $U$. The same support argument applies. This
|
| 681 |
+
proves the assertion even when separate cones choose different
|
| 682 |
+
extensions.
|
| 683 |
+
|
| 684 |
+
After $O(\log|\Gamma|)$ synchronous global rounds the uncertainty set
|
| 685 |
+
has cardinality less than one, giving exact recovery in polynomial
|
| 686 |
+
time. From a recovered logical singleton slot, read its coefficient
|
| 687 |
+
payload and evaluate the degree-$<h$ interpolant at $\omega^j$,
|
| 688 |
+
$0\leq j<h$, to obtain the corresponding logical bits. The repeated
|
| 689 |
+
clock gives $(c,\eta,j)$. The distance choice makes the promised
|
| 690 |
+
reference unique. On inputs outside the recovery promise the algorithm
|
| 691 |
+
has a total default; it may check the decoded label and its canonical
|
| 692 |
+
word by the global polynomial-time algorithms. Finally,
|
| 693 |
+
\eqref{oe:recipe-size-recurrence}--\eqref{oe:total-raw-size} and
|
| 694 |
+
\eqref{oe:fixed-interface-composition} give all asserted cost and
|
| 695 |
+
parameter-order statements.
|
| 696 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/06-outer-composition.tex
ADDED
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|
| 1 |
+
\section{Binary composition and the robust outer circuit}\label{sec:outer-composition}
|
| 2 |
+
|
| 3 |
+
We now convert the symbol representation into a generalized circuit. Two
|
| 4 |
+
features of the conversion require separate arguments. A local Boolean
|
| 5 |
+
function may inspect polynomially many bits of a bounded number of symbols;
|
| 6 |
+
its implementation must tolerate failures among its own gates. Moreover,
|
| 7 |
+
sharing such implementations must not allow one corrupted physical value
|
| 8 |
+
to spoil an unbounded number of decisions. We state the first interface,
|
| 9 |
+
proved in Section~\ref{sec:inner-gadget}, and then give the construction and
|
| 10 |
+
all the counting and synchronization arguments for the second.
|
| 11 |
+
The same sequence is used inside a decision gadget in
|
| 12 |
+
Section~\ref{sec:inner-gadget}: first obtain replica synchronization without
|
| 13 |
+
trusting decisions, then bound unstable comparisons and failed computations,
|
| 14 |
+
and finally use the clipped mean displacement to locate an endpoint.
|
| 15 |
+
At the outer scale, a completed decision is shared by a group of output
|
| 16 |
+
replicas, called a cohort; its internal gates and external read occurrences are charged separately from
|
| 17 |
+
each output's own remaining gates.
|
| 18 |
+
|
| 19 |
+
Throughout this section, a distance between words is relative Hamming
|
| 20 |
+
distance, unless a norm is displayed. A constant may depend on previously
|
| 21 |
+
fixed accuracies, but never on the End-of-Line input or its length. A
|
| 22 |
+
``fixed branch'' of a randomized answer tree means that the earlier
|
| 23 |
+
hypothetical answers are fixed when the randomized algorithm is described.
|
| 24 |
+
It does not mean conditioning the probability space on receiving those
|
| 25 |
+
answers. This distinction applies also to branches never executed.
|
| 26 |
+
|
| 27 |
+
\subsection{A fixed port and a robust Boolean decision}
|
| 28 |
+
|
| 29 |
+
The port family will encode every raw symbol in the same binary format.
|
| 30 |
+
Its tester lets us recognize symbols close enough to use, and its recovery
|
| 31 |
+
radius is fixed before we know how many symbols a corrected local
|
| 32 |
+
computation will inspect. Once that arity is fixed, the robust-decision part of
|
| 33 |
+
the interface realizes one Boolean output of such a computation. It
|
| 34 |
+
provides many designated copies of the answer, so the guarantee remains
|
| 35 |
+
useful even when failed gates concentrate on designated outputs.
|
| 36 |
+
|
| 37 |
+
\begin{theorem}[Standardized ports and robust decisions]\label{thm:port-gadget}
|
| 38 |
+
For every fixed positive integer exponent allowance $c_{\rm allow}$, there
|
| 39 |
+
are a cutoff $L_{\rm port}$ and a uniform family of injective binary
|
| 40 |
+
encodings, for $L\geq L_{\rm port}$,
|
| 41 |
+
\[
|
| 42 |
+
\mathcal D:\{0,1\}^{L}\longrightarrow\{0,1\}^{S_0},
|
| 43 |
+
\qquad S_0=\poly(L),
|
| 44 |
+
\]
|
| 45 |
+
with fixed positive relative distance $d_B$, satisfying \textup{(i)}--
|
| 46 |
+
\textup{(ii)} below. The radius $\nu_B$ in \textup{(iii)} is fixed with
|
| 47 |
+
this port family; the actual-gadget assertions in that part have the
|
| 48 |
+
separate later cutoff specified there.
|
| 49 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 50 |
+
\item Every coordinate of $\mathcal D(s)$ is a multilinear polynomial in
|
| 51 |
+
the bits of $s$ over $\F_2$, of degree at most $10$. Its coefficient list
|
| 52 |
+
is computable in time polynomial in $L$. The degree bound is independent
|
| 53 |
+
of $c_{\rm allow}$. Encoding and exact recovery from a fixed positive
|
| 54 |
+
relative-error radius are deterministic polynomial-time algorithms.
|
| 55 |
+
\item A perfect-completeness tester makes a bounded number of bit queries
|
| 56 |
+
and performs bounded Boolean answer processing. Its public randomness has
|
| 57 |
+
an enumerable polynomial-size rational support and polynomial bit
|
| 58 |
+
complexity. For every fixed $a>0$, there are a fixed $\theta_B(a)>0$
|
| 59 |
+
and a cutoff $L_B(a)\geq L_{\rm port}$, allowed to depend on $a$, such
|
| 60 |
+
that for every $L\geq L_B(a)$ rejection below $\theta_B(a)$ implies
|
| 61 |
+
distance less than $a$ from $\mathcal D(\{0,1\}^L)$.
|
| 62 |
+
A word at distance $a$ from an encoding has
|
| 63 |
+
rejection at most $C_Ba$, for a fixed $C_B$. Each fixed-branch query has a
|
| 64 |
+
bounded-density marginal relative to the uniform distribution on the
|
| 65 |
+
block. These assertions include arbitrary words and all hypothetical
|
| 66 |
+
branches.
|
| 67 |
+
\item There is a constant $0<\nu_B<d_B/4$ determined with this encoding,
|
| 68 |
+
before any arity is specified. Subsequently fix an arity bound $k$, a
|
| 69 |
+
size factor $C_f$, and a desired output loss $\upsilon>0$. There is a
|
| 70 |
+
further cutoff $L_g$, allowed to depend on these fixed choices, such that
|
| 71 |
+
all actual-gadget assertions below hold for every
|
| 72 |
+
$L\geq\max\{L_{\rm port},L_g\}$. Consider any single-bit Boolean
|
| 73 |
+
function of at most $k$ length-$L$ strings, described
|
| 74 |
+
by an acyclic fan-in-at-most-two circuit over a fixed Boolean basis with
|
| 75 |
+
public constants, of size at most $C_f L^{c_{\rm allow}}$. Some inputs
|
| 76 |
+
may be declared public $0^L$.
|
| 77 |
+
|
| 78 |
+
There is a uniform generalized subcircuit for this function, with a
|
| 79 |
+
common count scale $G_0=\poly(L)$ for all padded functions under these
|
| 80 |
+
bounds, at most $C_gG_0$ gates, and a set of $W$ designated output wires
|
| 81 |
+
produced by its gates, where
|
| 82 |
+
\begin{equation}\label{out:designated-count}
|
| 83 |
+
c_gG_0\leq W\leq C_gG_0.
|
| 84 |
+
\end{equation}
|
| 85 |
+
Here $c_g,C_g>0$ are fixed. Each nonpublic external input is a block of
|
| 86 |
+
physical reads $X=3x-1$, with $x\in[0,1]$, compared to a public common
|
| 87 |
+
rational threshold $\xi\in[2/5,3/5]$. Every external comparison occurrence
|
| 88 |
+
in the complete unfolded subcircuit can be routed separately to an
|
| 89 |
+
external replica.
|
| 90 |
+
For each external port position, the total number of these occurrences is
|
| 91 |
+
at most
|
| 92 |
+
\begin{equation}\label{out:port-occurrence}
|
| 93 |
+
C_{\rm occ}G_0/S_0,
|
| 94 |
+
\end{equation}
|
| 95 |
+
uniformly over $\xi$, the function, and its public parameters. This counts
|
| 96 |
+
all hypothetical branches, including unsuccessful and default branches.
|
| 97 |
+
|
| 98 |
+
There are fixed $\delta_g,\gamma_g,\eps_g>0$ with the following universal
|
| 99 |
+
soundness property. Fix logical strings $s_1,\ldots,s_k$ and ideal binary
|
| 100 |
+
port words $y_j$ satisfying
|
| 101 |
+
$\dist(y_j,\mathcal D(s_j))\leq\nu_B$ for each nonpublic port.
|
| 102 |
+
For any subsequently chosen fixed physical margin $\omega>0$, use
|
| 103 |
+
\[
|
| 104 |
+
0<\eps\leq\eps_g,\qquad \eps<\omega/1000.
|
| 105 |
+
\]
|
| 106 |
+
Suppose at most $\gamma_gG_0$ external comparison occurrences fail to
|
| 107 |
+
have a physical value on the side of $\xi$ specified by the corresponding
|
| 108 |
+
bit of $y_j$, at gap greater than $\omega$. Repeated occurrences need not
|
| 109 |
+
have consistent physical values. Then every assignment of the internal
|
| 110 |
+
nodes in $[0,1]$ with at most $\delta_gG_0$ failed gates makes all but
|
| 111 |
+
$\upsilon W$ designated wires correct near-bits for $f(s_1,\ldots,s_k)$:
|
| 112 |
+
at most $\eps$ for zero and at least $1-\eps$ for one.
|
| 113 |
+
\end{enumerate}
|
| 114 |
+
The port construction and $\nu_B$ are independent of $k,C_f,\upsilon$.
|
| 115 |
+
The later constants, the gate-count bounds, and the topology bounds may
|
| 116 |
+
depend on these fixed choices, but not on $L,\xi$, or the later margin
|
| 117 |
+
$\omega$. The threshold may appear as a rational gate parameter.
|
| 118 |
+
Construction and other parameter computations take polynomial time in
|
| 119 |
+
$L$ and the supplied description lengths, including the bit length of
|
| 120 |
+
$\xi$; all parameter lengths are bounded by a polynomial in these
|
| 121 |
+
quantities. In particular an arbitrarily long externally supplied
|
| 122 |
+
threshold is charged for its bits.
|
| 123 |
+
\end{theorem}
|
| 124 |
+
|
| 125 |
+
Sections~\ref{sec:inner-algebra} and~\ref{sec:inner-binary} construct the
|
| 126 |
+
algebraic and binary ingredients. Proposition~\ref{prop:dummy-port}
|
| 127 |
+
proves the fixed encoding, tester, and recovery assertions. The remaining
|
| 128 |
+
construction in Section~\ref{sec:inner-gadget} proves the physical occurrence
|
| 129 |
+
bound~\eqref{ig:external-load}, gate count~\eqref{ig:gate-count}, and robust
|
| 130 |
+
output guarantee~\eqref{ig:extraction-loss}, using the independent geometric
|
| 131 |
+
procedures proved in Section~\ref{sec:geometry}. None of these constructions
|
| 132 |
+
uses the outer circuit constructed here.
|
| 133 |
+
|
| 134 |
+
\subsection{Port substitution, validation, and average correction}
|
| 135 |
+
|
| 136 |
+
Apply Theorem~\ref{thm:outer-representation}, writing its raw encoding as
|
| 137 |
+
$R_w=(s_k)_{k\in\Gamma}$, with
|
| 138 |
+
\[
|
| 139 |
+
\ell_N=\lceil\log_2(N+2)\rceil,\qquad
|
| 140 |
+
L=(\ell_N+C_{\rm base})^{C_L},\qquad
|
| 141 |
+
|\Gamma|=O(N\ell_N^{O(1)}).
|
| 142 |
+
\]
|
| 143 |
+
Choose $c_{\rm allow}>c_{\rm raw}+12$, with any additional fixed local
|
| 144 |
+
polynomial overhead absorbed in this inequality, and construct
|
| 145 |
+
$\mathcal D$ before choosing correction rounds. Put
|
| 146 |
+
\begin{equation}\label{out:binary-encoding}
|
| 147 |
+
E_w=(\mathcal D(s_k))_{k\in\Gamma},\qquad m=|\Gamma|S_0.
|
| 148 |
+
\end{equation}
|
| 149 |
+
The product of the two relative distances is a positive Hamming-distance
|
| 150 |
+
bound; write $d_*>0$ for its square root, a lower bound on normalized
|
| 151 |
+
Euclidean separation. The distinguished source and its actual successor are publicly computable in polynomial time.
|
| 152 |
+
|
| 153 |
+
There is a fixed radius $\rho_{\rm dec}>0$ from which these words can be
|
| 154 |
+
decoded globally. Indeed, let $r_B>0$ be a port recovery radius and
|
| 155 |
+
$r_{\rm raw}>0$ a raw recovery radius. If the whole binary distance is
|
| 156 |
+
less than $r_Br_{\rm raw}/2$, at most an $r_{\rm raw}/2$ fraction of port
|
| 157 |
+
blocks can be at distance at least $r_B$ from their true block. Decode
|
| 158 |
+
all ports, using a fixed default on an invalid or unsuccessful decoder
|
| 159 |
+
output, and then use the raw decoder. An incorrect decoding at a bad
|
| 160 |
+
site need not be detectable; the raw error bound already charges all
|
| 161 |
+
such sites. Fix a smaller radius $\rho_{\rm dec}$ if necessary.
|
| 162 |
+
|
| 163 |
+
The graph in Theorem~\ref{thm:outer-representation} has indegree and
|
| 164 |
+
outdegree at most one, no self-edges, and no isolated vertices. Write
|
| 165 |
+
$w_*$ for its distinguished source, which has an actual successor, and
|
| 166 |
+
call every other missing-neighbor vertex a desired endpoint. The
|
| 167 |
+
geometric construction applies to this encoded graph. For an edge
|
| 168 |
+
$u\to v$, its four-block polygon successively changes the second, third,
|
| 169 |
+
first, and third blocks:
|
| 170 |
+
\[
|
| 171 |
+
\begin{aligned}
|
| 172 |
+
(E_u,E_u,0,0)&\longrightarrow(E_u,E_v,0,0)
|
| 173 |
+
\longrightarrow(E_u,E_v,1,0)\\
|
| 174 |
+
&\longrightarrow(E_v,E_v,1,0)
|
| 175 |
+
\longrightarrow(E_v,E_v,0,0).
|
| 176 |
+
\end{aligned}
|
| 177 |
+
\]
|
| 178 |
+
Here a scalar in a block denotes its constant repetition. The corners
|
| 179 |
+
are rounded, and a segment in the fourth block enters the distinguished
|
| 180 |
+
source from $(E_{w_*},E_{w_*},0,2)$.
|
| 181 |
+
Theorem~\ref{thm:geometry} constructs a displacement field on
|
| 182 |
+
\[
|
| 183 |
+
\mathcal B=[-1,2]^{4m},\qquad
|
| 184 |
+
\norm{U}_{\rm b}^2=\frac1m\sum_i U_i^2,
|
| 185 |
+
\]
|
| 186 |
+
where all distances to subsets of $\mathcal B$ use this norm. Each point
|
| 187 |
+
of its endpoint set $\mathcal E$ has first block exactly $E_w$ for a desired
|
| 188 |
+
endpoint $w$; the top of the extra segment is excluded. For any sufficiently
|
| 189 |
+
small fixed rational $\tau>0$, chosen to meet the validation and
|
| 190 |
+
global-recovery bounds in \eqref{out:tau}, there are constants
|
| 191 |
+
$B_1,c_*,\beta_0>0$ and a field
|
| 192 |
+
$v$ such that, after increasing $B_1$ to an integer,
|
| 193 |
+
\begin{equation}\label{out:geometry-displacement}
|
| 194 |
+
\norm{v(U)}_\infty\leq B_1-1,\qquad
|
| 195 |
+
\norm{\clip_{\mathcal B}(U+\beta v(U))-U}_{\rm b}\geq c_*\beta
|
| 196 |
+
\end{equation}
|
| 197 |
+
whenever $\dist(U,\mathcal E)>10\tau$ and $0<\beta\leq\beta_0$.
|
| 198 |
+
These constants precede estimator accuracy and the step $\beta$.
|
| 199 |
+
The circuit will keep many replicas of each physical coordinate and
|
| 200 |
+
force their mean vector close to $\mathcal E$; rounding the first block
|
| 201 |
+
will then permit global recovery.
|
| 202 |
+
|
| 203 |
+
To approximate the field locally, the numerical procedure of
|
| 204 |
+
Lemma~\ref{lem:geometric-procedures} rounds the first two blocks at one
|
| 205 |
+
common threshold $\xi\in[2/5,3/5]$. Each rounded word is a seed for
|
| 206 |
+
validation. On good decisions an accepted seed must identify one fixed
|
| 207 |
+
reference vertex, independent of the random acceptance decision and of
|
| 208 |
+
the requested confidence or numerical accuracy; a seed in the intermediate
|
| 209 |
+
region may be accepted or rejected. If one of the first two physical
|
| 210 |
+
blocks is within $5\tau$ of a valid word, its seed must be accepted with that
|
| 211 |
+
reference on good decisions for every allowed threshold. The procedure
|
| 212 |
+
then asks for incident-edge flags, bits of each reference and its actual neighbors,
|
| 213 |
+
and bits of the distinguished source and its successor. Each word-bit
|
| 214 |
+
request uses either the coordinate matching the field component being
|
| 215 |
+
estimated or a preallocated uniform coordinate for a bounded scalar
|
| 216 |
+
statistic. Each reference and its neighbors determine a bounded list of
|
| 217 |
+
incident path pieces; a fixed mesh and estimates of their scalar data
|
| 218 |
+
approximate the field near those pieces. Scalar reads use fixed-width
|
| 219 |
+
quantization with a public offset. We next supply these calls. Their
|
| 220 |
+
number is fixed once the geometric mesh, scalar sample counts and
|
| 221 |
+
numerical tolerances have been chosen, before the smaller bit-error
|
| 222 |
+
budgets are assigned.
|
| 223 |
+
|
| 224 |
+
\begin{lemma}[Protecting functional inputs]\label{out:flags}
|
| 225 |
+
There are constants $0<a_1<a_2<\nu_B$, fixed before the arity of any
|
| 226 |
+
functional invocation, with the following property. A bounded Boolean
|
| 227 |
+
flag routine on an arbitrary binary port block can have arbitrarily
|
| 228 |
+
small fixed failure probability, unflagging every block within $a_1$ of
|
| 229 |
+
an encoding and flagging every block at distance at least $a_2$ from all
|
| 230 |
+
encodings. In a functional invocation replace flagged ports by public
|
| 231 |
+
$0^L$. Except on the union of the completed flag routines' failure
|
| 232 |
+
events, every nonpublic input of every selected invocation is within
|
| 233 |
+
$\nu_B$ of its intended encoding.
|
| 234 |
+
\end{lemma}
|
| 235 |
+
\begin{proof}
|
| 236 |
+
Choose $a_2<\nu_B$ and then $a_1$ so small that
|
| 237 |
+
$C_Ba_1<\theta_B(a_2)/4$. Estimate port-tester rejection by a fixed
|
| 238 |
+
number of independent trials and compare to $\theta_B(a_2)/2$.
|
| 239 |
+
Bounded independent variables give any fixed confidence by increasing
|
| 240 |
+
the fixed sample count. In the interval between the two promises either
|
| 241 |
+
Boolean result is permitted. An unflagged block on the good event is
|
| 242 |
+
within $a_2$ of an encoding, unique because $a_2<d_B/4$; take its logical
|
| 243 |
+
string as the intended input. A flagged input is explicitly a public
|
| 244 |
+
zero, so it requires no external near-port premise. A union bound is
|
| 245 |
+
applied to the finite list of completed flag promises, after that list
|
| 246 |
+
has been fixed. Their internal tester answer trees are not counted as
|
| 247 |
+
new logical promises.
|
| 248 |
+
\end{proof}
|
| 249 |
+
|
| 250 |
+
Fix a physical vector $U$ and initially fix its rounding threshold and
|
| 251 |
+
scalar offset. A rounded seed $y=(y_k)_{k\in\Gamma}$ is now a fixed
|
| 252 |
+
binary word; use bit one at equality with the threshold. For analysis, define a global nearest-symbol convention
|
| 253 |
+
$s^*(k)$ at every site within $a_2$ of a port encoding, and choose a
|
| 254 |
+
fixed arbitrary string elsewhere. An ideal functional call computes
|
| 255 |
+
its Boolean function on these symbols at unflagged inputs and on
|
| 256 |
+
$0^L$ at flagged inputs. Within one correction cone, deduplicate repeated
|
| 257 |
+
raw sites and share their flag and initial logical value. Different
|
| 258 |
+
cones may make different choices at uncertain sites.
|
| 259 |
+
|
| 260 |
+
\begin{lemma}[Binary validation]\label{out:validation}
|
| 261 |
+
There are fixed $0<\rho_{\rm comp}<\rho_{\rm acc}$, with
|
| 262 |
+
$\rho_{\rm acc}$ smaller than the uniqueness radius of
|
| 263 |
+
\eqref{out:binary-encoding}, and a finite ideal Boolean validation
|
| 264 |
+
procedure such that, with arbitrarily high fixed probability, acceptance
|
| 265 |
+
implies distance less than $\rho_{\rm acc}$ from a unique valid $E_w$,
|
| 266 |
+
and distance less than $\rho_{\rm comp}$ implies acceptance with the
|
| 267 |
+
true reference. The procedure uses port flags, port tests, and bounded
|
| 268 |
+
raw-checker functional calls. It remains valid with averaged stationary
|
| 269 |
+
expander-walk sampling as described below.
|
| 270 |
+
\end{lemma}
|
| 271 |
+
\begin{proof}
|
| 272 |
+
Choose $\rho_{\rm acc}$ small enough that
|
| 273 |
+
$\rho_{\rm acc}/a_1$ is within the raw uncertainty-correction radius.
|
| 274 |
+
Choose $\alpha<\rho_{\rm acc}/4$ and take the raw gap
|
| 275 |
+
$0<\theta_\alpha\leq1$ from Theorem~\ref{thm:outer-representation}.
|
| 276 |
+
Writing $q=|\Pi|$ for its bounded checker-neighborhood size, choose
|
| 277 |
+
$0<a<a_1$ and $b_0>0$ satisfying
|
| 278 |
+
\begin{equation}\label{out:validation-constants}
|
| 279 |
+
\alpha+a+b_0<\rho_{\rm acc},\qquad
|
| 280 |
+
qb_0<\theta_\alpha/16,
|
| 281 |
+
\qquad p_{\max}=b_0\theta_B(a)>0.
|
| 282 |
+
\end{equation}
|
| 283 |
+
Decrease $p_{\max}$ if necessary. Let $p$ be the average port-tester
|
| 284 |
+
rejection over all sites. Estimate $p$, and independently simulate the
|
| 285 |
+
raw checker at sampled centers using the flagged/substituted inputs.
|
| 286 |
+
Accept when the first estimate is at most $p_{\max}/2$ and the simulated
|
| 287 |
+
raw rejection estimate is at most $\theta_\alpha/2$.
|
| 288 |
+
|
| 289 |
+
On statistics of error less than $p_{\max}/4$, acceptance gives
|
| 290 |
+
$p<p_{\max}$. Consequently the fraction of sites not within $a$ of any
|
| 291 |
+
port encoding is less than $b_0$. At a center whose entire neighborhood
|
| 292 |
+
avoids these sites, good flag promises leave all inputs unflagged and
|
| 293 |
+
make the simulated checker exactly the checker on the global word
|
| 294 |
+
$s^*$. Exceptional centers occupy at most $qb_0$. In the analysis,
|
| 295 |
+
also estimate the true checker result on $s^*$ to accuracy
|
| 296 |
+
$\theta_\alpha/8$ and the exceptional-center fraction to accuracy
|
| 297 |
+
$\theta_\alpha/16$. These are fixed bounded statistics; the algorithm
|
| 298 |
+
need not compute the hypothetical true statistic. On their good events
|
| 299 |
+
and the completed flags' good events,
|
| 300 |
+
\[
|
| 301 |
+
\Pr[\text{raw checker rejects }s^*]
|
| 302 |
+
\leq\theta_\alpha/2+\theta_\alpha/8+qb_0+\theta_\alpha/16
|
| 303 |
+
<\theta_\alpha.
|
| 304 |
+
\]
|
| 305 |
+
Raw soundness makes $s^*$ $\alpha$-close to a valid $R_w$. Charging all
|
| 306 |
+
raw-disagreement sites and all non-$a$-close sites at cost one yields
|
| 307 |
+
\[
|
| 308 |
+
\dist(y,E_w)<\alpha+a+b_0<\rho_{\rm acc}.
|
| 309 |
+
\]
|
| 310 |
+
The uniqueness radius makes this reference independent of subsequent
|
| 311 |
+
random acceptance decisions for the fixed $y$.
|
| 312 |
+
|
| 313 |
+
Conversely, if $\dist(y,E_w)<\rho_{\rm comp}$, then
|
| 314 |
+
$p\leq C_B\rho_{\rm comp}$. By Markov's inequality at most
|
| 315 |
+
$\rho_{\rm comp}/a$ of the ports are at distance at least $a$ from their
|
| 316 |
+
true block. Outside their $\Pi$-neighborhoods the simulated checker is
|
| 317 |
+
the perfectly accepting raw checker. Choose $\rho_{\rm comp}$ so small
|
| 318 |
+
that both means are strictly below one quarter of their acceptance
|
| 319 |
+
thresholds; choose the sampling errors with the remaining slack. Flag
|
| 320 |
+
error probabilities are set after the sample counts. This proves both
|
| 321 |
+
assertions. The proof requires concentration of the sampled exceptional
|
| 322 |
+
fraction when $p$ is small. It never requires an arbitrarily long batch
|
| 323 |
+
to avoid every exceptional site.
|
| 324 |
+
\end{proof}
|
| 325 |
+
|
| 326 |
+
Choose the geometric radius so that
|
| 327 |
+
\begin{equation}\label{out:tau}
|
| 328 |
+
4(10\tau)^2<\rho_{\rm dec},\qquad
|
| 329 |
+
\frac{(5\tau)^2}{(2/5)^2}<\rho_{\rm comp}.
|
| 330 |
+
\end{equation}
|
| 331 |
+
The second inequality supplies physical validation completeness:
|
| 332 |
+
every incorrectly rounded coordinate of a binary word costs at least
|
| 333 |
+
$(2/5)^2$ in squared distance for every allowed threshold. Fix the
|
| 334 |
+
resulting $B_1,c_*,\beta_0$ and fix $\kappa=1/100$, the replica gap used
|
| 335 |
+
below. Set the unscaled estimator error target with slack, smaller than
|
| 336 |
+
$c_*\kappa/100$ in normalized root-mean-square norm.
|
| 337 |
+
|
| 338 |
+
\begin{lemma}[Average correction of every relevant word role]
|
| 339 |
+
\label{out:average-correction}
|
| 340 |
+
After fixing the high-level mesh and statistical call counts, boundedly
|
| 341 |
+
many raw correction rounds suffice to supply every required incident
|
| 342 |
+
flag and every requested encoding bit, with any prescribed fixed average
|
| 343 |
+
error. The average is over a uniform output component or its
|
| 344 |
+
uniform-marginal statistical requests. The conclusion holds
|
| 345 |
+
unconditionally for every true reference that can be accepted on good
|
| 346 |
+
validation decisions, before selecting pieces or numerical winners.
|
| 347 |
+
All resulting single-bit functions fit the fixed exponent allowance of
|
| 348 |
+
Theorem~\ref{thm:port-gadget}.
|
| 349 |
+
\end{lemma}
|
| 350 |
+
\begin{proof}
|
| 351 |
+
Fix a rounded seed that can be accepted on good validation, and its
|
| 352 |
+
unique reference $R_w=(s_k)$. Put
|
| 353 |
+
\[
|
| 354 |
+
U_0=\{k:\dist(y_k,\mathcal D(s_k))>a_1\},
|
| 355 |
+
\qquad |U_0|/|\Gamma|\leq\rho_{\rm acc}/a_1.
|
| 356 |
+
\]
|
| 357 |
+
Outside $U_0$, good flags unflag the port and its unique nearest logical
|
| 358 |
+
string is $s_k$. Within $U_0$, substitution and intermediate flag choices
|
| 359 |
+
may supply arbitrary values. In each deduplicated cone extend those
|
| 360 |
+
initial values to a whole raw word agreeing with $R_w$ outside $U_0$.
|
| 361 |
+
The raw uncertainty theorem gives a residual set $U_t$, depending only
|
| 362 |
+
on $U_0$, with arbitrarily small fixed density after sufficiently many
|
| 363 |
+
fixed rounds $t$. Its guarantee holds simultaneously for every such
|
| 364 |
+
extension. Thus different cones and correlated intermediate flags cause
|
| 365 |
+
no additional exceptional support. A corrected symbol is right off
|
| 366 |
+
$U_t$; a local proposal and edge flag are right off a fixed permutation
|
| 367 |
+
expansion of $U_t$.
|
| 368 |
+
|
| 369 |
+
Compute an edge flag at a uniform-marginal center. For a requested own
|
| 370 |
+
or neighboring encoding bit, compute the appropriate raw output symbol
|
| 371 |
+
and then the requested coordinate polynomial of $\mathcal D$. Matching
|
| 372 |
+
coordinates are uniform in the output average; the statistical requests
|
| 373 |
+
have the same center marginal. Each fixed permutation expansion
|
| 374 |
+
therefore costs at most its size times $|U_t|/|\Gamma|$. Set $t$ for
|
| 375 |
+
the already fixed list of high-level true roles and calls. No union over
|
| 376 |
+
all possible intermediate flag patterns is necessary.
|
| 377 |
+
|
| 378 |
+
The raw simulation uses at most $C_tL^{c_{\rm raw}}$ Boolean gates, with
|
| 379 |
+
exponent independent of $t$. A degree-at-most-ten Boolean polynomial has
|
| 380 |
+
at most $\sum_{j=0}^{10}\binom Lj=O((L+1)^{10})$ monomials. Compute each
|
| 381 |
+
monomial by a bounded-fanin AND tree and their sum by XOR gates expanded
|
| 382 |
+
in the fixed basis. Coefficients and the requested bit's description are
|
| 383 |
+
publicly generated. The extra bit-index and padding work has a fixed
|
| 384 |
+
polynomial exponent. Our initial choice of $c_{\rm allow}$ leaves
|
| 385 |
+
slack for this work. The number of raw ports and the multiplicative
|
| 386 |
+
factor may increase with $t$, but are now fixed. The port encoding and
|
| 387 |
+
its radius do not change.
|
| 388 |
+
\end{proof}
|
| 389 |
+
|
| 390 |
+
The completed port flags are now amplified for the finite list of
|
| 391 |
+
logical promises in validation and these correction cones. Conditional
|
| 392 |
+
on a sampled site, they use fresh tester randomness. Make the probability
|
| 393 |
+
that any selected invocation has a nonpublic input outside $\nu_B$
|
| 394 |
+
arbitrarily small. This protection concerns arbitrary rounded seeds,
|
| 395 |
+
including seeds undergoing validation, and does not require exclusion
|
| 396 |
+
of the geometric endpoint neighborhood. Uncertain flag results only
|
| 397 |
+
choose which already uncertain inputs are substituted.
|
| 398 |
+
|
| 399 |
+
\subsection{Small-support ideal tapes and complete branch counts}
|
| 400 |
+
|
| 401 |
+
\begin{lemma}[Averaged expander sampling]\label{out:walk}
|
| 402 |
+
The statistics needed above can be sampled with polynomial-in-$L$
|
| 403 |
+
random support per output coordinate, with any desired fixed confidence
|
| 404 |
+
in the average over output coordinates.
|
| 405 |
+
\end{lemma}
|
| 406 |
+
\begin{proof}
|
| 407 |
+
Write an output coordinate as $(b,k_0,z_0)$ with $b\in[4]$,
|
| 408 |
+
$k_0\in\Gamma$, and $z_0\in[S_0]$. Use fixed-length labeled walks in the
|
| 409 |
+
outer Cayley expander starting at $k_0$. Fresh bounded segments and
|
| 410 |
+
auxiliary uniform positions in $[S_0]$ supply all center and word
|
| 411 |
+
statistics. Averaging over uniform $k_0$ makes every walk position
|
| 412 |
+
stationary. If the mean-zero operator norm is at most $\lambda<1$,
|
| 413 |
+
bounded centered functions at times $s,t$ have covariance at most
|
| 414 |
+
$C\lambda^{|s-t|}$. Independent auxiliary randomness only changes the
|
| 415 |
+
bounded diagonal terms and replaces off-diagonal functions by their
|
| 416 |
+
conditional means. Therefore a batch of $q_s$ samples satisfies
|
| 417 |
+
\[
|
| 418 |
+
\operatorname{Var}\left(\frac1{q_s}\sum_{j=1}^{q_s} Z_j\right)
|
| 419 |
+
\leq\frac{C}{q_s^2}\sum_{s,t=1}^{q_s}\lambda^{|s-t|}
|
| 420 |
+
\leq\frac{C(1+\lambda)}{(1-\lambda)q_s}.
|
| 421 |
+
\]
|
| 422 |
+
Chebyshev's inequality and a finite union give any fixed confidence by
|
| 423 |
+
choosing a sufficiently large fixed $q_s$. The argument permits distinct
|
| 424 |
+
bounded functions at the different slots and separate batches for
|
| 425 |
+
physical blocks.
|
| 426 |
+
|
| 427 |
+
Apply it to port rejection, the fixed global raw-checker and exceptional
|
| 428 |
+
indicators in validation, and each actual reference candidate's
|
| 429 |
+
statistics in the geometric procedure. At fixed rounded seeds those
|
| 430 |
+
reference vertices are fixed whenever good acceptance is possible.
|
| 431 |
+
Analyze all their roles before a numerical minimum or uncertain
|
| 432 |
+
acceptance chooses which ones to use. The concentration is not
|
| 433 |
+
conditioned on the realized answer path. Each walk has a fixed number
|
| 434 |
+
of fixed-degree label choices. Each remaining choice has polynomial-in-
|
| 435 |
+
$L$ support, and only a fixed number of choices is used. Their joint
|
| 436 |
+
support per output coordinate is consequently polynomial in $L$.
|
| 437 |
+
\end{proof}
|
| 438 |
+
|
| 439 |
+
The preceding routines now meet the local-access contract of
|
| 440 |
+
Definition~\ref{geo:access-contract}. Validation supplies fixed unique
|
| 441 |
+
references, average correction supplies the matching and statistical bit
|
| 442 |
+
requests, and the walk lemma supplies concentration for each underlying
|
| 443 |
+
true candidate. The geometric procedure reserves at most eight true word
|
| 444 |
+
roles and thirty-two piece roles, as enumerated in
|
| 445 |
+
Section~\ref{geo:candidates}. Missing roles are omitted; duplicate roles
|
| 446 |
+
may be retained.
|
| 447 |
+
For fixed $U$ outside the endpoint neighborhood and each fixed admissible
|
| 448 |
+
binary and scalar-quantization offset, it gives arbitrarily small
|
| 449 |
+
prescribed $4\E_{i,\mathrm{trial}}|\widehat v_i-v_i(U)|^2$, with $i$
|
| 450 |
+
uniform among the $4m$ components. All bit and flag errors and all
|
| 451 |
+
candidate statistics are analyzed before a numerical winner is selected.
|
| 452 |
+
On the resulting good event, Lemma~\ref{geo:stability} controls every
|
| 453 |
+
sufficiently near-minimizing candidate in each component before selection, so a winner correlated with
|
| 454 |
+
the requested component is harmless. The needed bit-error bounds remain
|
| 455 |
+
average bounds over the allocated requests.
|
| 456 |
+
|
| 457 |
+
Apart from the supplied calls, the procedure uses bounded comparison and
|
| 458 |
+
Boolean-answer processing, public rational numerical tables, and a
|
| 459 |
+
signed dyadic output in $[-B_1,B_1]$, including on every bad branch.
|
| 460 |
+
A fixed-width scalar-quantization grid with an independently randomized
|
| 461 |
+
offset suffices. Refining the finite grids of offsets changes comparison
|
| 462 |
+
thresholds, not the number of bins, answers, or slots. All these
|
| 463 |
+
statements concern the unscaled field.
|
| 464 |
+
|
| 465 |
+
This outer application uses the accuracy and finite-role clauses
|
| 466 |
+
\textup{(i)}--\textup{(iii)} of
|
| 467 |
+
Lemma~\ref{lem:geometric-procedures} with completed ideal Boolean
|
| 468 |
+
functional calls. Its optional physical-read clause \textup{(iv)} is
|
| 469 |
+
not applied to the full outer gadget expansion. The fixed count
|
| 470 |
+
$H_{\rm out}$ below counts direct outer read slots, and $B_{\rm out}$
|
| 471 |
+
counts ideal functional invocations. Theorem~\ref{thm:port-gadget} and
|
| 472 |
+
Lemma~\ref{out:routing} separately bound every physical read created by
|
| 473 |
+
substituting those invocations.
|
| 474 |
+
|
| 475 |
+
Applying parts \textup{(i)}--\textup{(iii)} of
|
| 476 |
+
Lemma~\ref{lem:geometric-procedures} at this ideal-oracle level, with
|
| 477 |
+
the preceding accuracy choices, we obtain ideal dyadic outputs satisfying,
|
| 478 |
+
for every eligible fixed $U$ and every fixed admissible offset,
|
| 479 |
+
\begin{equation}\label{out:ideal-accuracy}
|
| 480 |
+
4\E_{i,\mathrm{tape}}\abs{\widehat v_i-v_i(U)}^2
|
| 481 |
+
<(c_*\kappa/100)^2.
|
| 482 |
+
\end{equation}
|
| 483 |
+
All outputs remain in $[-B_1,B_1]$ on bad trials. The good-port failure
|
| 484 |
+
probability can independently be made arbitrarily small on this
|
| 485 |
+
high-level call list. It is useful to record the order explicitly:
|
| 486 |
+
\begin{enumerate}[label=\textup{(\arabic*)}]
|
| 487 |
+
\item Fix geometric roles, mesh, scalar counts and numerical tolerances.
|
| 488 |
+
\item Choose validation confidence and raw correction rounds for this
|
| 489 |
+
finite logical-call list; fix the number of ports in every cone.
|
| 490 |
+
\item Amplify each completed flag for its prescribed failure probability.
|
| 491 |
+
Amplification adds tester reads, not new logical promises.
|
| 492 |
+
\item Only now unfold the complete outer answer tree, leaving functional
|
| 493 |
+
calls unexpanded and obtaining a fixed number $H_{\rm out}$ of direct
|
| 494 |
+
read slots and $B_{\rm out}$ of hypothetical functional invocations.
|
| 495 |
+
\item Choose $\upsilon$ for these $B_{\rm out}$ invocations and apply
|
| 496 |
+
Theorem~\ref{thm:port-gadget} with the now fixed arity and size factor.
|
| 497 |
+
\end{enumerate}
|
| 498 |
+
This order does not define a bit accuracy by a union bound over the very
|
| 499 |
+
answer tree created by amplifying that accuracy.
|
| 500 |
+
|
| 501 |
+
At the ideal-oracle level, unfold every flag pattern, substitution
|
| 502 |
+
pattern, quantized bin and hypothetical answer. Functional-call nodes
|
| 503 |
+
remain unexpanded: each contributes one completed Boolean oracle answer,
|
| 504 |
+
and its physical implementation is separately accounted for below.
|
| 505 |
+
Thus $H_{\rm out}$ counts only direct read slots and $B_{\rm out}$ counts
|
| 506 |
+
functional invocations. Supply randomness to unused nodes too. Earlier
|
| 507 |
+
answers that determine an invocation's function or addresses are fixed
|
| 508 |
+
publicly in that copy; they are not additional fragile input wires.
|
| 509 |
+
Thus all port functions remain Boolean functions on their declared raw
|
| 510 |
+
ports. A wrong numerical answer selects another reserved role or a
|
| 511 |
+
finite table case. It cannot become an arbitrary hidden word address.
|
| 512 |
+
Each hypothetical raw site is $\pi(k_0)$ for $\pi$ in a fixed finite set
|
| 513 |
+
$\mathcal P$: compose walk-label moves, raw-neighborhood permutations
|
| 514 |
+
and correction-cone moves. This set is independent of later offset-grid
|
| 515 |
+
refinement. Direct scalar and bit slots use matching $z_0$, independently
|
| 516 |
+
sampled uniform within-block positions, or the port tester's smooth
|
| 517 |
+
queries. For fixed $k_0$ and fixed offsets, summing their unconditioned
|
| 518 |
+
position densities over the finite complete tree gives a constant.
|
| 519 |
+
|
| 520 |
+
The tape law in the next lemma includes both late offset grids---the
|
| 521 |
+
binary threshold and the independent scalar-quantization offset---together
|
| 522 |
+
with all internal choices at the hypothetical nodes. The grids are fixed
|
| 523 |
+
before this final law is rationalized. The preceding accuracy estimates
|
| 524 |
+
hold for each fixed offset, and hence for this joint law; the finite grids
|
| 525 |
+
multiply its support bound only by a fixed factor.
|
| 526 |
+
|
| 527 |
+
\begin{lemma}[Rational tapes and their read loads]\label{out:tapes}
|
| 528 |
+
The true tape law can be replaced deterministically, at each output
|
| 529 |
+
coordinate, by a list of a common square length $T_{\rm tap}=\poly(L)$,
|
| 530 |
+
with total variation at most $\eta_0/S_0$, for any prescribed fixed
|
| 531 |
+
$\eta_0>0$. The lists use only choices in the original support. They
|
| 532 |
+
preserve \eqref{out:ideal-accuracy} and any bounded rare-event estimate
|
| 533 |
+
with arbitrarily small fixed slack. Across these lists, every base
|
| 534 |
+
physical coordinate is read by at most $C T_{\rm tap}$ direct
|
| 535 |
+
comparison slots in the complete unfolded outer trees.
|
| 536 |
+
\end{lemma}
|
| 537 |
+
\begin{proof}
|
| 538 |
+
Let $Q(L)$ bound the enumerable rational support of every tape law.
|
| 539 |
+
For a common square $T\geq Q(L)S_0/\eta_0$, round each mass $Tp_j$
|
| 540 |
+
down to an integer and distribute the remaining copies among nonzero
|
| 541 |
+
support entries. Each mass error is at most $1/T$, and total variation
|
| 542 |
+
is at most $Q(L)/T\leq\eta_0/S_0$. Floors, remainders and the ordering
|
| 543 |
+
of entries are computed with exact rational arithmetic in polynomial
|
| 544 |
+
time. The probability descriptions have polynomial bit complexity.
|
| 545 |
+
A function in $[0,A]$ changes expectation by at most $A$ times total
|
| 546 |
+
variation, proving the bounded-statistic assertions.
|
| 547 |
+
|
| 548 |
+
For the load assertion, explicitly list all potential direct slots
|
| 549 |
+
$\mathcal A$, including their fixed earlier-answer paths; set
|
| 550 |
+
$H=|\mathcal A|$. If a slot is omitted or supplied a public value, its
|
| 551 |
+
read subdistribution is dominated by that of its potential slot; it is
|
| 552 |
+
never renormalized on being selected. Fix a target $(b',k',z')$ and a
|
| 553 |
+
possible $\pi\in\mathcal P$. Its preimage $k_0=\pi^{-1}(k')$ is fixed.
|
| 554 |
+
For every fixed offset, the true law gives
|
| 555 |
+
\begin{equation}\label{out:direct-density}
|
| 556 |
+
\sum_{z_0=1}^{S_0}
|
| 557 |
+
\E[\text{number of direct reads at }(b',k',z')]
|
| 558 |
+
\leq C,
|
| 559 |
+
\end{equation}
|
| 560 |
+
where $C$ is the sum of the unconditioned fixed-slot density constants.
|
| 561 |
+
Matching coordinates contribute one, uniform sampled coordinates
|
| 562 |
+
contribute their bounded counts, and tester queries contribute their
|
| 563 |
+
smoothness constants. Branches and seed roles add only a fixed factor.
|
| 564 |
+
A position-count random variable lies in $[0,H]$. Changing the law for
|
| 565 |
+
one output by total variation $\eta_0/S_0$ adds at most
|
| 566 |
+
$H\eta_0/S_0$ to its expectation; summing over $z_0$ adds only
|
| 567 |
+
$H\eta_0$. Sum the fixed preimages and physical roles and multiply by
|
| 568 |
+
$T_{\rm tap}$. This is the asserted $O(T_{\rm tap})$ load.
|
| 569 |
+
A constant total-variation tolerance without the $S_0$ denominator
|
| 570 |
+
would not give this bound.
|
| 571 |
+
\end{proof}
|
| 572 |
+
|
| 573 |
+
The occurrence bound \eqref{out:port-occurrence} for each substituted
|
| 574 |
+
gadget uses the same full-tree principle at its own scale. Its tape
|
| 575 |
+
approximation must control loads both on its internal word, of length
|
| 576 |
+
$m_{\rm in}$, and on an external port, of length $S_0$. Section~\ref{sec:inner-gadget}
|
| 577 |
+
therefore uses total variation $\eta/\max\{4m_{\rm in},S_0\}$; the
|
| 578 |
+
calculations \eqref{ig:external-load}--\eqref{ig:internal-load} give
|
| 579 |
+
$O(G_0/S_0)$ external occurrences per port position and $O(R_{\rm in})$
|
| 580 |
+
internal reads per base coordinate, where $R_{\rm in}$ is the gadget's
|
| 581 |
+
replica count and $G_0=4m_{\rm in}R_{\rm in}$.
|
| 582 |
+
This accounts for unequal polynomial block lengths without conditioning
|
| 583 |
+
on an executed branch.
|
| 584 |
+
|
| 585 |
+
\subsection{Cohorts, individual read routing, and gate realization}
|
| 586 |
+
|
| 587 |
+
At each base component $i\in[4m]$, allocate one cohort for every tape in
|
| 588 |
+
its list. A cohort has $K_c$ output replicas, where $K_c$ is a square
|
| 589 |
+
satisfying
|
| 590 |
+
\begin{equation}\label{out:cohort-size}
|
| 591 |
+
\max\{1,C_gG_0\}\leq K_c\leq C_KG_0
|
| 592 |
+
\end{equation}
|
| 593 |
+
for a fixed $C_K$; increasing $C_g$ if necessary also covers all
|
| 594 |
+
designated-wire counts. The total number of replicas per component is
|
| 595 |
+
$R=T_{\rm tap}K_c$, again a square. Each cohort contains its complete
|
| 596 |
+
bounded list of functional invocations, sharing these invocations
|
| 597 |
+
among its $K_c$ outputs. For each invocation, assign its $W$ designated
|
| 598 |
+
wires to these outputs by round robin. Since $W\leq K_c$,
|
| 599 |
+
\begin{equation}\label{out:round-robin}
|
| 600 |
+
\#\{\text{uses of any designated wire}\}
|
| 601 |
+
\leq\lceil K_c/W\rceil\leq 2K_c/W.
|
| 602 |
+
\end{equation}
|
| 603 |
+
A fraction $\upsilon$ of wrong designated wires therefore affects at
|
| 604 |
+
most $2\upsilon$ of the cohort outputs. The remaining gates, called a
|
| 605 |
+
direct cone, are separately allocated for each output replica.
|
| 606 |
+
|
| 607 |
+
\begin{lemma}[Bounded physical read multiplicity]\label{out:routing}
|
| 608 |
+
Every physical replica can be made the input of at most a fixed number
|
| 609 |
+
of comparison occurrences, counting all outer and inner hypothetical
|
| 610 |
+
branches. The construction is deterministic and uses no shared rounded
|
| 611 |
+
bit between different comparison occurrences.
|
| 612 |
+
\end{lemma}
|
| 613 |
+
\begin{proof}
|
| 614 |
+
Fix a physical block and a raw site $k'$. For each of the fixed possible
|
| 615 |
+
address permutations, a functional port requesting $k'$ has a fixed
|
| 616 |
+
$k_0$ preimage. There are $S_0$ output bit positions and $T_{\rm tap}$
|
| 617 |
+
tapes at that preimage, and only a bounded number of invocation/port
|
| 618 |
+
roles. Thus at most $C S_0T_{\rm tap}$ invocation ports request $k'$.
|
| 619 |
+
By \eqref{out:port-occurrence}, any position in that site is used at most
|
| 620 |
+
\begin{equation}\label{out:gadget-load}
|
| 621 |
+
C S_0T_{\rm tap}\,\frac{C_{\rm occ}G_0}{S_0}
|
| 622 |
+
\leq C' T_{\rm tap}K_c=C'R
|
| 623 |
+
\end{equation}
|
| 624 |
+
times. Lemma~\ref{out:tapes}, followed by replication over the cohort,
|
| 625 |
+
gives $O(T_{\rm tap}K_c)=O(R)$ direct comparison occurrences at each
|
| 626 |
+
base coordinate. Enumerate all these occurrences and assign successive
|
| 627 |
+
ones round robin to its $R$ physical replicas. Each actual replica has
|
| 628 |
+
bounded resulting multiplicity. Each comparison is performed in its
|
| 629 |
+
own gate cone directly on that replica's $x$ value. In particular, an
|
| 630 |
+
error in one comparison wire is not broadcast to other inner cones.
|
| 631 |
+
\end{proof}
|
| 632 |
+
|
| 633 |
+
Write the physical replica values and their means as
|
| 634 |
+
\[
|
| 635 |
+
X_{ir}=3x_{ir}-1,\qquad \bar X_i=R^{-1}\sum_rX_{ir},\qquad
|
| 636 |
+
\norm{Y}_{\rm rep}^2=\frac1{mR}\sum_{i=1}^{4m}\sum_{r=1}^R Y_{ir}^2.
|
| 637 |
+
\]
|
| 638 |
+
A vector constant over replicas has replica norm equal to its base norm.
|
| 639 |
+
Let $J$ be orthogonal projection onto these constant-over-replica
|
| 640 |
+
vectors, so $JX=\bar X$ with the usual identification.
|
| 641 |
+
|
| 642 |
+
For each $i$, average the replica labels using the half-lazy
|
| 643 |
+
Margulis--Gabber--Galil operator $A_{\rm rep}$ on
|
| 644 |
+
$(\mathbb Z/q\mathbb Z)^2$, $q=\sqrt R$. Its sixteen equally weighted
|
| 645 |
+
labels consist of eight identity labels and the eight moves
|
| 646 |
+
\[
|
| 647 |
+
(a\pm2b,b),\quad(a\pm(2b+1),b),\quad
|
| 648 |
+
(a,b\pm2a),\quad(a,b\pm(2a+1)),
|
| 649 |
+
\]
|
| 650 |
+
with multiplicities retained. For every positive integer modulus the
|
| 651 |
+
normalized eight-move operator is symmetric with nonconstant numerical
|
| 652 |
+
radius at most $5\sqrt2/8$; see the primary formal proof
|
| 653 |
+
\cite[\texttt{mgg\_numerical\_radius}]{MGGAFP}. Thus
|
| 654 |
+
\begin{equation}\label{out:replica-gap}
|
| 655 |
+
A_{\rm rep}J=J,\qquad
|
| 656 |
+
\norm{A_{\rm rep}(I-J)Y}_{\rm rep}
|
| 657 |
+
\leq(1-\kappa)\norm{(I-J)Y}_{\rm rep},
|
| 658 |
+
\qquad \kappa=1/100.
|
| 659 |
+
\end{equation}
|
| 660 |
+
The modulus need not be prime. Loops and parallel labels are kept as
|
| 661 |
+
individual averaging inputs. The mean-zero space for modulus one is
|
| 662 |
+
zero. Every averaging connection has bounded multiplicity as well.
|
| 663 |
+
|
| 664 |
+
We specify the direct cones using exactly the gate types in
|
| 665 |
+
Definition~\ref{def:gcircuit}. This also specifies how public constants
|
| 666 |
+
and finite numerical processing are charged. Every needed constant
|
| 667 |
+
node is the fresh output of a Constant gate in the cone using it, unless
|
| 668 |
+
its value is incorporated as a legal Scale parameter or into a Boolean
|
| 669 |
+
truth table. A physical comparison at threshold $t\in[-1,2]$ is a
|
| 670 |
+
Constant gate with parameter $(t+1)/3$ and a Less gate on the physical
|
| 671 |
+
replica's $x$ node and that constant, with orientation chosen for the
|
| 672 |
+
required bit. Outside the physical range its answer is a public
|
| 673 |
+
constant. On a satisfied comparison, an ideal mean gap greater than
|
| 674 |
+
$4\omega$, an actual read deviation at most $\omega$, and
|
| 675 |
+
$\eps<\omega/1000$ leave a strict Less antecedent even after the
|
| 676 |
+
constant error: the node-scale gap is at least $\omega-\eps>\eps$.
|
| 677 |
+
|
| 678 |
+
Boolean finite tables, flag processing, and quantization-bin processing
|
| 679 |
+
use And, Or and Not with fan-in at most two. If their inputs are correct
|
| 680 |
+
near-bits, each gate produces the same correct near-bit interval,
|
| 681 |
+
without accumulating Boolean error. In particular the weak inequalities
|
| 682 |
+
at $\eps$ and $1-\eps$ are sufficient. A selection among hypothetical
|
| 683 |
+
invocations is implemented as a Boolean multiplexer: And each candidate
|
| 684 |
+
answer with its selector and Or the resulting terms. An inactive
|
| 685 |
+
selector is a low near-bit and forces that term low even if the unused
|
| 686 |
+
candidate answer is arbitrary in $[0,1]$. Thus unsuccessful unused
|
| 687 |
+
branches are shielded, without assuming that their outputs are bits.
|
| 688 |
+
All finite answer tables have fixed size, although their public entries
|
| 689 |
+
may depend on the tape and threshold.
|
| 690 |
+
|
| 691 |
+
Represent the ideal dyadic field value by
|
| 692 |
+
\begin{equation}\label{out:signed-value}
|
| 693 |
+
\widehat v=B_1(p^*-n^*),\qquad
|
| 694 |
+
p^*,n^*\in[0,1],\quad p^*n^*=0,
|
| 695 |
+
\end{equation}
|
| 696 |
+
using a fixed number of binary digits; enlarge the dyadic precision
|
| 697 |
+
within the earlier estimator slack. Scale the near-bit digits by their
|
| 698 |
+
dyadic weights and combine them by clipped Add gates to obtain $p,n$.
|
| 699 |
+
Compute the $x$-average by sixteen Scale gates of weight $1/16$ and a
|
| 700 |
+
bounded Add chain. All exact partial sums are in $[0,1]$. Choose a
|
| 701 |
+
positive rational step with
|
| 702 |
+
$t_\beta=\beta B_1/3\leq1$. Scale $p,n$ by $t_\beta$, add the positive
|
| 703 |
+
term to the computed average, then subtract the negative term. The last
|
| 704 |
+
output, or a final Copy output, is $x_{ir}$ itself. When the ideal signs
|
| 705 |
+
are exclusive this expression is exactly
|
| 706 |
+
\[
|
| 707 |
+
\frac{1+\clip_{[-1,2]}((A_{\rm rep}X)_{ir}
|
| 708 |
+
+\beta\widehat v)}3.
|
| 709 |
+
\]
|
| 710 |
+
Indeed if the negative term vanishes the only possible clipping is at
|
| 711 |
+
the upper end; if the positive term vanishes it is at the lower end.
|
| 712 |
+
The affine change of coordinates commutes with the stochastic average.
|
| 713 |
+
|
| 714 |
+
\begin{lemma}[Coarse and fine direct-cone bounds]\label{out:direct-cone}
|
| 715 |
+
There is a fixed $C_{\rm ar}$, determined by the finite direct-cone
|
| 716 |
+
shape before $\beta$ is filled in, such that every entirely
|
| 717 |
+
$\eps$-satisfied direct cone obeys
|
| 718 |
+
\begin{equation}\label{out:coarse-pointwise}
|
| 719 |
+
|X_{ir}-(A_{\rm rep}X)_{ir}|
|
| 720 |
+
\leq2\beta B_1+C_{\rm ar}\eps.
|
| 721 |
+
\end{equation}
|
| 722 |
+
No correctness of its Boolean or functional inputs is required.
|
| 723 |
+
If its direct comparisons and selected invocation answers are correct
|
| 724 |
+
near-bits for the ideal run on $\bar X$, then also
|
| 725 |
+
\begin{equation}\label{out:fine-pointwise}
|
| 726 |
+
|X_{ir}-\clip_{[-1,2]}((A_{\rm rep}X)_{ir}
|
| 727 |
+
+\beta\widehat v_{ir}(\bar X))|
|
| 728 |
+
\leq C_{\rm ar}\eps.
|
| 729 |
+
\end{equation}
|
| 730 |
+
\end{lemma}
|
| 731 |
+
\begin{proof}
|
| 732 |
+
All hidden nodes, including $p,n$, remain in $[0,1]$ even when their
|
| 733 |
+
logical values are wrong. Satisfied final Scale gates therefore make
|
| 734 |
+
each signed term at most $t_\beta+\eps$. The absolute change from the
|
| 735 |
+
computed average is at most their sum plus the final arithmetic errors.
|
| 736 |
+
The averaging chain is within $C\eps$ of its exact average. Returning
|
| 737 |
+
to physical units gives \eqref{out:coarse-pointwise}, after enlarging
|
| 738 |
+
$C_{\rm ar}$. For the fine bound, induction through the shielded
|
| 739 |
+
Boolean selections supplies the correct digits in
|
| 740 |
+
\eqref{out:signed-value}. Scale is nonexpansive and clipped Add and
|
| 741 |
+
Subtract are Lipschitz with respect to the sum of their input errors.
|
| 742 |
+
For an explicit bound, let $J_d$ be the number of dyadic digits in
|
| 743 |
+
one magnitude. A magnitude uses $J_d$ Scale and $J_d-1$ Add gates;
|
| 744 |
+
its error is at most $(3J_d-1)\eps$. The sixteen Scale and fifteen Add
|
| 745 |
+
gates for the average contribute at most $31\eps$. The two final
|
| 746 |
+
Scale gates and the final Add/Subtract pair therefore contribute a
|
| 747 |
+
total error at most $(6J_d+33)\eps$ in node units, or
|
| 748 |
+
$(18J_d+99)\eps$ in physical units. An optional final Copy adds
|
| 749 |
+
$3\eps$. The coarse bound's arithmetic error is at most $108\eps$
|
| 750 |
+
including that Copy. Thus $C_{\rm ar}=18J_d+108$ suffices for this
|
| 751 |
+
implementation, uniformly in all Scale parameters in $[0,1]$.
|
| 752 |
+
The exclusive-sign identity gives \eqref{out:fine-pointwise}.
|
| 753 |
+
\end{proof}
|
| 754 |
+
|
| 755 |
+
Every invocation owns a disjoint gate set, and every direct cone owns a
|
| 756 |
+
disjoint gate set. Internal outputs are fresh; designated and external
|
| 757 |
+
wires are read-only fan-outs. The cyclic physical replica output is
|
| 758 |
+
produced by the final gate of its own unique cone and by no other gate.
|
| 759 |
+
There is no promised free constant node. Let
|
| 760 |
+
\begin{equation}\label{out:gate-count}
|
| 761 |
+
K_{\rm out}=4mR,
|
| 762 |
+
\qquad |T|\leq C_{\rm tot}K_{\rm out}.
|
| 763 |
+
\end{equation}
|
| 764 |
+
The second assertion follows because a cohort has a bounded number of
|
| 765 |
+
invocations, each with $O(G_0)=O(K_c)$ gates, and $K_c$ direct cones of
|
| 766 |
+
bounded size. Each designated output is included in its invocation's
|
| 767 |
+
gate count. In particular, concentrating failures on extraction gates
|
| 768 |
+
receives the same charge as any other failures.
|
| 769 |
+
|
| 770 |
+
\subsection{All failure and spoilage charges}
|
| 771 |
+
|
| 772 |
+
We next choose the late offsets. Use a uniform rational grid in
|
| 773 |
+
$[2/5,3/5]$ for $\xi$ and, independently, a uniform rational grid modulo
|
| 774 |
+
the fixed scalar-bin width for the quantization offset. For every fixed
|
| 775 |
+
physical value, the probability of lying within $4\omega$ of a binary
|
| 776 |
+
threshold or any relevant shifted scalar boundary is at most
|
| 777 |
+
\begin{equation}\label{out:anticoncentration}
|
| 778 |
+
C_{\rm bin}(D_{\rm grid}^{-1}+\omega),
|
| 779 |
+
\end{equation}
|
| 780 |
+
where $D_{\rm grid}$ is a lower bound on the two grid sizes and
|
| 781 |
+
$C_{\rm bin}$ depends only on the already fixed widths and bin count.
|
| 782 |
+
This follows by counting grid points in intervals of total length
|
| 783 |
+
$O(\omega)$, adding at most a fixed number of boundary grid points.
|
| 784 |
+
The number of comparison slots is unchanged when the grids are refined.
|
| 785 |
+
The ideal accuracy estimate is conditional on every allowed offset, so
|
| 786 |
+
refinement cannot invalidate it.
|
| 787 |
+
|
| 788 |
+
Call a routed comparison occurrence \emph{spoiled} if its mean value is
|
| 789 |
+
within $4\omega$ of its prescribed boundary or if its physical replica
|
| 790 |
+
value differs from its mean by more than $\omega$. Otherwise its input
|
| 791 |
+
has the prescribed ideal side with physical gap greater than $\omega$.
|
| 792 |
+
For direct cones, spoiled comparisons are charged to their output. For
|
| 793 |
+
functional invocations, count the occurrences themselves, including
|
| 794 |
+
all hypothetical branches.
|
| 795 |
+
|
| 796 |
+
\begin{lemma}[Deterministic charges for arbitrary assignments]
|
| 797 |
+
\label{out:charges}
|
| 798 |
+
There are fixed counting constants with the following properties.
|
| 799 |
+
For an assignment with at most $\delta|T|$ failed gates:
|
| 800 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 801 |
+
\item At most a $C_{\rm tot}\delta$ fraction of direct cones contains a
|
| 802 |
+
failed gate.
|
| 803 |
+
\item Cohorts containing an invocation with more than $\delta_gG_0$
|
| 804 |
+
failed gates account for at most $C\delta/\delta_g$ of all outputs.
|
| 805 |
+
\item The total number of excessive-deviation comparison occurrences,
|
| 806 |
+
divided by $K_{\rm out}$, is at most
|
| 807 |
+
$C\norm{X-\bar X}_{\rm rep}^2/\omega^2$.
|
| 808 |
+
\item The averaged number of ambiguous gadget comparison occurrences,
|
| 809 |
+
divided by $K_{\rm out}$, is at most
|
| 810 |
+
$C(D_{\rm grid}^{-1}+\omega+\eta_0)$.
|
| 811 |
+
The fraction of direct cones with an ambiguous comparison has the same
|
| 812 |
+
form of bound. Here the averaging over tapes is the actual empirical
|
| 813 |
+
frequency of the circuit, and the bounds hold for every fixed mean
|
| 814 |
+
vector.
|
| 815 |
+
\item Cohorts containing an invocation with more than $\gamma_gG_0$
|
| 816 |
+
spoiled external occurrences account for at most $C/\gamma_g$ times
|
| 817 |
+
the total normalized gadget-spoil count.
|
| 818 |
+
\end{enumerate}
|
| 819 |
+
\end{lemma}
|
| 820 |
+
\begin{proof}
|
| 821 |
+
Disjointness of direct gate sets proves (i). The number of invocations
|
| 822 |
+
violating the threshold in (ii) is at most
|
| 823 |
+
$\delta|T|/(\delta_gG_0)$. Charging $K_c$ outputs for each and using
|
| 824 |
+
\eqref{out:cohort-size} and \eqref{out:gate-count} proves (ii), even if
|
| 825 |
+
the same cohort is charged repeatedly. For (iii), Markov's inequality
|
| 826 |
+
gives at most
|
| 827 |
+
$mR\norm{X-\bar X}_{\rm rep}^2/\omega^2$ excessive physical replicas.
|
| 828 |
+
Lemma~\ref{out:routing} bounds their total comparison multiplicity by
|
| 829 |
+
a constant. The normalization $K_{\rm out}=4mR$ only improves the bound.
|
| 830 |
+
|
| 831 |
+
For (iv), fix a port of an invocation at site $k$ and threshold $\xi$.
|
| 832 |
+
Equation~\eqref{out:port-occurrence} bounds its ambiguous occurrences by
|
| 833 |
+
\[
|
| 834 |
+
C_{\rm occ}G_0\,
|
| 835 |
+
\frac{\#\{z:|\bar X_{kz}-\xi|\leq4\omega\}}{S_0}.
|
| 836 |
+
\]
|
| 837 |
+
Every site is an image of a uniform $k_0$ under a member of the fixed
|
| 838 |
+
permutation list. Sum over that list and all invocation ports under the
|
| 839 |
+
unconditioned tape law, before selecting any answer branch. Averaging the offset and using
|
| 840 |
+
\eqref{out:anticoncentration} bounds the expected number per trial by
|
| 841 |
+
$C G_0(D_{\rm grid}^{-1}+\omega)$. The full occurrence bound is uniform
|
| 842 |
+
in threshold-dependent function data. Tape rationalization changes a
|
| 843 |
+
count bounded by $CG_0$ by at most $CG_0\eta_0/S_0$. Dividing each
|
| 844 |
+
trial's charge by its $K_c$ output replicas gives (iv). Direct slots use
|
| 845 |
+
the full-tree density argument in \eqref{out:direct-density}, and the
|
| 846 |
+
same grid count; their count per trial is bounded by $H_{\rm out}$.
|
| 847 |
+
This reasoning applies to every fixed eventual mean, rather than a
|
| 848 |
+
mean selected before construction. Finally, (v) is the same threshold
|
| 849 |
+
counting proof as (ii), with spoiled occurrences replacing failed gates.
|
| 850 |
+
\end{proof}
|
| 851 |
+
|
| 852 |
+
\subsection{Parameter order and synchronization before decisions}
|
| 853 |
+
|
| 854 |
+
We give an acyclic choice of all remaining constants. Reserve enough
|
| 855 |
+
slack in \eqref{out:ideal-accuracy} that after tape rationalization the
|
| 856 |
+
ideal error norm is at most $c_*\kappa/20$. Choose $q_0>0$ so small that
|
| 857 |
+
\begin{equation}\label{out:q0}
|
| 858 |
+
20(B_1+1)\sqrt{q_0}<c_*\kappa/20.
|
| 859 |
+
\end{equation}
|
| 860 |
+
The geometric and statistical accuracies, correction rounds, and
|
| 861 |
+
completed flags are chosen as above to put the ideal good-port failure
|
| 862 |
+
probability below, for example, $q_0/20$. These are logical-call budgets.
|
| 863 |
+
After the complete outer tree is fixed, choose
|
| 864 |
+
$2B_{\rm out}\upsilon<q_0/20$ and obtain the gadget constants. Increasing
|
| 865 |
+
$K_c$ for these gadgets weights every trial equally and does not
|
| 866 |
+
magnify its ideal failure probability.
|
| 867 |
+
|
| 868 |
+
Now choose fine fixed offset grids, then a small positive rational
|
| 869 |
+
$\omega$, then a small tape tolerance $\eta_0$, and then a desired
|
| 870 |
+
synchronization radius $d_{\rm sync}>0$. By
|
| 871 |
+
Lemmas~\ref{out:tapes} and~\ref{out:charges}, they can be chosen so that,
|
| 872 |
+
whenever $\norm{X-\bar X}_{\rm rep}\leq d_{\rm sync}$, the sum of the
|
| 873 |
+
following empirical output fractions is less than $q_0/2$: failure of
|
| 874 |
+
the ideal good-port event, direct ambiguous/excessive comparisons,
|
| 875 |
+
and cohorts having an invocation with too many spoiled occurrences.
|
| 876 |
+
For example assign $q_0/20$ to each grouped term, with the
|
| 877 |
+
$C/\gamma_g$ factors included before choosing the responsible parameter.
|
| 878 |
+
Ideal squared error is bounded, so make $\eta_0$ small enough for its
|
| 879 |
+
reserved norm slack as well. This order is possible because all counts
|
| 880 |
+
and density constants are already fixed and independent of these late
|
| 881 |
+
grids and margins.
|
| 882 |
+
|
| 883 |
+
Choose a positive rational $\beta\leq\beta_0$ with
|
| 884 |
+
$\beta B_1/3\leq1$ and small enough that
|
| 885 |
+
$4\beta B_1/\kappa<d_{\rm sync}/2$. Finally choose positive rational
|
| 886 |
+
$\eps<1/10$ and $\delta<1$ so small that
|
| 887 |
+
\begin{gather}
|
| 888 |
+
\eps\leq\eps_g,\qquad\eps<\omega/1000,
|
| 889 |
+
\qquad C\delta/\delta_g<q_0/20,\label{out:epsilon-delta}\\
|
| 890 |
+
\frac{4\beta B_1+2C_{\rm ar}\eps
|
| 891 |
+
+6\sqrt{C_{\rm tot}\delta}}{\kappa}<d_{\rm sync},
|
| 892 |
+
\label{out:coarse-budget}\\
|
| 893 |
+
2C_{\rm ar}\eps+6\sqrt{C_{\rm tot}\delta}
|
| 894 |
+
<\beta c_*\kappa/20.
|
| 895 |
+
\label{out:fine-budget}
|
| 896 |
+
\end{gather}
|
| 897 |
+
There is positive slack in each inequality at $\eps=\delta=0$, so
|
| 898 |
+
fixed positive rational choices exist. If necessary decrease them for
|
| 899 |
+
any remaining direct numerical slack. All unstable events other than
|
| 900 |
+
failed direct cones, including the mapped extraction errors, now total
|
| 901 |
+
less than $q_0$.
|
| 902 |
+
|
| 903 |
+
The finitely many lower-size cutoffs are imposed after these choices by
|
| 904 |
+
increasing $C_{\rm base}$. These include $L_{\rm port}$, the finitely
|
| 905 |
+
many $L_B(a)$ for the chosen tester accuracies, and $L_g$ for the fixed
|
| 906 |
+
arity, size factor, and output loss. This does not create arity feedback. The raw
|
| 907 |
+
algorithm's exponent is independent of correction rounds; the chosen
|
| 908 |
+
port allowance has slack above that exponent and the degree-ten output
|
| 909 |
+
polynomial evaluation. For the fixed cones, increasing the additive
|
| 910 |
+
padding absorbs remaining multiplicative factors and cutoffs into a
|
| 911 |
+
single fixed size factor, even factor one if desired. Padding checks
|
| 912 |
+
and zero construction are $O(L)$ scans with uniform coefficients; their
|
| 913 |
+
implementation does not perform hidden work growing with
|
| 914 |
+
$C_{\rm base}$. Public computation of bit-polynomial coefficients may
|
| 915 |
+
have a larger fixed polynomial exponent than the circuit evaluating
|
| 916 |
+
the resulting monomials. Only the latter exponent is charged to the
|
| 917 |
+
functional size allowance. No parameter varies with $N$ after this
|
| 918 |
+
single choice.
|
| 919 |
+
|
| 920 |
+
\begin{lemma}[Coarse synchronization]\label{out:coarse-sync}
|
| 921 |
+
Every assignment satisfying all but $\delta|T|$ gates has
|
| 922 |
+
$\norm{X-\bar X}_{\rm rep}<d_{\rm sync}$, without any assumption that
|
| 923 |
+
its functional decisions are correct.
|
| 924 |
+
\end{lemma}
|
| 925 |
+
\begin{proof}
|
| 926 |
+
Apply \eqref{out:coarse-pointwise} to nonfailed direct cones. At failed
|
| 927 |
+
ones, both $X_{ir}$ and $(A_{\rm rep}X)_{ir}$ belong to $[-1,2]$, so
|
| 928 |
+
their difference is at most three. The factor four in the norm and
|
| 929 |
+
Lemma~\ref{out:charges}(i) give
|
| 930 |
+
\[
|
| 931 |
+
\norm{X-A_{\rm rep}X}_{\rm rep}
|
| 932 |
+
\leq4\beta B_1+2C_{\rm ar}\eps
|
| 933 |
+
+6\sqrt{C_{\rm tot}\delta}.
|
| 934 |
+
\]
|
| 935 |
+
On the other hand \eqref{out:replica-gap} and the reverse triangle
|
| 936 |
+
inequality give
|
| 937 |
+
$\kappa\norm{X-\bar X}_{\rm rep}
|
| 938 |
+
\leq\norm{X-A_{\rm rep}X}_{\rm rep}$.
|
| 939 |
+
Equation~\eqref{out:coarse-budget} proves the assertion. In particular,
|
| 940 |
+
failures at physical feedback outputs, threshold constants, or the
|
| 941 |
+
numeric averaging gates are already included; no decision is trusted
|
| 942 |
+
in establishing this estimate.
|
| 943 |
+
\end{proof}
|
| 944 |
+
|
| 945 |
+
\subsection{The clipped mean contradiction and universal decoding}
|
| 946 |
+
|
| 947 |
+
\begin{lemma}[Fine residual]\label{out:fine-residual}
|
| 948 |
+
If an assignment meets the gate-failure budget and
|
| 949 |
+
$\dist(\bar X,\mathcal E)>10\tau$, then
|
| 950 |
+
\begin{equation}\label{out:residual}
|
| 951 |
+
E_{\rm res}:=
|
| 952 |
+
\norm{X-\clip_{\mathcal B}(A_{\rm rep}X+\beta v(\bar X))}_{\rm rep}
|
| 953 |
+
<\beta c_*\kappa/2.
|
| 954 |
+
\end{equation}
|
| 955 |
+
Here clipping is componentwise on the replicas, and $v(\bar X)$ is
|
| 956 |
+
repeated identically over them.
|
| 957 |
+
\end{lemma}
|
| 958 |
+
\begin{proof}
|
| 959 |
+
Fix the actual mean $\bar X$ in all ideal tape experiments. Coarse
|
| 960 |
+
synchronization permits all spoilage charges already budgeted. Discard
|
| 961 |
+
cohorts with a high-failure or high-spoil invocation. In every remaining
|
| 962 |
+
invocation whose ideal branch-pattern inputs are all near ports or
|
| 963 |
+
public substitutions, Theorem~\ref{thm:port-gadget} applies. Mark all
|
| 964 |
+
cohort outputs receiving an incorrect designated wire from any such
|
| 965 |
+
invocation. Equations~\eqref{out:designated-count} and
|
| 966 |
+
\eqref{out:round-robin} bound their union by
|
| 967 |
+
$2B_{\rm out}\upsilon$ of the outputs. Do this marking for every
|
| 968 |
+
near-input hypothetical invocation before following the selected path.
|
| 969 |
+
Non-near-input invocations are irrelevant unless selected; on the ideal
|
| 970 |
+
good-port event a selected invocation necessarily is a near-input one.
|
| 971 |
+
|
| 972 |
+
Outside these marks and the other unstable events, every direct
|
| 973 |
+
comparison in the complete tree has the needed margin and every
|
| 974 |
+
selected invocation supplies its correct near-bit. Induct on the
|
| 975 |
+
ideal answer sequence: earlier reliable bits select its actual
|
| 976 |
+
substitution/function branch, the selected gadget is reliable, and
|
| 977 |
+
Boolean shielding removes arbitrary unused outputs. Thus the whole
|
| 978 |
+
selected direct computation equals its ideal Boolean run, and
|
| 979 |
+
\eqref{out:fine-pointwise} holds.
|
| 980 |
+
|
| 981 |
+
For an unstable but entirely satisfied direct cone, use only
|
| 982 |
+
\eqref{out:coarse-pointwise} and $|v_i(\bar X)|\leq B_1$:
|
| 983 |
+
its discrepancy from the clipped true-field update is at most
|
| 984 |
+
$3\beta B_1+C_{\rm ar}\eps$. This is proportional to $\beta$ apart
|
| 985 |
+
from numeric error. Failed direct cones use only the range bound three.
|
| 986 |
+
The empirical ideal error, clipping nonexpansiveness, and the total
|
| 987 |
+
unstable fraction at most $q_0$ therefore give
|
| 988 |
+
\[
|
| 989 |
+
E_{\rm res}
|
| 990 |
+
\leq\beta\bigl(c_*\kappa/20+6B_1\sqrt{q_0}\bigr)
|
| 991 |
+
+2C_{\rm ar}\eps+6\sqrt{C_{\rm tot}\delta}
|
| 992 |
+
<\beta c_*\kappa/2
|
| 993 |
+
\]
|
| 994 |
+
by \eqref{out:q0} and \eqref{out:fine-budget}. This includes arbitrary
|
| 995 |
+
concentration on extraction gates: above-budget invocations lose their
|
| 996 |
+
whole cohort; below-budget invocations lose their guaranteed fraction
|
| 997 |
+
of designated wires, and the lower bound in
|
| 998 |
+
\eqref{out:designated-count} prevents a concentration factor.
|
| 999 |
+
\end{proof}
|
| 1000 |
+
|
| 1001 |
+
\begin{lemma}[Clipping and replica means]\label{out:clip-mean}
|
| 1002 |
+
Let $A$ be a stochastic replica operator satisfying
|
| 1003 |
+
\eqref{out:replica-gap}, and let $c$ be constant across the replicas of
|
| 1004 |
+
each component. Put $F=\clip_{\mathcal B}(AX+c)$ and
|
| 1005 |
+
$E=\norm{X-F}_{\rm rep}$. Then
|
| 1006 |
+
\[
|
| 1007 |
+
\norm{X-JX}_{\rm rep}\leq E/\kappa,\qquad
|
| 1008 |
+
\norm{JX-\clip_{\mathcal B}(JX+c)}_{\rm b}\leq E/\kappa.
|
| 1009 |
+
\]
|
| 1010 |
+
\end{lemma}
|
| 1011 |
+
\begin{proof}
|
| 1012 |
+
Write $Q=I-J$ and $g=\clip_{\mathcal B}(JX+c)$, a repeated vector.
|
| 1013 |
+
The mean projection minimizes distance to repeated vectors, and
|
| 1014 |
+
coordinate clipping is nonexpansive. Hence
|
| 1015 |
+
\[
|
| 1016 |
+
\norm{QF}_{\rm rep}
|
| 1017 |
+
\leq\norm{F-g}_{\rm rep}
|
| 1018 |
+
\leq\norm{A(X-JX)}_{\rm rep}
|
| 1019 |
+
\leq(1-\kappa)\norm{QX}_{\rm rep}.
|
| 1020 |
+
\]
|
| 1021 |
+
Projecting $X-F$ gives
|
| 1022 |
+
$\norm{QX}_{\rm rep}\leq E+(1-\kappa)\norm{QX}_{\rm rep}$,
|
| 1023 |
+
which proves the first inequality. Taking means and then comparing to
|
| 1024 |
+
$g$ gives
|
| 1025 |
+
\[
|
| 1026 |
+
\norm{JX-g}_{\rm b}
|
| 1027 |
+
\leq\norm{J(X-F)}_{\rm rep}+\norm{JF-g}_{\rm rep}
|
| 1028 |
+
\leq E+(1-\kappa)\norm{QX}_{\rm rep}\leq E/\kappa.
|
| 1029 |
+
\]
|
| 1030 |
+
This argument does not exchange averaging and clipping.
|
| 1031 |
+
\end{proof}
|
| 1032 |
+
|
| 1033 |
+
Apply Lemma~\ref{out:clip-mean} with $c=\beta v(\bar X)$ and the fine
|
| 1034 |
+
residual. If the mean were farther than $10\tau$ from $\mathcal E$, it
|
| 1035 |
+
would give
|
| 1036 |
+
\[
|
| 1037 |
+
\norm{\bar X-\clip_{\mathcal B}(\bar X+\beta v(\bar X))}_{\rm b}
|
| 1038 |
+
<\beta c_* ,
|
| 1039 |
+
\]
|
| 1040 |
+
contrary to \eqref{out:geometry-displacement}. Thus every assignment
|
| 1041 |
+
meeting the gate-failure budget satisfies
|
| 1042 |
+
\begin{equation}\label{out:endpoint-proximity}
|
| 1043 |
+
\dist(\bar X,\mathcal E)\leq10\tau.
|
| 1044 |
+
\end{equation}
|
| 1045 |
+
Choose an endpoint witnessing this bound. Its first block is exactly
|
| 1046 |
+
$E_w$ for a desired endpoint. Round the first block of $\bar X$ at
|
| 1047 |
+
$1/2$. Each erroneous bit contributes at least $1/4$ to its squared
|
| 1048 |
+
coordinate distance from $E_w$, and so the resulting word $y$ obeys
|
| 1049 |
+
\[
|
| 1050 |
+
\dist(y,E_w)\leq4(10\tau)^2<\rho_{\rm dec}.
|
| 1051 |
+
\]
|
| 1052 |
+
The global decoder following \eqref{out:binary-encoding} recovers $w$.
|
| 1053 |
+
The endpoint decoder in Theorem~\ref{thm:outer-representation} and
|
| 1054 |
+
Lemma~\ref{lem:macrograph} returns a nonzero End-of-Line solution. It
|
| 1055 |
+
does not require knowing which gates failed or which endpoint witnessed
|
| 1056 |
+
\eqref{out:endpoint-proximity}.
|
| 1057 |
+
|
| 1058 |
+
This defines a deterministic decoder on every acceptable rational
|
| 1059 |
+
assignment. Means and comparisons can be computed exactly: forming a
|
| 1060 |
+
common denominator within a group increases its bit length by at most
|
| 1061 |
+
the sum of its input denominator bit lengths, followed by polynomial
|
| 1062 |
+
integer-arithmetic overhead. The port and raw algorithms are polynomial
|
| 1063 |
+
time, with arbitrary fixed defaults on out-of-promise inputs. The
|
| 1064 |
+
proved proximity places this actual input inside their guaranteed
|
| 1065 |
+
radii. Hence decoding is polynomial in $N$ plus the total assignment
|
| 1066 |
+
encoding length. The soundness argument itself applied to all real
|
| 1067 |
+
assignments satisfying the failure budget.
|
| 1068 |
+
|
| 1069 |
+
\subsection{Complete output length, uniformity, and totality}
|
| 1070 |
+
|
| 1071 |
+
Every constituent scale is a fixed polynomial in $L$, and
|
| 1072 |
+
$|\Gamma|=O(N\ell_N^{O(1)})$. Equations~\eqref{out:gate-count} and
|
| 1073 |
+
\eqref{out:cohort-size} give, for some fixed exponent $b_1$,
|
| 1074 |
+
\begin{equation}\label{out:size}
|
| 1075 |
+
|V|+|T|=O(mT_{\rm tap}K_c)
|
| 1076 |
+
=O(|\Gamma|S_0T_{\rm tap}G_0)
|
| 1077 |
+
=O(N\ell_N^{b_1}).
|
| 1078 |
+
\end{equation}
|
| 1079 |
+
This count includes every copied direct cone, every entire shared
|
| 1080 |
+
invocation, its extraction gates, every Constant gate, and every
|
| 1081 |
+
comparison in every hypothetical branch. Routing creates one connection
|
| 1082 |
+
record per counted input occurrence; it is not an implicit description
|
| 1083 |
+
of a larger circuit. Explicit node and gate identifiers require
|
| 1084 |
+
$O(\log(N\ell_N^{b_1}))=O(\ell_N)$ bits. Field/index metadata, locally
|
| 1085 |
+
generated function coefficients, and every rational parameter have
|
| 1086 |
+
fixed polynomial-in-$L$ bit bounds. The offsets, bin widths,
|
| 1087 |
+
$\beta,\eps,\delta$ and numerical precisions are fixed rational
|
| 1088 |
+
constants. In particular, the threshold-input length qualification in
|
| 1089 |
+
Theorem~\ref{thm:port-gadget} contributes only a fixed bound here.
|
| 1090 |
+
If a representation repeats local parameter descriptions instead of
|
| 1091 |
+
sharing them, multiplying \eqref{out:size} by their polynomial-in-$L$
|
| 1092 |
+
length still changes only a fixed logarithmic exponent. Input/output
|
| 1093 |
+
lists and delimiters obey the same bound. Thus there are a fixed
|
| 1094 |
+
positive integer $A$ and fixed nonnegative integer $b$ for which the
|
| 1095 |
+
complete output encoding has length at most $AN\ell_N^b$.
|
| 1096 |
+
|
| 1097 |
+
All tape masses and their integer multiplicities are deterministically
|
| 1098 |
+
enumerable. So are every raw-neighborhood and correction-cone address,
|
| 1099 |
+
every padded function, every inner invocation gate, every replica move,
|
| 1100 |
+
and every round-robin routing record. Public outer encodings and the
|
| 1101 |
+
source data are constructed by the polynomial-time algorithms already
|
| 1102 |
+
proved. Polynomially many operations on polynomial-bit integers suffice
|
| 1103 |
+
for all these tasks. Products and compositions of the finitely many
|
| 1104 |
+
fixed polynomial bounds give one deterministic polynomial-time
|
| 1105 |
+
reduction. It never lists the graph of all logical vertex labels. The
|
| 1106 |
+
gate set is nonempty, all parameters lie in $[0,1]$, fan-in is at most
|
| 1107 |
+
two, and the fresh-output construction enforces the required unique
|
| 1108 |
+
output ownership despite the feedback cycles.
|
| 1109 |
+
|
| 1110 |
+
It remains to establish the finite totality assertion for arbitrary
|
| 1111 |
+
generalized circuits, independently of this reduction.
|
| 1112 |
+
|
| 1113 |
+
\begin{lemma}[A fixed rational mesh satisfies every gate]
|
| 1114 |
+
\label{out:totality}
|
| 1115 |
+
For every fixed rational $0<\eps<1/10$, every generalized circuit in
|
| 1116 |
+
Definition~\ref{def:gcircuit} has a rational assignment satisfying all
|
| 1117 |
+
its gates, each coordinate having denominator
|
| 1118 |
+
$q=\lceil20/\eps\rceil$. The complete assignment length is bounded by
|
| 1119 |
+
one fixed polynomial with nonnegative integer coefficients in the
|
| 1120 |
+
circuit encoding length.
|
| 1121 |
+
\end{lemma}
|
| 1122 |
+
\begin{proof}
|
| 1123 |
+
Construct a continuous self-map of $[0,1]^V$. At an arithmetic gate's
|
| 1124 |
+
unique output use its exact numerical operation. At a Less gate with
|
| 1125 |
+
inputs $a,b$, use the clipped linear ramp that is zero when
|
| 1126 |
+
$x_b-x_a\leq-\eps/2$ and one when
|
| 1127 |
+
$x_b-x_a\geq\eps/2$. For Boolean gates define a continuous signal
|
| 1128 |
+
$h:[0,1]\to[0,1]$ equal to zero on $[0,2\eps]$, equal to one on
|
| 1129 |
+
$[1-2\eps,1]$, and linear between them. Use respectively
|
| 1130 |
+
\[
|
| 1131 |
+
\max\{h(x_a),h(x_b)\},\qquad
|
| 1132 |
+
\min\{h(x_a),h(x_b)\},\qquad 1-h(x_a)
|
| 1133 |
+
\]
|
| 1134 |
+
for Or, And, and Not. Set coordinates not produced by gates to zero.
|
| 1135 |
+
Unique output ownership makes these prescriptions a well-defined
|
| 1136 |
+
continuous cube map. Brouwer's fixed-point theorem~\cite{Brouwer1911} gives a fixed point
|
| 1137 |
+
$x^*$; no efficient computation of it is asserted.
|
| 1138 |
+
|
| 1139 |
+
Round every coordinate to the nearest point of
|
| 1140 |
+
$\{0,1/q,\ldots,1\}$, obtaining $\widetilde x$ with
|
| 1141 |
+
$|\widetilde x_v-x_v^*|\leq1/(2q)\leq\eps/40$.
|
| 1142 |
+
Constant errors are at most $\eps/40$, Scale and Copy errors at most
|
| 1143 |
+
$2\eps/40$, and Add and Subtract errors at most $3\eps/40$, using
|
| 1144 |
+
parameter bounds and nonexpansive clipping. For a triggered strict
|
| 1145 |
+
Less antecedent after rounding, its signed input gap before rounding
|
| 1146 |
+
has the same sign and magnitude strictly greater than
|
| 1147 |
+
$\eps-2\eps/40>\eps/2$. Its fixed-point output is therefore the
|
| 1148 |
+
required endpoint zero or one, which rounding preserves.
|
| 1149 |
+
|
| 1150 |
+
If a weak Boolean low antecedent
|
| 1151 |
+
$\widetilde x_a\leq\eps$ holds, then
|
| 1152 |
+
$x_a^*\leq\eps+\eps/40<2\eps$, so $h(x_a^*)=0$.
|
| 1153 |
+
Similarly $\widetilde x_a\geq1-\eps$ implies
|
| 1154 |
+
$h(x_a^*)=1$. Every applicable Or, And, or Not conclusion follows
|
| 1155 |
+
from its displayed exact formula, including equality at the weak
|
| 1156 |
+
threshold. The corresponding fixed-point output is zero or one and
|
| 1157 |
+
is unchanged by rounding. This verifies every gate implication.
|
| 1158 |
+
|
| 1159 |
+
The denominator $q$ is a fixed integer depending only on $\eps$.
|
| 1160 |
+
There are at most a fixed multiple of $M+1$ explicitly listed nodes
|
| 1161 |
+
in a length-$M$ input, and each output rational has a fixed bit bound.
|
| 1162 |
+
Accounting also for order, indices if used, and delimiters, a
|
| 1163 |
+
sufficiently large fixed integer $C$ makes
|
| 1164 |
+
$p(M)=C(M+1)^2$ an upper bound for the entire assignment. This
|
| 1165 |
+
polynomial has nonnegative integer coefficients and is independent of
|
| 1166 |
+
the particular circuit and its parameter denominators.
|
| 1167 |
+
\end{proof}
|
| 1168 |
+
|
| 1169 |
+
\begin{proof}[Proof of Theorem~\ref{thm:main}]
|
| 1170 |
+
The preceding argument uses Theorem~\ref{thm:port-gadget}, whose construction
|
| 1171 |
+
is proved in Sections~\ref{sec:inner-algebra}--\ref{sec:inner-gadget}, and
|
| 1172 |
+
Lemma~\ref{lem:geometric-procedures}, proved in Section~\ref{sec:geometry}.
|
| 1173 |
+
Use the fixed rational $\eps,\delta$ chosen in
|
| 1174 |
+
\eqref{out:epsilon-delta}--\eqref{out:fine-budget} and the polynomial
|
| 1175 |
+
$p$ from Lemma~\ref{out:totality}. That lemma proves totality, with all
|
| 1176 |
+
gates satisfied. The explicit construction and \eqref{out:size} give
|
| 1177 |
+
the claimed complete quasilinear encoding bound and a deterministic
|
| 1178 |
+
polynomial-time reduction. Equations~\eqref{out:endpoint-proximity}
|
| 1179 |
+
and~\eqref{out:tau}, followed by the global endpoint decoder, give the
|
| 1180 |
+
required solution from every acceptable assignment, with the stated
|
| 1181 |
+
polynomial running time. Every constant and algorithm has been fixed
|
| 1182 |
+
independently of the input. This proves all four assertions.
|
| 1183 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/07-inner-algebra.tex
ADDED
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|
| 1 |
+
\section{The inner path and its algebraic representation}\label{sec:inner-algebra}
|
| 2 |
+
|
| 3 |
+
We construct the algebraic part of the decision gadget promised in
|
| 4 |
+
Theorem~\ref{thm:port-gadget}. Its graph consists of one directed path for
|
| 5 |
+
each tuple of read-only inputs. Besides encoding these paths, the
|
| 6 |
+
construction arranges that every chart involving one read port has exactly
|
| 7 |
+
the same native layout and formula in a common one-port template. This
|
| 8 |
+
literal correspondence, including all verification auxiliaries, will supply
|
| 9 |
+
the distinguished source in Section~\ref{sec:inner-gadget}.
|
| 10 |
+
|
| 11 |
+
\emph{All field, clock, dimension, and size notation is reset in this
|
| 12 |
+
section.} In particular, the fields and the polynomial-size affine domain
|
| 13 |
+
below are independent of the outer index group. The construction and its
|
| 14 |
+
proof do not use the outer circuit realization. All graphs in this section
|
| 15 |
+
are described implicitly; we never enumerate their exponentially many
|
| 16 |
+
Boolean input tuples.
|
| 17 |
+
|
| 18 |
+
\subsection{Parameters and the extended path}\label{ia:path-parameters}
|
| 19 |
+
|
| 20 |
+
Fix the exponent allowance $c_{\rm allow}$ in
|
| 21 |
+
Theorem~\ref{thm:port-gadget}, and choose a fixed integer
|
| 22 |
+
$c_0>c_{\rm allow}+5$. For a port length $L$, set
|
| 23 |
+
\begin{equation}
|
| 24 |
+
n'=(L+2)^{c_0},\qquad
|
| 25 |
+
h=\Theta\bigl((\log(n'+2))^{1/4}\bigr),\qquad
|
| 26 |
+
H=\mathbb F_h,\qquad q=h^v, \label{ia:parameters}
|
| 27 |
+
\end{equation}
|
| 28 |
+
where $h$ is a deterministically chosen power of two and $v$ is a fixed
|
| 29 |
+
sufficiently large integer. Let $\ell$ be the least positive integer
|
| 30 |
+
coprime to $v$ for which $h^\ell\ge(n')^3+3$, and put
|
| 31 |
+
\begin{equation}
|
| 32 |
+
K_1=\mathbb F_{h^\ell},\quad K=\mathbb F_{q^\ell},\quad
|
| 33 |
+
C=K_1^\times,\quad M=h^\ell-1,\quad D=\ell^2-1.
|
| 34 |
+
\label{ia:fields}
|
| 35 |
+
\end{equation}
|
| 36 |
+
Fix a generator $\gamma$ of $C$. Since $\gcd(\ell,v)=1$, the subfields
|
| 37 |
+
$K_1$ and $\mathbb F_q$ of $K$ intersect in $H$ and generate $K$.
|
| 38 |
+
An $H$-basis of $K_1$ is therefore an $\mathbb F_q$-basis of $K$.
|
| 39 |
+
We use it throughout: one $K$ variable has $\ell$ coordinates over
|
| 40 |
+
$\mathbb F_q$, and its $H^\ell$ digit grid is precisely $K_1$.
|
| 41 |
+
|
| 42 |
+
An interval of $v$ consecutive integers contains an integer congruent to
|
| 43 |
+
$1$ modulo $v$. Thus the coprimality restriction changes the first size
|
| 44 |
+
threshold for $\ell$ by at most $v$, and
|
| 45 |
+
\begin{equation}
|
| 46 |
+
\ell=\Theta(\log n'/\log\log n'),\qquad
|
| 47 |
+
h=o(\ell),\qquad |K|=q^\ell=(n')^{O(1)}. \label{ia:size-bounds}
|
| 48 |
+
\end{equation}
|
| 49 |
+
Choose $v$ large enough that $q$ dominates the fixed power of $D$ needed
|
| 50 |
+
by the scalar line--point input in Section~\ref{sec:inner-binary}, with
|
| 51 |
+
positive power slack. In particular, $D/q\longrightarrow0$. After $v$,
|
| 52 |
+
fix an integer $a>v$ and set
|
| 53 |
+
\begin{equation}
|
| 54 |
+
B=\lceil q^{1/a}\rceil\le\ell \label{ia:radix-size}
|
| 55 |
+
\end{equation}
|
| 56 |
+
for all sufficiently large $L$. Every fixed multiple of $\ell h$ is then
|
| 57 |
+
eventually below $D$. All these choices precede the number of ports and
|
| 58 |
+
the particular Boolean function.
|
| 59 |
+
|
| 60 |
+
All finite sets used below have polynomial cardinality in $n'$. Field
|
| 61 |
+
presentations, compatible embeddings, bases, generators, interpolation
|
| 62 |
+
matrices, and deterministic orderings can consequently be found by
|
| 63 |
+
exhaustive finite-field algebra in polynomial time in these cardinalities.
|
| 64 |
+
For instance, irreducible presentations and suitable generators can be
|
| 65 |
+
found by enumeration and their defining properties checked by finite
|
| 66 |
+
arithmetic. No claim of polynomial time in the logarithm of a field's
|
| 67 |
+
cardinality is required. Fix these conventions once for the common
|
| 68 |
+
template. Finitely many smaller sizes can be handled by enlarging the
|
| 69 |
+
fixed lower cutoff as in the gadget statement.
|
| 70 |
+
|
| 71 |
+
Now fix an arbitrary constant number $k\ge1$ of ports and an arbitrary
|
| 72 |
+
constant size factor for the Boolean circuit of
|
| 73 |
+
$f:(\{0,1\}^L)^k\to\{0,1\}$. Invocations with fewer ports are padded
|
| 74 |
+
by unused public-zero ports. Normalize the circuit to a topological list
|
| 75 |
+
of gates with Boolean rules of degree at most two over characteristic two,
|
| 76 |
+
and finish with a separate output copy gate. This costs only a constant
|
| 77 |
+
factor in circuit size. The size cutoff may depend on $k$ and on the
|
| 78 |
+
fixed size factor.
|
| 79 |
+
|
| 80 |
+
The logical tape has read-only groups $s_i\in\{0,1\}^L$ for $i\in[k]$,
|
| 81 |
+
a work group $w$ indexed by $K_1$, and legacy bits $e_z$ indexed by
|
| 82 |
+
$z\in C$. Each $s_i$ is embedded by the same fixed injection of $[L]$
|
| 83 |
+
into $K_1$; other grid entries are specified zeros. Stages
|
| 84 |
+
$r=0,\ldots,M-1$ have labels $c=\gamma^r$. Work is blank at stage zero.
|
| 85 |
+
During step $r=j-1\to j$, for $1\le j\le L$, copy $s_i[j]$ to a
|
| 86 |
+
distinct work location $w_{i,j}$ for every $i$ in parallel. Thereafter
|
| 87 |
+
assign one new gate location per step, using earlier work locations or
|
| 88 |
+
public constants. Reserve a fixed grid position $y_{\rm out}$ solely
|
| 89 |
+
for the final output assignment. Pad remaining steps by idle work rules.
|
| 90 |
+
The number of work positions and nonidle steps is at most
|
| 91 |
+
\[
|
| 92 |
+
kL+O(1)+O(L^{c_{\rm allow}}),
|
| 93 |
+
\]
|
| 94 |
+
with constants allowed to depend on the circuit size factor. The choices
|
| 95 |
+
above make both counts fit below the available grid and stage sizes.
|
| 96 |
+
|
| 97 |
+
At stage $c$, require $e$ to be one-hot at $c^{-1}$. Require every
|
| 98 |
+
unassigned work position to be zero, every assigned copy to equal its
|
| 99 |
+
specified input, and every assigned gate to satisfy its rule. Consequently
|
| 100 |
+
each Boolean tuple $s=(s_i)_i$ has exactly one valid tape
|
| 101 |
+
$b=(w,e,(s_i)_i)$ at every stage. Join consecutive stages by their
|
| 102 |
+
assignment steps, and disable the wrap step $\gamma^{-1}\to1$.
|
| 103 |
+
|
| 104 |
+
\begin{lemma}[Validity and a constant edit alphabet]\label{ia:validity}
|
| 105 |
+
The union of the stage-valid tapes is described by polynomially many
|
| 106 |
+
Boolean equations of degree at most $d=3$. For fixed $k$, every macro
|
| 107 |
+
step and its inverse use a fixed finite alphabet of flips, whose
|
| 108 |
+
coefficients are determined by a bounded number of logical reads and
|
| 109 |
+
public rule bits. Equations involving $s_i$ and other groups can be
|
| 110 |
+
written as the sum of an $(e,s_i)$ contribution and an $(e,w)$
|
| 111 |
+
contribution. No equation requires a product involving two distinct
|
| 112 |
+
positive port groups.
|
| 113 |
+
\end{lemma}
|
| 114 |
+
|
| 115 |
+
\begin{proof}
|
| 116 |
+
Impose bitness on all logical coordinates, and
|
| 117 |
+
\begin{equation}
|
| 118 |
+
e_z e_{z'}=0\quad(z\ne z'),\qquad
|
| 119 |
+
\sum_{z\in C}e_z=1. \label{ia:one-hot}
|
| 120 |
+
\end{equation}
|
| 121 |
+
For each stage $c$, multiply all its work requirements by
|
| 122 |
+
$e_{c^{-1}}$. Gate equations have degree at most two before this
|
| 123 |
+
multiplication, so the resulting degree is at most three. A copy
|
| 124 |
+
requirement at an occupied position is specifically
|
| 125 |
+
\begin{equation}
|
| 126 |
+
e_{c^{-1}}w_{i,j}-e_{c^{-1}}s_i[j]=0. \label{ia:copy-equation}
|
| 127 |
+
\end{equation}
|
| 128 |
+
The requirements are vacuous at unselected stages. At the one selected
|
| 129 |
+
stage, the prefix equations determine all assigned work positions in
|
| 130 |
+
topological order and force every other position to zero. This proves
|
| 131 |
+
the characterization and the dependency assertion.
|
| 132 |
+
|
| 133 |
+
For start frame $c$, list $k$ work write slots and the two legacy slots
|
| 134 |
+
$c^{-1},(\gamma c)^{-1}$. During a gate step only the first work slot
|
| 135 |
+
is active; use a zero unit vector for every inactive slot. Write
|
| 136 |
+
$v_1(c),\ldots,v_{k+2}(c)$ for these public vectors in the logical tape
|
| 137 |
+
space, and for $\sigma\in\{0,1\}^{k+2}$ put
|
| 138 |
+
\begin{equation}
|
| 139 |
+
h_\sigma(c)=\sum_{r=1}^{k+2}\sigma_r v_r(c).
|
| 140 |
+
\label{ia:flip-mask}
|
| 141 |
+
\end{equation}
|
| 142 |
+
At a valid pre tape, choose a work coefficient to be the old bit plus
|
| 143 |
+
its required new assignment; choose both legacy coefficients to be one.
|
| 144 |
+
The required assignment is a read input, a degree-at-most-two gate of
|
| 145 |
+
earlier work bits, or the unchanged value for an inactive slot. At a
|
| 146 |
+
valid post tape, the inverse clears precisely the newly assigned
|
| 147 |
+
positions and flips the same legacy positions. Earlier operands have
|
| 148 |
+
not changed, so the two operations are reciprocal. There is a bounded
|
| 149 |
+
list of old-value, operand, and input reads for fixed $k$. Public phase,
|
| 150 |
+
gate, activity, and wrap bits select their roles. Define the same
|
| 151 |
+
coefficient rules on arbitrary Boolean read answers; at the disabled
|
| 152 |
+
wrap use an idle work proposal. This gives a finite branch system
|
| 153 |
+
without any assumption that those arbitrary answers describe a valid
|
| 154 |
+
tape.
|
| 155 |
+
\end{proof}
|
| 156 |
+
|
| 157 |
+
\begin{definition}[Extended inner graph]\label{ia:extended-path}
|
| 158 |
+
An extended label is $(c,b,\eta,t)$, where $c\in C$,
|
| 159 |
+
$\eta\in\{0,1\}$, and $0\le t\le q-1$. In pre mode $\eta=0$,
|
| 160 |
+
$b$ must be valid at stage $c$; in post mode $\eta=1$, it must be valid
|
| 161 |
+
at stage $\gamma c$. Edges are the following:
|
| 162 |
+
\begin{enumerate}
|
| 163 |
+
\item in pre mode, increase $t$ by one until $q-1$;
|
| 164 |
+
\item at full pre progress, perform the enabled macro edit and change
|
| 165 |
+
to post mode, retaining the frame and full progress;
|
| 166 |
+
\item in post mode, decrease $t$ by one until zero;
|
| 167 |
+
\item at empty post progress, change to empty pre mode in frame
|
| 168 |
+
$\gamma c$, leaving $b$ unchanged.
|
| 169 |
+
\end{enumerate}
|
| 170 |
+
The fourth operation is included also for $c=\gamma^{-1}$; only the
|
| 171 |
+
second operation is disabled at that frame.
|
| 172 |
+
\end{definition}
|
| 173 |
+
|
| 174 |
+
\begin{lemma}[Endpoints and output]\label{ia:path-endpoints}
|
| 175 |
+
For each $s$, the extended labels with that read-only tuple form a
|
| 176 |
+
single directed path, without isolated vertices or self edges. Its
|
| 177 |
+
unique source and immediate successor are respectively
|
| 178 |
+
\begin{equation}
|
| 179 |
+
(\gamma^{-1},b_0(s),1,q-1),\qquad
|
| 180 |
+
(\gamma^{-1},b_0(s),1,q-2), \label{ia:source-successor}
|
| 181 |
+
\end{equation}
|
| 182 |
+
where $b_0(s)$ has blank work and legacy bit $e_1=1$. Its other
|
| 183 |
+
endpoint is the full pre label at stage $M-1$, and there
|
| 184 |
+
$w[y_{\rm out}]=f(s)$.
|
| 185 |
+
\end{lemma}
|
| 186 |
+
|
| 187 |
+
\begin{proof}
|
| 188 |
+
Replace the unique macro tape at stage $x$ by its post labels in frame
|
| 189 |
+
$\gamma^{-1}x$, in decreasing order of $t$, followed by its pre labels
|
| 190 |
+
in frame $x$, in increasing order of $t$. The frame-advance edge joins
|
| 191 |
+
the two halves. Each enabled macro edit joins the full pre end of one
|
| 192 |
+
such segment to the full post start of the next. The only absent join
|
| 193 |
+
is the wrap join from the final stage to stage zero. This gives exactly
|
| 194 |
+
the stated path and endpoints. Every segment has more than one vertex,
|
| 195 |
+
so there are no isolated vertices; each edge changes a label component,
|
| 196 |
+
so there are no self edges. The final work assignment and all its
|
| 197 |
+
ancestors have been completed at the last stage, proving the output
|
| 198 |
+
claim.
|
| 199 |
+
\end{proof}
|
| 200 |
+
|
| 201 |
+
\subsection{Chart conventions and lifted cyclic interpolation}
|
| 202 |
+
\label{ia:lifts-and-masks}
|
| 203 |
+
|
| 204 |
+
A native chart is an $\mathbb F_q$-coefficient polynomial on
|
| 205 |
+
$O(\ell)$ coordinates over $\mathbb F_q$, possibly with slots. A
|
| 206 |
+
persistent chart has at most one slot axis of length $O(\ell)$; stacks
|
| 207 |
+
will have a bounded number of such axes. A full rotating or projection
|
| 208 |
+
variable always occupies one whole $K$ label. Native charts will later
|
| 209 |
+
be embedded in one common $K^u$, with unused coordinates ignored.
|
| 210 |
+
|
| 211 |
+
For slot lengths $t_1,\ldots,t_r$ and masks
|
| 212 |
+
$L_b\in\mathbb F_q^{t_b}$, write
|
| 213 |
+
\begin{equation}
|
| 214 |
+
L\cdot F(Y)=\sum_{z_1,\ldots,z_r}
|
| 215 |
+
\left(\prod_{b=1}^r L_b[z_b]\right)
|
| 216 |
+
F_{z_1,\ldots,z_r}(Y). \label{ia:contraction}
|
| 217 |
+
\end{equation}
|
| 218 |
+
There are $q^{O(\ell)}$ mask tuples. To query any specified mask tuple
|
| 219 |
+
smoothly, choose independent uniform $A_b$, substitute
|
| 220 |
+
$L_b=A_b+(L_b-A_b)$, and expand the $2^r$ terms. Each term has uniform
|
| 221 |
+
mask marginals, even conditional on the point and the requested tuple.
|
| 222 |
+
A nonzero tensor remains nonzero after independent random contractions
|
| 223 |
+
with probability at least $(1-1/q)^r$: at each step a nonzero linear
|
| 224 |
+
map has a kernel of relative size at most $1/q$.
|
| 225 |
+
|
| 226 |
+
We repeatedly use the elementary polynomial zero bound: a nonzero
|
| 227 |
+
polynomial of total degree $d_*$ on $\mathbb F_q^m$ vanishes on at most
|
| 228 |
+
a $d_*/q$ fraction of the grid. For completeness, expand in the last
|
| 229 |
+
variable with leading coefficient of degree at most $d_*-r$ and last
|
| 230 |
+
variable degree $r$. Inductively that coefficient vanishes on at most
|
| 231 |
+
$(d_*-r)/q$ of the earlier coordinates; elsewhere there are at most
|
| 232 |
+
$r$ roots in the last variable. Induction on $m$ proves the bound.
|
| 233 |
+
We apply it also after adjoining the finitely many mask groups.
|
| 234 |
+
Thus any nonzero degree-$O(D+\ell h)$ chart identity, including a
|
| 235 |
+
whole slot list, is detected with constant probability. An ignored
|
| 236 |
+
coordinate group is checked by comparing two independent replacements
|
| 237 |
+
of that group with common uniform other coordinates. Its difference
|
| 238 |
+
is a polynomial; the same bound gives an exact alternative between
|
| 239 |
+
independence and constant rejection probability. Throughout, smoothness
|
| 240 |
+
means bounded marginal density relative to uniform point and mask
|
| 241 |
+
coordinates. Ignored coordinates are independently filled uniformly.
|
| 242 |
+
|
| 243 |
+
Ordinary interpolation on the $H$ digits extends a function on $K_1$
|
| 244 |
+
with individual degrees below $h$ and total degree at most
|
| 245 |
+
$\ell(h-1)$. The punctured cyclic grid requires a different extension.
|
| 246 |
+
|
| 247 |
+
\begin{lemma}[Cyclic lift, including descent at zero]\label{ia:cyclic-lift}
|
| 248 |
+
For $0\le j<M$, write $j=\sum_{t=0}^{\ell-1}j_t h^t$ and define
|
| 249 |
+
\begin{equation}
|
| 250 |
+
\widetilde j=\sum_{b=0}^{\ell-1}j_{vb\bmod\ell}q^b.
|
| 251 |
+
\label{ia:lift-exponent}
|
| 252 |
+
\end{equation}
|
| 253 |
+
Replacing $Z^j$ by $Z^{\widetilde j}$ in interpolation on $C$ gives a
|
| 254 |
+
linear extension to $K$, of coordinate degree at most $\ell(h-1)$.
|
| 255 |
+
For $\mathbb F_q$-valued data this extension has coefficients in
|
| 256 |
+
$\mathbb F_q$ in the chosen coordinates, including its value at zero.
|
| 257 |
+
It commutes with $Z\mapsto xZ$ for every $x\in C$.
|
| 258 |
+
\end{lemma}
|
| 259 |
+
|
| 260 |
+
\begin{proof}
|
| 261 |
+
Modulo $M$ we have $q^b=h^{vb}$ and $h^\ell=1$, hence
|
| 262 |
+
\[
|
| 263 |
+
\widetilde j\equiv
|
| 264 |
+
\sum_b j_{vb\bmod\ell}h^{vb\bmod\ell}=j\pmod M.
|
| 265 |
+
\]
|
| 266 |
+
The two monomials therefore agree on $C$, where the powers
|
| 267 |
+
$1,Z,\ldots,Z^{M-1}$ form the usual interpolation basis. Each map
|
| 268 |
+
$Z\mapsto Z^{q^b}$ is linear over $\mathbb F_q$, so the coordinate
|
| 269 |
+
degree of the lifted monomial is at most $\sum_t j_t\le\ell(h-1)$.
|
| 270 |
+
|
| 271 |
+
Multiplication of $\widetilde j$ by $q$ modulo $q^\ell-1$ cyclically
|
| 272 |
+
rotates its base-$q$ digits. Under \eqref{ia:lift-exponent}, this is
|
| 273 |
+
the permutation $j\mapsto qj\bmod M$. The digit list all of whose
|
| 274 |
+
entries equal $h-1$ is excluded by $j<M$; exponent zero is consequently
|
| 275 |
+
the unique representative of residue zero on $C$. If the original
|
| 276 |
+
interpolant is $\sum_j a_jZ^j$ and its values belong to $\mathbb F_q$,
|
| 277 |
+
uniqueness of interpolation on $C$ gives
|
| 278 |
+
\[
|
| 279 |
+
a_{qj\bmod M}=a_j^q.
|
| 280 |
+
\]
|
| 281 |
+
The digit rotation then proves that its lift $F$ satisfies
|
| 282 |
+
$F(z)^q=F(z)$ for every $z\in K^\times$. At zero, $F(0)=a_0$ and
|
| 283 |
+
$a_0^q=a_0$, so the same assertion holds.
|
| 284 |
+
|
| 285 |
+
The coordinate degree is below $q$ after our cutoff. Conjugating the
|
| 286 |
+
coordinate coefficients by the $q$-power map leaves the values on
|
| 287 |
+
$\mathbb F_q^\ell$ unchanged. Uniqueness of interpolation with
|
| 288 |
+
individual degrees below $q$ forces each coefficient to be fixed by
|
| 289 |
+
that conjugation, and thus to lie in $\mathbb F_q$. Finally
|
| 290 |
+
$x^{\widetilde j}=x^j$ for $x\in C$, which proves the scaling assertion
|
| 291 |
+
on every basis monomial. These arguments apply coefficientwise in any
|
| 292 |
+
additional independent variables.
|
| 293 |
+
\end{proof}
|
| 294 |
+
|
| 295 |
+
\subsection{Canonical certificates for linear conditions}
|
| 296 |
+
\label{ia:linear-certificates}
|
| 297 |
+
|
| 298 |
+
Partial-sum polynomial certificates also appear in Rubinstein's
|
| 299 |
+
construction~\cite[Sections~6.2--6.3]{Rubinstein2016Settling}.
|
| 300 |
+
Here each input chart has its own canonical certificates, and contributions
|
| 301 |
+
from different charts meet only in a tested identity. We require these
|
| 302 |
+
recipes to remain linear in their input chart and, in rotating calls, to
|
| 303 |
+
respect cyclic scaling of the designated variables even when the final
|
| 304 |
+
condition fails.
|
| 305 |
+
|
| 306 |
+
\begin{lemma}[Smooth linear verification]\label{ia:linear-tool}
|
| 307 |
+
Let a fixed finite list of primary native charts, each scalar or with
|
| 308 |
+
one $O(\ell)$ slot axis, be subject to an explicit
|
| 309 |
+
$\mathbb F_q$-linear condition $\mathcal S$ on their full evaluation
|
| 310 |
+
arrays. Its matrix has polynomially many rows and columns, with
|
| 311 |
+
logarithms $O(\ell\log q)$. Coefficient and special-grid conditions
|
| 312 |
+
may be expressed by public linear matrices. A nonrotating call may
|
| 313 |
+
adjoin a separately enforced primary $1$ for affine terms.
|
| 314 |
+
|
| 315 |
+
In a rotating call, at most one full variable in each primary is
|
| 316 |
+
designated to scale by a common $x\in C$. Assume $\mathcal S$ is
|
| 317 |
+
invariant under this simultaneous pullback and imposes the lifted
|
| 318 |
+
shape of Lemma~\ref{ia:cyclic-lift} in every rotating variable. No
|
| 319 |
+
arbitrary noninvariant affine term is allowed in such a call.
|
| 320 |
+
|
| 321 |
+
The condition has a canonical verification construction with the
|
| 322 |
+
following properties.
|
| 323 |
+
\begin{enumerate}
|
| 324 |
+
\item A fixed number of auxiliary families is stored \emph{separately
|
| 325 |
+
for each primary block}. Each has native dimension $O(\ell)$ and at
|
| 326 |
+
most one slot axis of length $O(\ell)$. Its canonical arrays are
|
| 327 |
+
linear in that primary's arrays, also when $\mathcal S$ fails.
|
| 328 |
+
\item Honest input coordinate degree $d_{\rm in}$ produces auxiliary
|
| 329 |
+
degree $O(d_{\rm in}+\ell h)$. A fixed mixture of bounded, smooth
|
| 330 |
+
linear field probes is perfectly complete on legal canonical tuples
|
| 331 |
+
within the degree budgets. On genuine degree-at-most-$D$ polynomial
|
| 332 |
+
tuples, either $\mathcal S$ holds and every auxiliary is canonical, or
|
| 333 |
+
the mixture rejects with a fixed positive probability.
|
| 334 |
+
\item In a rotating call each auxiliary has a new designated full
|
| 335 |
+
variable $R$, and rotating its primary by $x$ changes the auxiliary by
|
| 336 |
+
$R\mapsto xR$. Its canonical recipe has the lifted shape in $R$
|
| 337 |
+
whenever its primary has the required shape, even if final rows fail.
|
| 338 |
+
All canonical arrays and public maps are polynomial-time constructible.
|
| 339 |
+
\end{enumerate}
|
| 340 |
+
\end{lemma}
|
| 341 |
+
|
| 342 |
+
\begin{proof}
|
| 343 |
+
We give the construction, uniqueness, degree, and probe arguments.
|
| 344 |
+
|
| 345 |
+
\paragraph{Why arbitrary scaling factors preserve the linear condition.}
|
| 346 |
+
In a rotating call substitute $RZ$ for the designated variable of a
|
| 347 |
+
primary and denote the resulting chart by $f_R$. An unchanged primary
|
| 348 |
+
stays unchanged. We first show that legal input arrays satisfy
|
| 349 |
+
$\mathcal S$ for every $R\in K$, rather than only for $R\in C$.
|
| 350 |
+
Extend scalars in the evaluation space and its linear subspace
|
| 351 |
+
$\mathcal S$ from $\mathbb F_q$ to $K$. Since $|C|=M$ is odd, it is
|
| 352 |
+
invertible in characteristic two. The character projections
|
| 353 |
+
\[
|
| 354 |
+
\Pi_j=\frac1M\sum_{x\in C}x^{-j}\rho(x)
|
| 355 |
+
\qquad(0\le j<M)
|
| 356 |
+
\]
|
| 357 |
+
for the simultaneous scaling action $\rho$ decompose the space and
|
| 358 |
+
preserve every invariant subspace. On the imposed lift shape, the
|
| 359 |
+
character $j$ is represented by the single exponent $\widetilde j$
|
| 360 |
+
in every rotating primary. Nonrotating components occur in character
|
| 361 |
+
zero. Substitution by $R\ne0$ therefore acts by the scalar
|
| 362 |
+
$R^{\widetilde j}$ on each character space, and preserves the extended
|
| 363 |
+
subspace. At $R=0$ it projects onto character zero, which also preserves
|
| 364 |
+
the subspace. Scaled evaluations of our $\mathbb F_q$-valued chart
|
| 365 |
+
are still $\mathbb F_q$-valued; intersecting with the original
|
| 366 |
+
evaluation space, or using the original defining rows, proves the
|
| 367 |
+
assertion over $\mathbb F_q$.
|
| 368 |
+
|
| 369 |
+
A failed original row fails at $R=1$, so it remains a nonzero polynomial
|
| 370 |
+
condition. Tests requiring the substitution sample $R$ uniformly from
|
| 371 |
+
$K^\times$; this changes a uniform density by at most
|
| 372 |
+
$(1-|K|^{-1})^{-1}$ and keeps primary point marginals uniform. The
|
| 373 |
+
substitution is bilinear in coordinate variables and at most doubles
|
| 374 |
+
total degree. In a nonrotating call omit $R$ everywhere below.
|
| 375 |
+
|
| 376 |
+
\paragraph{Separate row contributions and partial sums.}
|
| 377 |
+
Pad the row set by zero rows to $H^\rho$, with $\rho=O(\ell)$.
|
| 378 |
+
For one primary block with $m_0$ native $q$-coordinates, put $m'=vm_0$.
|
| 379 |
+
An $H$-basis of $\mathbb F_q$ gives a packing map
|
| 380 |
+
\[
|
| 381 |
+
w_{\rm pack}:\mathbb F_q^{m'}\longrightarrow\mathbb F_q^{m_0}.
|
| 382 |
+
\]
|
| 383 |
+
This is a surjective $\mathbb F_q$-linear map whose restriction to
|
| 384 |
+
$H^{m'}$ is a bijection onto $\mathbb F_q^{m_0}$. In particular it
|
| 385 |
+
sends uniform inputs to uniform outputs. For each primary slot $s_0$,
|
| 386 |
+
interpolate that block's public matrix entries as
|
| 387 |
+
$A_{s_0}(I,X)$ on $H^\rho\times H^{m'}$, with individual degrees below
|
| 388 |
+
$h$. Define, for this block only,
|
| 389 |
+
\begin{align}
|
| 390 |
+
p_{m'}(R,I,X)
|
| 391 |
+
&=\sum_{s_0}A_{s_0}(I,X)
|
| 392 |
+
f_{s_0,R}(w_{\rm pack}(X)), \label{ia:linear-top}\\
|
| 393 |
+
p_j(R,I,X_1,\ldots,X_j)
|
| 394 |
+
&=\sum_{x_{j+1},\ldots,x_{m'}\in H}
|
| 395 |
+
p_{m'}(R,I,X_1,\ldots,X_j,x_{j+1},\ldots,x_{m'})
|
| 396 |
+
\quad(0\le j<m'). \label{ia:partial-sums}
|
| 397 |
+
\end{align}
|
| 398 |
+
The top identity requests the primary with the public slot mask
|
| 399 |
+
$(A_{s_0}(I,X))_{s_0}$, made smooth by additive splitting. This is a
|
| 400 |
+
linear probe; the matrix entries are not unknown operands.
|
| 401 |
+
|
| 402 |
+
The final condition is the tested identity
|
| 403 |
+
\begin{equation}
|
| 404 |
+
\sum_{\text{primary blocks }b} p_{0,b}(R,I)=0.
|
| 405 |
+
\label{ia:final-row-sum}
|
| 406 |
+
\end{equation}
|
| 407 |
+
\emph{No chart for this mixed sum is stored.} On legal data it
|
| 408 |
+
vanishes on every $I\in H^\rho$ and every $R\in K$. Its individual
|
| 409 |
+
$I$ degrees are below $h$, and its honest $R$ coordinate degrees are
|
| 410 |
+
below $q$, so this is a polynomial identity. Conversely, its
|
| 411 |
+
vanishing at $R=1$ and at the row grid, with correct partial sums,
|
| 412 |
+
is exactly the original matrix condition.
|
| 413 |
+
|
| 414 |
+
\paragraph{Division enforces all partial sums uniquely.}
|
| 415 |
+
For $1\le j\le m'$ introduce quotient and remainder charts and impose
|
| 416 |
+
\begin{align}
|
| 417 |
+
p_j&=(X_j^h-X_j)Q_j+X_j^{h-1}p_{j-1}+E_j,
|
| 418 |
+
\label{ia:division}\\
|
| 419 |
+
p_{j-1}&\text{ is independent of }X_j,
|
| 420 |
+
\qquad \deg_{X_j}E_j\le h-2. \label{ia:division-bounds}
|
| 421 |
+
\end{align}
|
| 422 |
+
In characteristic two,
|
| 423 |
+
\[
|
| 424 |
+
\sum_{x\in H}x^r=0\quad(0\le r<h-1),\qquad
|
| 425 |
+
\sum_{x\in H}x^{h-1}=1.
|
| 426 |
+
\]
|
| 427 |
+
Here the $r=0$ identity is $h=0$ in the field. The coefficient of
|
| 428 |
+
$X_j^{h-1}$ in the remainder modulo $X_j^h-X_j$ is thus precisely the
|
| 429 |
+
sum of the original polynomial over $X_j\in H$. Euclidean division
|
| 430 |
+
by this monic polynomial uniquely fixes $Q_j$, the top remainder
|
| 431 |
+
coefficient $p_{j-1}$, and $E_j$. Starting at
|
| 432 |
+
\eqref{ia:linear-top}, downward induction fixes all certificates and
|
| 433 |
+
gives \eqref{ia:partial-sums}. Independence from later trailing
|
| 434 |
+
coordinates follows in the same induction.
|
| 435 |
+
|
| 436 |
+
To test the degree restriction without concentrated reads, write
|
| 437 |
+
\begin{equation}
|
| 438 |
+
G_j(R,I,X_{\ne j},U)
|
| 439 |
+
=\sum_{b=0}^{h-2}E_{jb}(R,I,X_{\ne j})U_b,
|
| 440 |
+
\qquad U\in\mathbb F_q^{h-1}, \label{ia:coefficient-chart}
|
| 441 |
+
\end{equation}
|
| 442 |
+
where $E_{jb}$ is the coefficient of $X_j^b$ in $E_j$. Check
|
| 443 |
+
independence from $X_j$, addition in $U$, and homogeneity under a
|
| 444 |
+
uniform nonzero scalar $\lambda\in\mathbb F_q$. Sampling a nonzero
|
| 445 |
+
scalar makes $\lambda U$ uniform; zero homogeneity already follows
|
| 446 |
+
from addition. If these identities are exact, $G_j$ is pointwise
|
| 447 |
+
$\mathbb F_q$-linear in $U$, and uniqueness of reduced interpolation
|
| 448 |
+
makes its polynomial linear in $U$. Now check
|
| 449 |
+
\begin{equation}
|
| 450 |
+
E_j(R,I,X)=G_j(R,I,X_{\ne j},(1,X_j,\ldots,X_j^{h-2})).
|
| 451 |
+
\label{ia:coefficient-evaluation}
|
| 452 |
+
\end{equation}
|
| 453 |
+
The special $U$ tuple is queried as two uniform additive summands.
|
| 454 |
+
Only \emph{after} linearity has been established in the exact-soundness
|
| 455 |
+
case analysis do we use the $O(D+h)$ degree bound for this substitution.
|
| 456 |
+
The earlier linearity discrepancies have degree $O(D)$ and themselves
|
| 457 |
+
have constant gap. Equation~\eqref{ia:coefficient-evaluation} then
|
| 458 |
+
enforces \eqref{ia:division-bounds} and fixes $G_j$ uniquely.
|
| 459 |
+
|
| 460 |
+
\paragraph{A whole list is checked at once.}
|
| 461 |
+
Sampling a single recurrence index would lose a factor $m'$. Instead
|
| 462 |
+
choose a cyclic permutation $\omega$ of the $m'$ scalar coordinates
|
| 463 |
+
so that coordinate $j$ of $\omega^jX$ is one fixed coordinate of $X$.
|
| 464 |
+
Store
|
| 465 |
+
\begin{equation}
|
| 466 |
+
\overline p_j(R,I,X)=p_j(R,I,\omega^jX),
|
| 467 |
+
\qquad
|
| 468 |
+
p_{j-1}(R,I,\omega^jX)
|
| 469 |
+
=\overline p_{j-1}(R,I,\omega X), \label{ia:recurrence-frames}
|
| 470 |
+
\end{equation}
|
| 471 |
+
and store $Q_j,E_j,G_j$ in the equation-$j$ frame, with $U$ unchanged.
|
| 472 |
+
Both public powers in \eqref{ia:division}, and the predecessor
|
| 473 |
+
independence axis in its corresponding frame, are now common across
|
| 474 |
+
all $j$. A uniform mask on the recurrence-index list checks all its
|
| 475 |
+
equations with boundedly many point probes. Endpoint slices and
|
| 476 |
+
predecessor shifts only change the requested linear mask, which is
|
| 477 |
+
split smoothly. The coefficient families use the same $U$ group in
|
| 478 |
+
every slot. If $m'=0$, retain only the unsummed top contribution and
|
| 479 |
+
introduce no division family.
|
| 480 |
+
|
| 481 |
+
\paragraph{Degree, covariance, and exact gap.}
|
| 482 |
+
The top degree is at most
|
| 483 |
+
\begin{equation}
|
| 484 |
+
2d_{\rm in}+(\rho+m')(h-1). \label{ia:tool-degree}
|
| 485 |
+
\end{equation}
|
| 486 |
+
Monic division by $X_j^h-X_j$, reduction, coefficient extraction, and
|
| 487 |
+
finite summation do not increase total degree. Multiplication by a
|
| 488 |
+
linear $U_b$ costs at most one. This proves the honest degree bound.
|
| 489 |
+
There is a fixed number of families per primary; the growing recurrence
|
| 490 |
+
index is one $O(\ell)$ slot axis, and the additional $U$ domain has
|
| 491 |
+
$h-1\le\ell$ coordinates.
|
| 492 |
+
|
| 493 |
+
First test ignored coordinates and the independence and linearity
|
| 494 |
+
devices. Unless they hold identically, one has a nonzero polynomial
|
| 495 |
+
discrepancy of degree $O(D)$ and constant rejection probability.
|
| 496 |
+
Once they hold, every remaining displayed discrepancy has degree
|
| 497 |
+
$O(D+\ell h)=o(q)$ and a failed slot identity survives a random
|
| 498 |
+
contraction with constant probability. Exact identities give the
|
| 499 |
+
uniqueness just proved and then \eqref{ia:final-row-sum}. A fixed
|
| 500 |
+
mixture of test types therefore has a uniform positive gap. Perfect
|
| 501 |
+
completeness concerns canonical tuples within the budgets; it does not
|
| 502 |
+
claim that every legal primary of degree exactly $D$ has auxiliaries
|
| 503 |
+
of degree at most $D$.
|
| 504 |
+
|
| 505 |
+
For covariance even on invalid inputs, expand a lifted primary after
|
| 506 |
+
substitution over $K$ as
|
| 507 |
+
\[
|
| 508 |
+
f_R=\sum_{j=0}^{M-1}R^{\widetilde j}v_j
|
| 509 |
+
\]
|
| 510 |
+
in its evaluation arrays. All subsequent operations in
|
| 511 |
+
\eqref{ia:linear-top}--\eqref{ia:coefficient-chart} are the same fixed
|
| 512 |
+
linear maps on that primary, independent of $R$. This includes
|
| 513 |
+
division and coefficient extraction, since honest-degree evaluation
|
| 514 |
+
arrays determine the required polynomials by interpolation. These
|
| 515 |
+
maps preserve the exponent list, and rotating the input by $x\in C$
|
| 516 |
+
replaces $R$ by $xR$. No final zero-row identity is used. In particular
|
| 517 |
+
every canonical certificate is defined even when its primary belongs
|
| 518 |
+
to data failing the final condition.
|
| 519 |
+
|
| 520 |
+
Finally, all point substitutions used in these tests are coordinate
|
| 521 |
+
permutations, surjective packing, nonzero scaling, fresh independent
|
| 522 |
+
coordinate replacement, or additive splitting. They have bounded
|
| 523 |
+
point marginals. Requested masks are split. All arrays have
|
| 524 |
+
polynomial size, and every construction operation is finite linear
|
| 525 |
+
algebra on them. This proves the remaining claims.
|
| 526 |
+
\end{proof}
|
| 527 |
+
\subsection{Persistent charts and their dependency tags}
|
| 528 |
+
\label{ia:persistent}
|
| 529 |
+
|
| 530 |
+
Every persistent chart has a canonical recipe $F(c,b;Y)$, possibly
|
| 531 |
+
with one slot axis. At each fixed frame $c$, both its values and its
|
| 532 |
+
coordinate coefficients have an assigned multilinear Boolean degree
|
| 533 |
+
$\kappa_F\le d=3$ in $b$, after reducing by $b_j^2=b_j$. This
|
| 534 |
+
logical degree is different from the coordinate degree bounded by
|
| 535 |
+
$D$. All recipes are defined for every Boolean tape, including tapes
|
| 536 |
+
that fail validity. A recipe either is independent of $c$, or has
|
| 537 |
+
one designated full variable whose scaling realizes $c\mapsto xc$.
|
| 538 |
+
|
| 539 |
+
Give each family a tag in $\{0,1,\ldots,k\}$. A tag-$0$ recipe
|
| 540 |
+
depends only on $c,w,e$ and public data; that public data may include
|
| 541 |
+
the circuit, work addresses, and the port index. A tag-$i$ recipe
|
| 542 |
+
depends only on $c,s_i,e$ and public data fixed by the standardized
|
| 543 |
+
one-port template. It may ignore $s_i$ if it is a certificate created
|
| 544 |
+
inside that template. Call tags compatible if they are equal or one
|
| 545 |
+
of them is zero. After fixing a finite Boolean transition branch,
|
| 546 |
+
tag-$0$ update operands will all have tag $0$, and tag-$i$ update
|
| 547 |
+
operands will have compatible tags.
|
| 548 |
+
|
| 549 |
+
\paragraph{Monomials and the separated validity calls.}
|
| 550 |
+
Use the ordinary full-grid extension for $W_w$ and each $W_{s_i}$,
|
| 551 |
+
and the cyclic lift for $W_e$. Include the constant chart $1$,
|
| 552 |
+
tested against its prescribed value. For all ordered lists of length
|
| 553 |
+
at most $d$ from $\{w,e\}$, and separately from $\{s_i,e\}$ for
|
| 554 |
+
each $i$, include
|
| 555 |
+
\begin{equation}
|
| 556 |
+
W_{g_1,\ldots,g_j}(b;Y_1,\ldots,Y_j)
|
| 557 |
+
=\prod_{r=1}^j W_{g_r}(b;Y_r). \label{ia:monomial-charts}
|
| 558 |
+
\end{equation}
|
| 559 |
+
Repeated types use independent variables. Share the legacy-only
|
| 560 |
+
types. A monomial containing $s_i$ has tag $i$; all other monomials
|
| 561 |
+
have tag $0$. Enforce each nontrivial product by factorization into
|
| 562 |
+
its shorter prefix and last factor on independent native variables,
|
| 563 |
+
together with all ignored-coordinate requirements.
|
| 564 |
+
|
| 565 |
+
Apply the nonrotating linear tool as follows.
|
| 566 |
+
\begin{enumerate}
|
| 567 |
+
\item One tag-$0$ validity call uses the monomials from $\{w,e\}$
|
| 568 |
+
and $1$. It imposes the order-one extension shapes, bitness on the
|
| 569 |
+
grids, the one-hot requirements \eqref{ia:one-hot}, and all blank and
|
| 570 |
+
gate requirements of Lemma~\ref{ia:validity}. Use one work-requirement
|
| 571 |
+
row for each pair (stage, work grid position), with a zero row when
|
| 572 |
+
that position is an occupied copy. Other conditions have fixed
|
| 573 |
+
lists of rows. Circuit data affect matrix entries only.
|
| 574 |
+
\item For each $i$, a separate copy/port call imposes the shape,
|
| 575 |
+
padding, and bitness of $W_{s_i}$, and the copy rows indexed by
|
| 576 |
+
$(c,j)$ for $c\in C$ and $1\le j\le L$. The row is zero when
|
| 577 |
+
the stage index of $c$ is less than $j$. Otherwise it compares
|
| 578 |
+
\begin{equation}
|
| 579 |
+
W_{e,s_i}(c^{-1},\iota(j))
|
| 580 |
+
-W_{e,w}(c^{-1},w_{i,j})=0, \label{ia:separate-copy-row}
|
| 581 |
+
\end{equation}
|
| 582 |
+
where $\iota$ is the common input injection. Primary-list, row-order,
|
| 583 |
+
and padding conventions are identical in every such call. The
|
| 584 |
+
matrix blocks for port-dependent primaries depend only on these
|
| 585 |
+
common stage and source-bit indices. Work destinations occur only
|
| 586 |
+
in the separate $W_{e,w}$ matrix block. Auxiliaries for port-dependent
|
| 587 |
+
blocks receive tag $i$; auxiliaries for the work-side block receive
|
| 588 |
+
tag $0$.
|
| 589 |
+
\end{enumerate}
|
| 590 |
+
For example, bitness is the linear row
|
| 591 |
+
\[
|
| 592 |
+
W_{g,g}(y,y)-W_g(y)=0
|
| 593 |
+
\]
|
| 594 |
+
on represented grid entries. Although its two grid arguments
|
| 595 |
+
coincide, it is verified as a matrix row, not by a concentrated
|
| 596 |
+
unknown-product query. The same representation handles every
|
| 597 |
+
degree-at-most-three Boolean validity term. Extension shapes are
|
| 598 |
+
linear evaluation/interpolation conditions; the cyclic shape is
|
| 599 |
+
$\mathbb F_q$-linear by Lemma~\ref{ia:cyclic-lift}.
|
| 600 |
+
|
| 601 |
+
If these conditions and the factorization identities hold exactly
|
| 602 |
+
on genuine polynomials, order-one grid entries are bits, their
|
| 603 |
+
shapes fix their full extensions, products fix higher monomials,
|
| 604 |
+
and the rows give exactly a valid union-of-stages tape. The linear
|
| 605 |
+
tool fixes each certificate separately. The initial auxiliary
|
| 606 |
+
assigned degrees can all be bounded by $d$, or by the smaller
|
| 607 |
+
degree of their primary when useful. Since every certificate map
|
| 608 |
+
is linear in one primary, the same degree statement holds on
|
| 609 |
+
arbitrary Boolean tapes even when a final validity row is nonzero.
|
| 610 |
+
|
| 611 |
+
Include also a tag-$0$, point-constant output chart
|
| 612 |
+
\begin{equation}
|
| 613 |
+
F_{\rm out}(b)=w[y_{\rm out}]. \label{ia:output-chart}
|
| 614 |
+
\end{equation}
|
| 615 |
+
A separate nonrotating linear call ties it to the designated grid
|
| 616 |
+
entry of $W_w$ and enforces its ignored coordinates. Give it and
|
| 617 |
+
the associated certificates assigned degree one. This output chart
|
| 618 |
+
does not need a critical-address projection for transitions.
|
| 619 |
+
|
| 620 |
+
\paragraph{Frame and clock-times-monomial charts.}
|
| 621 |
+
Let $J_c(X)$ be the cyclic lift of the indicator of $c^{-1}$ on
|
| 622 |
+
$C$. It has tag $0$, assigned degree zero, and
|
| 623 |
+
\begin{equation}
|
| 624 |
+
J_{xc}(X)=J_c(xX). \label{ia:clock-covariance}
|
| 625 |
+
\end{equation}
|
| 626 |
+
Tie it to the legacy chart by
|
| 627 |
+
\begin{equation}
|
| 628 |
+
W_e(X)=J_c(\gamma^\eta X). \label{ia:clock-legacy}
|
| 629 |
+
\end{equation}
|
| 630 |
+
Below, $\eta$ is enforced as a point-constant bit. Equation
|
| 631 |
+
\eqref{ia:clock-legacy} is then a finite choice of two smooth
|
| 632 |
+
polynomial identities. One-hot legacy validity determines a unique
|
| 633 |
+
$c$ and the required pre/post relation, and fixes $J_c$. For every
|
| 634 |
+
monomial $W$, including $1$, include
|
| 635 |
+
\begin{equation}
|
| 636 |
+
T_W(c,b;X,Y)=J_c(X)W(b;Y), \label{ia:clock-monomial}
|
| 637 |
+
\end{equation}
|
| 638 |
+
with independent arguments. It has the same tag and degree tier as
|
| 639 |
+
$W$, and rotates only $X$. Enforce it by factorization.
|
| 640 |
+
|
| 641 |
+
\begin{lemma}[Clock-indexed linear formulas]\label{ia:clock-formula}
|
| 642 |
+
Suppose for each $y\in C$ that $L_y$ is an explicitly given
|
| 643 |
+
$\mathbb F_q$-linear map from selected monomial evaluation arrays
|
| 644 |
+
of logical degree at most $k_0$ to the full native array of a scalar
|
| 645 |
+
or one-slot output. There is a canonical chart, lifted in $Z$, with
|
| 646 |
+
\begin{equation}
|
| 647 |
+
G(c,b;z,\cdot)=L_{cz}(W(b))\quad(z\in C). \label{ia:clock-formula-value}
|
| 648 |
+
\end{equation}
|
| 649 |
+
It rotates only $Z$, and it and its verification auxiliaries have
|
| 650 |
+
assigned degree at most $k_0$. A rotating linear-tool call verifies
|
| 651 |
+
them. The recipes and their covariance hold for all Boolean $b$.
|
| 652 |
+
\end{lemma}
|
| 653 |
+
|
| 654 |
+
\begin{proof}
|
| 655 |
+
Use the needed $T_W$ inputs and the output $G$ as primaries. Impose
|
| 656 |
+
their lifted shapes in the designated variables and the linear rows
|
| 657 |
+
\begin{equation}
|
| 658 |
+
G(z,\cdot)=\sum_{x\in C}L_{x^{-1}z}(T(x,\cdot))
|
| 659 |
+
\quad(z\in C). \label{ia:clock-convolution}
|
| 660 |
+
\end{equation}
|
| 661 |
+
Rows also range over every output evaluation position and slot.
|
| 662 |
+
On canonical $T$ inputs, only $x=c^{-1}$ contributes, giving
|
| 663 |
+
\eqref{ia:clock-formula-value}. The lift shape then determines the
|
| 664 |
+
whole chart uniquely. The row condition is invariant under the
|
| 665 |
+
simultaneous replacement $G(z)\mapsto G(u_0z)$ and
|
| 666 |
+
$T(x)\mapsto T(u_0x)$: setting $x'=u_0x$ changes the map index to
|
| 667 |
+
$(x')^{-1}u_0z$. The shape conditions are invariant too, so
|
| 668 |
+
Lemma~\ref{ia:linear-tool} applies. Every input has logical degree
|
| 669 |
+
at most $k_0$; interpolation and all per-primary certificate operations
|
| 670 |
+
are linear and preserve that degree. Covariance follows first on
|
| 671 |
+
$C$ and then by uniqueness of the lift, and for the auxiliaries by
|
| 672 |
+
the last part of the linear tool. No validity row on $b$ was used.
|
| 673 |
+
Public clock-dependent terms are supplied through $T_1=J_c$, keeping
|
| 674 |
+
the rotating condition linear.
|
| 675 |
+
\end{proof}
|
| 676 |
+
|
| 677 |
+
Apply this lemma to a fixed list, for fixed $k$, of critical addresses
|
| 678 |
+
needed by either transition direction. A critical output chart has
|
| 679 |
+
only the variable $Z$ and gives at $z\in C$ the required logical read
|
| 680 |
+
or rule bit for absolute frame $cz$. For each port, make a separate
|
| 681 |
+
tag-$i$ read chart that reads $s_i[j]$ during initial copy step $j$
|
| 682 |
+
and is identically zero on every other step. This is a standardized
|
| 683 |
+
degree-one call independent of all subsequent computation. Work
|
| 684 |
+
reads have separate tag-$0$ charts, defined as zero when inactive;
|
| 685 |
+
there are a bounded number per write slot for old and operand reads.
|
| 686 |
+
Phase, gate, activity, and wrap-disable bits use tag-$0$ degree-zero
|
| 687 |
+
calls. Fix their numbers and tiers by the rule basis and write-slot
|
| 688 |
+
bound, padding inactive roles. Their public values and work address
|
| 689 |
+
maps may depend on the circuit.
|
| 690 |
+
|
| 691 |
+
Every auxiliary of a tag-$0$ clock call has tag $0$. Every auxiliary
|
| 692 |
+
of a standardized tag-$i$ clock call has tag $i$, even an auxiliary
|
| 693 |
+
for a shared legacy-only or public $T$ primary in that call. The
|
| 694 |
+
shared primary itself retains its base tag and formula. This
|
| 695 |
+
distinction between an input's tag and the ancestry of its
|
| 696 |
+
per-call certificate is part of the construction.
|
| 697 |
+
|
| 698 |
+
A fixed-frame tape edit must update every persistent chart, including the
|
| 699 |
+
certificates introduced to verify other charts. Its effect on a chart
|
| 700 |
+
$F$ is the difference
|
| 701 |
+
\[
|
| 702 |
+
F(c,b+h_\sigma(c);Y)-F(c,b;Y).
|
| 703 |
+
\]
|
| 704 |
+
For a positive-tier chart we store this difference in a new chart with a
|
| 705 |
+
clock variable $Z$, whose restriction at $Z=1$ gives the required change.
|
| 706 |
+
Taking a Boolean difference lowers the logical degree. We can also store the
|
| 707 |
+
changes of this new chart and its certificates, stopping after at most
|
| 708 |
+
three levels. The construction below supplies these polynomial charts;
|
| 709 |
+
the projection stacks in Section~\ref{ia:projection-stacks} will realize
|
| 710 |
+
the restriction at $Z=1$ without a concentrated point read.
|
| 711 |
+
|
| 712 |
+
\begin{lemma}[Derivative closure for all persistent families]
|
| 713 |
+
\label{ia:derivative-closure}
|
| 714 |
+
The persistent system can be closed under every required fixed-frame
|
| 715 |
+
Boolean edit, including edits to verification auxiliaries, with a
|
| 716 |
+
fixed number of families for fixed $k$. Each has at most one
|
| 717 |
+
$O(\ell)$ slot axis, native dimension $O(\ell)$, honest coordinate
|
| 718 |
+
degree $O(\ell h)$, and assigned logical degree at most three. The
|
| 719 |
+
closure and its polynomial-time canonical recipes are defined on
|
| 720 |
+
invalid Boolean tapes as well.
|
| 721 |
+
\end{lemma}
|
| 722 |
+
|
| 723 |
+
\begin{proof}
|
| 724 |
+
Let $F$ have positive assigned tier $k_0$. For every required flip
|
| 725 |
+
mask, retain its native variables $Y$ and slots, adjoin a new full
|
| 726 |
+
variable $Z$, and prescribe on the cyclic grid
|
| 727 |
+
\begin{equation}
|
| 728 |
+
G_F^\sigma(c,b;z,Y)
|
| 729 |
+
=F(cz,b+h_\sigma(cz);Y)-F(cz,b;Y),\qquad z\in C.
|
| 730 |
+
\label{ia:derivative}
|
| 731 |
+
\end{equation}
|
| 732 |
+
Extend in $Z$ by the cyclic lift. Both parent terms are evaluated
|
| 733 |
+
in frame $cz$; the parent's existing argument coordinates remain
|
| 734 |
+
exactly $Y$. A tag-$0$ parent uses the full flip alphabet
|
| 735 |
+
\eqref{ia:flip-mask}. For a tag-$i$ parent, only the two legacy
|
| 736 |
+
coefficients matter: the input bits $s_i$ are never written and
|
| 737 |
+
work bits are absent from its recipe. Use the fixed four masks
|
| 738 |
+
\begin{equation}
|
| 739 |
+
h_\chi(y)=\chi_1\mathbf 1_{e_{y^{-1}}}
|
| 740 |
+
+\chi_2\mathbf 1_{e_{(\gamma y)^{-1}}},
|
| 741 |
+
\qquad \chi\in\{0,1\}^2, \label{ia:port-flip-mask}
|
| 742 |
+
\end{equation}
|
| 743 |
+
independent of $k$ and $i$.
|
| 744 |
+
|
| 745 |
+
For a squarefree monomial, a fixed Boolean translation gives
|
| 746 |
+
\begin{equation}
|
| 747 |
+
\prod_{j\in S}(b_j+h_j)-\prod_{j\in S}b_j
|
| 748 |
+
=\sum_{T\subsetneq S}\left(\prod_{j\in T}b_j\right)
|
| 749 |
+
\left(\prod_{j\in S\setminus T}h_j\right).
|
| 750 |
+
\label{ia:degree-drop}
|
| 751 |
+
\end{equation}
|
| 752 |
+
Thus \eqref{ia:derivative} has logical degree at most $k_0-1$.
|
| 753 |
+
Lifting its new variable adds at most $\ell(h-1)$ to its coordinate
|
| 754 |
+
degree. For each absolute frame $y$, output evaluation point, and
|
| 755 |
+
inherited slot, the derivative is a known linear combination of
|
| 756 |
+
grid monomials of degree at most $k_0-1$: from $\{w,e\}$ for tag
|
| 757 |
+
$0$, or from $\{s_i,e\}$ for tag $i$.
|
| 758 |
+
|
| 759 |
+
These coefficients are computed from the \emph{canonical parent
|
| 760 |
+
recipe}, not from the presently supplied parent table. An explicit
|
| 761 |
+
method is bounded-degree Boolean interpolation. For a multilinear
|
| 762 |
+
function $P$ of degree at most $r$ on a universe of $N$ bits, its
|
| 763 |
+
coefficient on $S$, $|S|\le r$, is
|
| 764 |
+
\begin{equation}
|
| 765 |
+
[b_S]P=\sum_{T\subseteq S}(-1)^{|S|-|T|}P(\mathbf 1_T).
|
| 766 |
+
\label{ia:boolean-inversion}
|
| 767 |
+
\end{equation}
|
| 768 |
+
In characteristic two the signs are all one. Use this on the
|
| 769 |
+
right side of \eqref{ia:derivative}, which is computable on every
|
| 770 |
+
Boolean argument, including translated invalid tapes. There are
|
| 771 |
+
only $\sum_{j\le r}\binom Nj=\poly(n')$ required subsets, because
|
| 772 |
+
$r\le3$ and $N=\poly(n')$. For tag $i$ the interpolation universe
|
| 773 |
+
is the common ordered list of its $L$ source bits and $M$ legacy
|
| 774 |
+
bits, with no work coordinates. Interpret the resulting coefficients
|
| 775 |
+
as public maps $L_y$ on the permitted monomial arrays.
|
| 776 |
+
|
| 777 |
+
Apply Lemma~\ref{ia:clock-formula} using only inputs through tier
|
| 778 |
+
$k_0-1$. The output derivative and every newly introduced auxiliary
|
| 779 |
+
receive that tier and the parent's tag. In particular a certificate
|
| 780 |
+
for a shared tag-$0$ $T$ input in this positive call receives the
|
| 781 |
+
positive ancestry tag. The derivative rotates only its new variable,
|
| 782 |
+
since on the grid
|
| 783 |
+
\[
|
| 784 |
+
G_F^\sigma(u_0c,b;z,Y)=G_F^\sigma(c,b;u_0z,Y),
|
| 785 |
+
\]
|
| 786 |
+
and lift uniqueness extends this to $K$. Its older parent variables
|
| 787 |
+
are not additionally scaled under a frame change. Each verification
|
| 788 |
+
auxiliary instead rotates its own new $R$, as proved by the linear
|
| 789 |
+
tool.
|
| 790 |
+
|
| 791 |
+
Repeat this operation for every added positive-tier family, including
|
| 792 |
+
derivatives and all their proof families. Every descendant call
|
| 793 |
+
strictly lowers its assigned tier, whether or not its actual degree
|
| 794 |
+
was already smaller. The recursion ends after at most three levels.
|
| 795 |
+
A family has only finitely many children for fixed $k$. A derivative
|
| 796 |
+
inherits its parent's single slot axis; a verification auxiliary uses
|
| 797 |
+
its own recurrence-index axis rather than tensoring it with primary
|
| 798 |
+
slots. Consequently the number of families is fixed, their native
|
| 799 |
+
dimensions and slot lengths remain $O(\ell)$, and their coordinate
|
| 800 |
+
degrees remain $O(\ell h)$. Tier-zero charts require no derivative
|
| 801 |
+
for a fixed-frame Boolean edit.
|
| 802 |
+
|
| 803 |
+
All maps have polynomial construction cost: there are polynomially
|
| 804 |
+
many frames, evaluations, slots, monomials, and rows, and only a
|
| 805 |
+
fixed number of recursive levels. Finite sums, monic division,
|
| 806 |
+
coefficient extraction, and interpolation are fixed linear operations
|
| 807 |
+
on each primary array. They neither create a further logical product
|
| 808 |
+
nor import another primary's dependency. This remains true when the
|
| 809 |
+
final row sum fails, by Lemma~\ref{ia:linear-tool}. The asserted
|
| 810 |
+
invalid-tape recipes and their degree bounds follow as well.
|
| 811 |
+
\end{proof}
|
| 812 |
+
|
| 813 |
+
\begin{lemma}[Literal positive-port ancestry]\label{ia:port-ancestry}
|
| 814 |
+
There are deterministic local call and ancestry conventions such that
|
| 815 |
+
the entire tag-$i$ construction in an actual $k$-port graph is
|
| 816 |
+
identical, after renaming $s_i$ to $s$, to the positive-tag construction
|
| 817 |
+
in the one-port template with the same $L,n'$ and field parameters.
|
| 818 |
+
The agreement includes primary lists, row indexing and zero padding,
|
| 819 |
+
packing maps, all auxiliary and derivative families, native dimensions,
|
| 820 |
+
slot orders, and canonical arrays whenever $(c,e,s_i)=(c,e,s)$.
|
| 821 |
+
It holds independently of the actual work destinations, $k$, and $f$.
|
| 822 |
+
\end{lemma}
|
| 823 |
+
|
| 824 |
+
\begin{proof}
|
| 825 |
+
Choose row lists, their order, and zero padding separately for each
|
| 826 |
+
call's local template. Do not choose a row dimension by maximizing
|
| 827 |
+
over all calls in the actual graph. In each copy/port call use the
|
| 828 |
+
same input-shape rows, bitness rows, and $(c,j)$ copy rows, and the
|
| 829 |
+
same full primary-list conventions. Although the work-side matrix
|
| 830 |
+
depends on $w_{i,j}$, its dimensions do not. This makes all
|
| 831 |
+
port-dependent primary blocks literal copies of their dummy blocks.
|
| 832 |
+
|
| 833 |
+
For a concrete example, consider $W_{e,s_i}$ in
|
| 834 |
+
\eqref{ia:separate-copy-row}. Its matrix $A_{e,s}(I,X)$ knows the
|
| 835 |
+
stage and the source position $\iota(j)$, and has no reference to
|
| 836 |
+
$w_{i,j}$. That destination appears only in the separate
|
| 837 |
+
$A_{e,w}$ block. The top formula for its positive certificate is
|
| 838 |
+
\[
|
| 839 |
+
p_{m',e,s}(I,X)
|
| 840 |
+
=A_{e,s}(I,X)W_{e,s_i}(w_{\rm pack}(X)),
|
| 841 |
+
\]
|
| 842 |
+
with the evident slot contraction when needed. Its row padding,
|
| 843 |
+
packing, recurrence permutation, recurrence-index order, and
|
| 844 |
+
coefficient-vector domain are therefore exactly those of the
|
| 845 |
+
one-port construction. Each partial sum, quotient, remainder, and
|
| 846 |
+
coefficient chart uses that block alone. The equality with the
|
| 847 |
+
work-side contribution is tested only in \eqref{ia:final-row-sum};
|
| 848 |
+
there is no mixed stored chart from which work addresses could
|
| 849 |
+
enter this positive family.
|
| 850 |
+
|
| 851 |
+
The critical source-bit calls agree directly, since they use the
|
| 852 |
+
same initial-copy address rule and the same zero rule thereafter.
|
| 853 |
+
For the remaining families, induct on positive ancestry. If a
|
| 854 |
+
parent's recipe and native layout agree, its derivative uses exactly
|
| 855 |
+
the same restricted mask \eqref{ia:port-flip-mask}. Its values on
|
| 856 |
+
every subset in \eqref{ia:boolean-inversion}, including translated
|
| 857 |
+
invalid inputs, are identical in the two templates. Hence its maps
|
| 858 |
+
$L_y$ are identical. Make each derivative call separately by parent
|
| 859 |
+
type and mask, with the fixed allowed lower-tier monomial list, full
|
| 860 |
+
output-equality rows, shape rows, deterministic order, and local
|
| 861 |
+
padding. Its output and every per-primary auxiliary then agree
|
| 862 |
+
literally by the linear-tool formulas. This includes auxiliaries
|
| 863 |
+
whose primary is a shared legacy-only or constant $T$ chart: the
|
| 864 |
+
input formula is common and the auxiliary's own call matrix is the
|
| 865 |
+
standardized positive one. These auxiliary families are themselves
|
| 866 |
+
parents in the induction. Strictly decreasing tiers terminate it.
|
| 867 |
+
|
| 868 |
+
Keep descendants from distinct standardized calls separate, without
|
| 869 |
+
coalescing them differently with circuit-dependent tag-$0$ families.
|
| 870 |
+
Additional full work masks and additional tag-$0$ calls then create
|
| 871 |
+
separate branches and do not change any positive branch. The
|
| 872 |
+
construction does not use validity to establish this correspondence.
|
| 873 |
+
\end{proof}
|
| 874 |
+
|
| 875 |
+
\begin{lemma}[A common dimension and inherited full labels]
|
| 876 |
+
\label{ia:placements}
|
| 877 |
+
The common point domain $K^u$ and all per-chart dimension bounds can
|
| 878 |
+
be fixed before $k$. Persistent charts can be placed in it so that
|
| 879 |
+
every derivative preserves all its parent's labels and slot order
|
| 880 |
+
and adds an unused whole label for its new variable. Corresponding
|
| 881 |
+
positive families have identical placements. For each fixed $k,L$,
|
| 882 |
+
all actual graph family and slot layouts can be fixed independently
|
| 883 |
+
of the size-bounded circuit's values and wiring.
|
| 884 |
+
\end{lemma}
|
| 885 |
+
|
| 886 |
+
\begin{proof}
|
| 887 |
+
Initially a monomial uses at most $d$ full variables and a $T$ chart
|
| 888 |
+
one more. Base linear calls have native dimension $O_d(\ell)$.
|
| 889 |
+
Their row counts are bounded by $q^{C\ell}$ for an absolute fixed
|
| 890 |
+
$C$ independent of $k$: the work grid, clock grid, input length, and
|
| 891 |
+
stage count are at most $h^\ell$, and shape conditions are polynomial
|
| 892 |
+
in the corresponding full evaluation sizes. Occupied-copy calls
|
| 893 |
+
are separate, so their number does not enter an individual row
|
| 894 |
+
dimension. They use fixed stage/source-index lists.
|
| 895 |
+
|
| 896 |
+
For a derivative call on a parent of $m_0$ native coordinates and
|
| 897 |
+
one possible slot axis, its output, shape, and clock-equality rows
|
| 898 |
+
have size polynomial in $q^{m_0+C\ell}$, with a fixed exponent.
|
| 899 |
+
Its permitted monomial input list is fixed by its tag and tier.
|
| 900 |
+
Different masks have separate calls. Therefore $\rho/\ell$, the
|
| 901 |
+
new native dimension divided by $\ell$, and the new slot length
|
| 902 |
+
divided by $\ell$ are bounded by a fixed multiple of one plus the
|
| 903 |
+
corresponding parent bounds. Digit unpacking contributes the fixed
|
| 904 |
+
factor $v$; the coefficient-vector domain contributes at most
|
| 905 |
+
$h-1\le\ell$ coordinates. Iterating through the at most three
|
| 906 |
+
tier drops gives an absolute bound $C_{\rm dim}\ell$, independent
|
| 907 |
+
of the number of calls or ports.
|
| 908 |
+
|
| 909 |
+
Choose $u$ to accommodate this bound and at most $d+1$ additional
|
| 910 |
+
whole labels along an inherited derivative-axis chain. Put every
|
| 911 |
+
full $K$ variable in a whole label, and pack remaining native
|
| 912 |
+
$q$-coordinates into additional labels, ignoring their padding.
|
| 913 |
+
An initial chart or a new verification auxiliary is a placement
|
| 914 |
+
root; unrelated roots may reuse labels according to their native
|
| 915 |
+
templates. A derivative retains exactly its parent's placements
|
| 916 |
+
and chooses a deterministically first unused whole label for its
|
| 917 |
+
new variable. Repeat along that chain. No labels have to be
|
| 918 |
+
globally disjoint across all ports: tests between unrelated charts
|
| 919 |
+
assemble their native arguments separately and fill ignored
|
| 920 |
+
coordinates uniformly. Enforce all ignored-coordinate conditions.
|
| 921 |
+
These deterministic choices depend only on local templates and
|
| 922 |
+
ancestry, proving positive-family agreement.
|
| 923 |
+
|
| 924 |
+
For tag-$0$ calls at fixed $k,L$, use the full uniform
|
| 925 |
+
(stage, work-position) validity list, fixed critical-read roles and
|
| 926 |
+
tiers, the full fixed flip alphabet for every parent, and the
|
| 927 |
+
allowed monomial, shape, and output lists fixed by domain and tier.
|
| 928 |
+
Only matrix entries and rule values vary with the circuit. This
|
| 929 |
+
makes the entire actual layout independent of circuit wiring, as
|
| 930 |
+
claimed.
|
| 931 |
+
\end{proof}
|
| 932 |
+
\subsection{Projection stacks and their exact tests}\label{ia:projection-stacks}
|
| 933 |
+
|
| 934 |
+
Critical reads and tape edits require algebraic restrictions of charts
|
| 935 |
+
with one or more full labels set to $1$. Reading these special points
|
| 936 |
+
directly would not preserve a uniform point marginal. Instead we
|
| 937 |
+
express each restriction as a sum of invertible affine pullbacks and
|
| 938 |
+
store the affine-pulled values in slots. The progress coordinate $t$
|
| 939 |
+
specifies which of these slots are active. At full progress, summing
|
| 940 |
+
over the new stack axes will give the required restriction; changing
|
| 941 |
+
progress will use bounded slot shifts and affine pulls.
|
| 942 |
+
|
| 943 |
+
Give each critical address output its clock-formula variable as a
|
| 944 |
+
projection axis. Other initial persistent charts, including all
|
| 945 |
+
verification auxiliaries, start with no projection axes. A derivative
|
| 946 |
+
inherits its parent's axes, with their exact labels, and adds its new
|
| 947 |
+
outer variable. New verification auxiliaries again start with no
|
| 948 |
+
axes. Denote the resulting set by $A_F$; its size is at most $d+1$.
|
| 949 |
+
|
| 950 |
+
Fix a generator $g$ of $\mathbb F_q^\times$. For a full label
|
| 951 |
+
$\alpha$, let $D_\alpha$ be pullback by
|
| 952 |
+
\begin{equation}
|
| 953 |
+
Z_\alpha\longmapsto 1+g(Z_\alpha-1). \label{ia:dilation}
|
| 954 |
+
\end{equation}
|
| 955 |
+
This is an invertible $K$-affine map on the common domain.
|
| 956 |
+
|
| 957 |
+
\begin{lemma}[Projection by full-label dilations]\label{ia:projection}
|
| 958 |
+
If the coordinate degree in label $\alpha$ is below $q-1$, then
|
| 959 |
+
\begin{equation}
|
| 960 |
+
\sum_{r=0}^{q-2}D_\alpha^r F
|
| 961 |
+
=F\big|_{Z_\alpha=1}, \label{ia:projection-identity}
|
| 962 |
+
\end{equation}
|
| 963 |
+
where the right side ignores that label. Dilations on distinct
|
| 964 |
+
full labels commute.
|
| 965 |
+
\end{lemma}
|
| 966 |
+
|
| 967 |
+
\begin{proof}
|
| 968 |
+
Center the $\mathbb F_q$ coordinates of $Z_\alpha$ at the coordinate
|
| 969 |
+
vector of $1\in K$. Decompose $F$ into parts homogeneous of degree
|
| 970 |
+
$r$ in the centered coordinates. Their sums under all nonzero
|
| 971 |
+
scalar dilations have multiplier
|
| 972 |
+
\[
|
| 973 |
+
\sum_{j=0}^{q-2}g^{jr}
|
| 974 |
+
=\begin{cases}1,&r=0,\\0,&0<r<q-1.\end{cases}
|
| 975 |
+
\]
|
| 976 |
+
For $r=0$ this is $q-1=1$ in characteristic two, and for positive
|
| 977 |
+
$r$ it is a geometric sum with ratio different from one. Thus
|
| 978 |
+
only the constant homogeneous part remains. Pullbacks on disjoint
|
| 979 |
+
labels commute by direct substitution.
|
| 980 |
+
\end{proof}
|
| 981 |
+
|
| 982 |
+
\paragraph{Mode and progress marker.}
|
| 983 |
+
Represent $\eta$ by a point-constant scalar chart. Enforce constancy,
|
| 984 |
+
then membership in $\mathbb F_2\cdot1$ by random additive binary
|
| 985 |
+
forms annihilating $1$. A value outside this subspace is detected
|
| 986 |
+
with probability $1/2$; on the subspace, a fixed form sending $1$
|
| 987 |
+
to $1$ reads the bit.
|
| 988 |
+
|
| 989 |
+
Let $N=B^a$. Represent progress by a point-constant marker tensor
|
| 990 |
+
$M^{\rm mark}_j$, with $a$ radix axes of length $B$, indexing
|
| 991 |
+
$0\le j<N$. At $t=0$ it is zero; at $t>0$ it is one-hot at $t-1$.
|
| 992 |
+
After constancy is enforced, test with independent uniform separable
|
| 993 |
+
masks $L,L'$ the identity
|
| 994 |
+
\begin{equation}
|
| 995 |
+
(L\cdot M^{\rm mark})(L'\cdot M^{\rm mark})
|
| 996 |
+
=(LL')\cdot M^{\rm mark}, \label{ia:marker-identity}
|
| 997 |
+
\end{equation}
|
| 998 |
+
where each axis of $LL'$ is an entrywise product. Expanding in the
|
| 999 |
+
separate mask variables, exactness says
|
| 1000 |
+
$M_j^{\rm mark}M_{j'}^{\rm mark}=0$ for $j\ne j'$ and
|
| 1001 |
+
$(M_j^{\rm mark})^2=M_j^{\rm mark}$ for each $j$. Hence the tensor
|
| 1002 |
+
is zero or has exactly one coefficient equal to one. A nonzero
|
| 1003 |
+
discrepancy is a polynomial of bounded mask degree and is detected
|
| 1004 |
+
with constant probability. Enforce zero support for
|
| 1005 |
+
\begin{equation}
|
| 1006 |
+
q-1\le j<N. \label{ia:marker-padding}
|
| 1007 |
+
\end{equation}
|
| 1008 |
+
This range is a union of at most $a+1$ radix rectangles: compare
|
| 1009 |
+
digits from the most significant end, separating the first larger
|
| 1010 |
+
digit and the boundary itself. Masked restrictions check every
|
| 1011 |
+
rectangle with boundedly many probes. The remaining possibilities
|
| 1012 |
+
are exactly $t\in\{0,\ldots,q-1\}$. Both mode and marker have
|
| 1013 |
+
tag $0$.
|
| 1014 |
+
|
| 1015 |
+
For each persistent $F$ and each nonempty $S\subseteq A_F$, include
|
| 1016 |
+
a stack with the same tag, point placements, and inherited slots as
|
| 1017 |
+
$F$, and $a$ additional radix slot axes for each $\alpha\in S$.
|
| 1018 |
+
Its intended formula is
|
| 1019 |
+
\begin{equation}
|
| 1020 |
+
C^S_{F,\mathbf j}(c,b,\eta,t;Y)=
|
| 1021 |
+
\begin{cases}
|
| 1022 |
+
\displaystyle\left(\prod_{\alpha\in S}
|
| 1023 |
+
D_\alpha^{t-1-j_\alpha}\right)F(c,b;Y),
|
| 1024 |
+
&j_\alpha<t\text{ for every }\alpha\in S,\\[2pt]
|
| 1025 |
+
0, &\text{otherwise},
|
| 1026 |
+
\end{cases}
|
| 1027 |
+
\qquad C_F^\varnothing=F. \label{ia:stack-formula}
|
| 1028 |
+
\end{equation}
|
| 1029 |
+
Indices run through $0,\ldots,N-1$ on each integer axis.
|
| 1030 |
+
|
| 1031 |
+
\begin{lemma}[Canonical stacks and bounded radix probes]\label{ia:stacks}
|
| 1032 |
+
For a legal marker, the stacks are uniquely characterized by a fixed
|
| 1033 |
+
number of types of bounded-probe polynomial identities. These tests
|
| 1034 |
+
are perfectly complete and have constant exact gap on
|
| 1035 |
+
degree-at-most-$D$ polynomials. Their only unknown products are
|
| 1036 |
+
marker times smaller-stack products, with independent full operand
|
| 1037 |
+
point marginals and compatible tags. All slot shifts, restrictions,
|
| 1038 |
+
and boundary slices have bounded separable-mask expansions.
|
| 1039 |
+
\end{lemma}
|
| 1040 |
+
|
| 1041 |
+
\begin{proof}
|
| 1042 |
+
For each nonempty $S$, fix one $\alpha\in S$ and require
|
| 1043 |
+
\begin{equation}
|
| 1044 |
+
C^S_{F,(j_\alpha,\mathbf j_-)}
|
| 1045 |
+
=D_\alpha C^S_{F,(j_\alpha+1,\mathbf j_-)}
|
| 1046 |
+
+M^{\rm mark}_{j_\alpha}
|
| 1047 |
+
C^{S\setminus\{\alpha\}}_{F,\mathbf j_-},
|
| 1048 |
+
\label{ia:stack-recurrence}
|
| 1049 |
+
\end{equation}
|
| 1050 |
+
with the upper boundary at $j_\alpha=N$ defined to be zero.
|
| 1051 |
+
For fixed $\mathbf j_-$ this is triangular downward in $j_\alpha$.
|
| 1052 |
+
If the marker is zero its only solution is zero. If it is one-hot
|
| 1053 |
+
at $t-1$, its solution is
|
| 1054 |
+
\[
|
| 1055 |
+
C^S_{F,(j_\alpha,\mathbf j_-)}
|
| 1056 |
+
=\begin{cases}
|
| 1057 |
+
D_\alpha^{t-1-j_\alpha}
|
| 1058 |
+
C^{S\setminus\{\alpha\}}_{F,\mathbf j_-},
|
| 1059 |
+
&j_\alpha<t,\\
|
| 1060 |
+
0, &j_\alpha\ge t.
|
| 1061 |
+
\end{cases}
|
| 1062 |
+
\]
|
| 1063 |
+
Induction on $|S|$ gives exactly \eqref{ia:stack-formula}.
|
| 1064 |
+
|
| 1065 |
+
Here are explicit slot formulas for the shift, including boundary
|
| 1066 |
+
handling. Use little-endian radix digits
|
| 1067 |
+
$j=\sum_{s=0}^{a-1}j_sB^s$ and let
|
| 1068 |
+
$\lambda_L(j)=\prod_{s=0}^{a-1}L_s[j_s]$. With out-of-range
|
| 1069 |
+
coefficients zero,
|
| 1070 |
+
\begin{align}
|
| 1071 |
+
\sum_{j=0}^{N-1}\lambda_L(j)C_{j+1}
|
| 1072 |
+
&=\sum_{r=0}^{a-1}L^{(r,+)}\cdot C,
|
| 1073 |
+
\label{ia:radix-plus}\\
|
| 1074 |
+
L_s^{(r,+)}[d]
|
| 1075 |
+
&=\begin{cases}
|
| 1076 |
+
L_s[B-1]\mathbf1_{d=0},&s<r,\\
|
| 1077 |
+
\mathbf1_{d\ge1}L_r[d-1],&s=r,\\
|
| 1078 |
+
L_s[d],&s>r,
|
| 1079 |
+
\end{cases} \nonumber\\
|
| 1080 |
+
\sum_{j=0}^{N-1}\lambda_L(j)C_{j-1}
|
| 1081 |
+
&=\sum_{r=0}^{a-1}L^{(r,-)}\cdot C,
|
| 1082 |
+
\label{ia:radix-minus}\\
|
| 1083 |
+
L_s^{(r,-)}[d]
|
| 1084 |
+
&=\begin{cases}
|
| 1085 |
+
L_s[0]\mathbf1_{d=B-1},&s<r,\\
|
| 1086 |
+
\mathbf1_{d\le B-2}L_r[d+1],&s=r,\\
|
| 1087 |
+
L_s[d],&s>r.
|
| 1088 |
+
\end{cases} \nonumber
|
| 1089 |
+
\end{align}
|
| 1090 |
+
Indeed the first pullback mask on index $k>0$ is
|
| 1091 |
+
$\lambda_L(k-1)$. Partition $k$ by its least digit $r$ which is
|
| 1092 |
+
nonzero; precisely the lower digits borrow. The second pullback
|
| 1093 |
+
is $\lambda_L(k+1)$ for $k<N-1$; partition by the least digit below
|
| 1094 |
+
$B-1$. Overflow is absent in both formulas. Slicing at zero is
|
| 1095 |
+
a single separable restriction, and interval restrictions use the
|
| 1096 |
+
bounded rectangle decomposition used in \eqref{ia:marker-padding}.
|
| 1097 |
+
Tensoring these expansions over the bounded number of stack axes
|
| 1098 |
+
still gives a bounded number of separable masks. Split every
|
| 1099 |
+
requested mask additively as in \eqref{ia:contraction}.
|
| 1100 |
+
|
| 1101 |
+
Contract the entire identity \eqref{ia:stack-recurrence} over all
|
| 1102 |
+
slots. The last term factors into a contraction of the marker on
|
| 1103 |
+
axis $\alpha$ and a contraction of the smaller stack on its other
|
| 1104 |
+
axes and inherited slots. In the exact-soundness analysis marker
|
| 1105 |
+
constancy has already been imposed, so its full point can be sampled
|
| 1106 |
+
independently of the smaller stack point. This retains perfect
|
| 1107 |
+
completeness on canonical data. If the recurrence is not an
|
| 1108 |
+
identity, its discrepancy has point degree at most $2D$ and bounded
|
| 1109 |
+
mask degree, giving constant rejection probability. Honest stacks
|
| 1110 |
+
are affine pullbacks of persistent charts or zero, so they have the
|
| 1111 |
+
same honest coordinate degree. Marker tag $0$ is compatible with
|
| 1112 |
+
every parent tag. This proves all claims.
|
| 1113 |
+
\end{proof}
|
| 1114 |
+
|
| 1115 |
+
\subsection{Exact validation and locally encoded evolution}
|
| 1116 |
+
\label{ia:validation-and-evolution}
|
| 1117 |
+
|
| 1118 |
+
\begin{lemma}[Exact algebraic validity]\label{ia:exact-validator}
|
| 1119 |
+
For each fixed $k$ there is a fixed finite mixture of bounded-probe
|
| 1120 |
+
tests with perfect completeness on canonical extended labels and a
|
| 1121 |
+
uniform constant gap on genuine degree-at-most-$D$ polynomial
|
| 1122 |
+
families. Passing all identities is equivalent to being the unique
|
| 1123 |
+
canonical tuple of a valid extended label. The gap is independent
|
| 1124 |
+
of $L$ past the fixed cutoff and uniform over the allowed circuit
|
| 1125 |
+
coefficients. Linear probes have bounded point and mask density.
|
| 1126 |
+
Every unknown product has compatible tags and can be queried with
|
| 1127 |
+
independent full point marginals for its two operands.
|
| 1128 |
+
\end{lemma}
|
| 1129 |
+
|
| 1130 |
+
\begin{proof}
|
| 1131 |
+
The tests just constructed constitute a fixed number of family
|
| 1132 |
+
types for fixed $k$; growing slot lists are checked by whole
|
| 1133 |
+
contractions. We prove exact soundness in an order that licenses
|
| 1134 |
+
all substitutions. First consider ignored-coordinate requirements,
|
| 1135 |
+
mode and marker constancy, and the independence and coefficient
|
| 1136 |
+
linearity devices of every linear tool. If one fails, its direct
|
| 1137 |
+
test has constant gap. Otherwise these are exact polynomial
|
| 1138 |
+
identities. Monomial factorization and the nonrotating base calls
|
| 1139 |
+
then force a Boolean tape, all its monomial extensions, its
|
| 1140 |
+
union-of-stages validity, its output chart, and the canonical
|
| 1141 |
+
per-primary certificates. Mode and marker membership give unique
|
| 1142 |
+
$\eta$ and $t$. The legacy identity \eqref{ia:clock-legacy}
|
| 1143 |
+
forces the unique frame $c$ and fixes $J_c$; clock-monomial
|
| 1144 |
+
factorizations fix all $T_W$.
|
| 1145 |
+
|
| 1146 |
+
Now apply the clock-formula calls in construction order. Their
|
| 1147 |
+
uniqueness fixes each critical output, each derivative, and every
|
| 1148 |
+
auxiliary. A derivative's rows were computed from a prescribed
|
| 1149 |
+
parent recipe; the proof never treats an unverified parent table
|
| 1150 |
+
as an additional oracle for those rows. The strictly decreasing
|
| 1151 |
+
tier construction is therefore acyclic. Finally the triangular
|
| 1152 |
+
stack identities give \eqref{ia:stack-formula}. Hence exactness
|
| 1153 |
+
of all identities gives precisely a valid label's canonical tuple.
|
| 1154 |
+
Conversely every valid label satisfies every identity for every
|
| 1155 |
+
random choice in the support.
|
| 1156 |
+
|
| 1157 |
+
If exactness fails, the first failed identity in this ordering has
|
| 1158 |
+
point degree $O(D+\ell h)$ after the stated preliminary devices
|
| 1159 |
+
and bounded degree in its mask variables. The polynomial zero and
|
| 1160 |
+
contraction bounds give a uniform positive rejection probability.
|
| 1161 |
+
Taking the minimum over the fixed mixture gives the asserted gap.
|
| 1162 |
+
Honest degrees are $O(\ell h)<D$ eventually, also after any later
|
| 1163 |
+
fixed-factor enlargement of the point domain. The constants in
|
| 1164 |
+
these degree bounds and in the finite family list depend on fixed
|
| 1165 |
+
templates, not on the values of public circuit coefficients.
|
| 1166 |
+
|
| 1167 |
+
For the product claim, the only possibilities are monomial
|
| 1168 |
+
factorizations, $J_cW$ factorizations, marker membership, and marker
|
| 1169 |
+
times smaller stack. In a factorization, choose the two native
|
| 1170 |
+
operand arguments independently, assemble the output's relevant
|
| 1171 |
+
groups from them, and independently fill all ignored coordinates.
|
| 1172 |
+
Even repeated operand types then have independent full operand
|
| 1173 |
+
points. The relevant output groups are independent uniform too.
|
| 1174 |
+
For marker products use independent points, justified by the
|
| 1175 |
+
earlier constancy step. Every such pair has compatible tags by
|
| 1176 |
+
construction. Bitness, diagonal grid entries, copy equalities,
|
| 1177 |
+
and all other correlated grid uses are linear matrix rows, so they
|
| 1178 |
+
require no concentrated unknown-product query. The linear tool's
|
| 1179 |
+
packing, permutation, and splitting probes have bounded individual
|
| 1180 |
+
point density. Dependent or prescribed masks, including those
|
| 1181 |
+
inside products, are smoothed by fresh independent axis splittings.
|
| 1182 |
+
These observations prove the stated probe interface.
|
| 1183 |
+
\end{proof}
|
| 1184 |
+
|
| 1185 |
+
\begin{lemma}[All neighbor coordinates evolve by bounded affine pulls]
|
| 1186 |
+
\label{ia:evolution}
|
| 1187 |
+
For canonical valid data, edge existence and the transition branch
|
| 1188 |
+
in either direction are determined using only mode, empty/full
|
| 1189 |
+
marker comparisons, and boundedly many critical projected bits at
|
| 1190 |
+
full progress. Equality decisions can have any prescribed fixed
|
| 1191 |
+
error probability by a fixed number of repetitions. Once the
|
| 1192 |
+
finite Boolean branch is fixed, every requested contraction in the
|
| 1193 |
+
neighbor tuple is a bounded public linear sum of contractions in
|
| 1194 |
+
the current tuple at invertible $K$-affine pullbacks of the common
|
| 1195 |
+
point. Its coefficients and slot pulls depend on the branch,
|
| 1196 |
+
requested masks, and public data, but not on the point, row index,
|
| 1197 |
+
or further hidden values. Tag-$0$ updates use only tag $0$;
|
| 1198 |
+
tag-$i$ updates use only compatible types.
|
| 1199 |
+
\end{lemma}
|
| 1200 |
+
|
| 1201 |
+
\begin{proof}
|
| 1202 |
+
We give formulas for each transition, including the boundaries.
|
| 1203 |
+
Write $C^{S,t}_{F,\mathbf j}$ for the stack at progress $t$.
|
| 1204 |
+
|
| 1205 |
+
\paragraph{Progress increase and decrease.}
|
| 1206 |
+
On increasing from $0$ to $1$, initialize every nonempty stack by
|
| 1207 |
+
\begin{equation}
|
| 1208 |
+
C^{S,1}_{F,\mathbf j}
|
| 1209 |
+
=\mathbf1_{\mathbf j=\mathbf0}F,
|
| 1210 |
+
\qquad M^{\rm mark,new}_j=\mathbf1_{j=0}. \label{ia:increase-zero}
|
| 1211 |
+
\end{equation}
|
| 1212 |
+
For $0<t<q-1$, and $\mathbf j$ in the padded radix range, let
|
| 1213 |
+
$Z(\mathbf j)=\{\alpha\in S:j_\alpha=0\}$ and put
|
| 1214 |
+
$k_\alpha=0$ for $\alpha\in Z(\mathbf j)$ and
|
| 1215 |
+
$k_\alpha=j_\alpha-1$ otherwise. Then
|
| 1216 |
+
\begin{equation}
|
| 1217 |
+
C^{S,t+1}_{F,\mathbf j}
|
| 1218 |
+
=\left(\prod_{\alpha\in Z(\mathbf j)}D_\alpha\right)
|
| 1219 |
+
C^{S,t}_{F,\mathbf k},\qquad
|
| 1220 |
+
M^{\rm mark,new}_j=M^{\rm mark,old}_{j-1}, \label{ia:increase-positive}
|
| 1221 |
+
\end{equation}
|
| 1222 |
+
with zero padding. For $j_\alpha>0$, the old exponent is
|
| 1223 |
+
$t-1-(j_\alpha-1)=t-j_\alpha$, as required; for $j_\alpha=0$,
|
| 1224 |
+
one extra dilation gives exponent $t$. Old inactive coefficients
|
| 1225 |
+
remain zero. Partitioning by $Z(\mathbf j)$ and using the radix
|
| 1226 |
+
pull formulas implements this with boundedly many mask operations.
|
| 1227 |
+
For a decrease from $t>0$, the formula is simply
|
| 1228 |
+
\begin{equation}
|
| 1229 |
+
C^{S,t-1}_{F,\mathbf j}
|
| 1230 |
+
=C^{S,t}_{F,(j_\alpha+1)_{\alpha\in S}},\qquad
|
| 1231 |
+
M^{\rm mark,new}_j=M^{\rm mark,old}_{j+1}. \label{ia:decrease}
|
| 1232 |
+
\end{equation}
|
| 1233 |
+
Its exponent is $t-1-(j_\alpha+1)=t-2-j_\alpha$ and its support
|
| 1234 |
+
is $j_\alpha<t-1$. In particular $t=1$ produces empty stacks
|
| 1235 |
+
and a zero marker. Persistent data remain fixed during these
|
| 1236 |
+
progress transitions.
|
| 1237 |
+
|
| 1238 |
+
\paragraph{Critical readings and full-progress edits.}
|
| 1239 |
+
At $t=q-1$, for a critical chart $F$ with projection axis $\alpha$,
|
| 1240 |
+
\begin{equation}
|
| 1241 |
+
\sum_{j=0}^{N-1}C^{\{\alpha\}}_{F,j}
|
| 1242 |
+
=\sum_{j=0}^{q-2}D_\alpha^{q-2-j}F
|
| 1243 |
+
=F\big|_{Z_\alpha=1}. \label{ia:critical-projection}
|
| 1244 |
+
\end{equation}
|
| 1245 |
+
All-ones radix masks perform this sum. A critical output ignores
|
| 1246 |
+
every other native group, so the result is a constant-in-point
|
| 1247 |
+
logical or public rule bit. Lemma~\ref{ia:validity} therefore
|
| 1248 |
+
determines the edit mask from finitely many such bits.
|
| 1249 |
+
|
| 1250 |
+
Fix that mask and direction. For every positive-tier parent $F$
|
| 1251 |
+
and every $S\subseteq A_F$, including $S=\varnothing$, add the
|
| 1252 |
+
increment
|
| 1253 |
+
\begin{equation}
|
| 1254 |
+
\Delta C^S_{F,\mathbf j}
|
| 1255 |
+
=\sum_{r=0}^{N-1}
|
| 1256 |
+
C^{S\cup\{\alpha_{\rm new}\}}_{G_F^\sigma,(\mathbf j,r)}.
|
| 1257 |
+
\label{ia:edit-increment}
|
| 1258 |
+
\end{equation}
|
| 1259 |
+
For a positive port parent use its corresponding legacy mask
|
| 1260 |
+
$\chi$. For active old indices, commuting all inherited-label
|
| 1261 |
+
dilations with projection on the new label gives
|
| 1262 |
+
\begin{align}
|
| 1263 |
+
\Delta C^S_{F,\mathbf j}
|
| 1264 |
+
&=\left(\prod_{\alpha\in S}D_\alpha^{q-2-j_\alpha}\right)
|
| 1265 |
+
G_F^\sigma(c,b;1,Y) \label{ia:edit-calculation}\\
|
| 1266 |
+
&=\left(\prod_{\alpha\in S}D_\alpha^{q-2-j_\alpha}\right)
|
| 1267 |
+
\bigl(F(c,b+h_\sigma(c);Y)-F(c,b;Y)\bigr).
|
| 1268 |
+
\nonumber
|
| 1269 |
+
\end{align}
|
| 1270 |
+
If any inherited index is inactive, every summand is zero. This
|
| 1271 |
+
is precisely the new stack minus the old one, including the empty
|
| 1272 |
+
stack, which is the persistent chart itself. The recursion supplied
|
| 1273 |
+
the necessary lower-tier derivative for \emph{every} positive-tier
|
| 1274 |
+
parent, including proof and derivative charts, so all coordinates
|
| 1275 |
+
update simultaneously from old data. Tier-zero charts stay fixed
|
| 1276 |
+
under the Boolean change. The marker is unchanged and the mode
|
| 1277 |
+
changes as prescribed. Reverse edits obey the same calculation
|
| 1278 |
+
with the inverse branch's coefficients.
|
| 1279 |
+
|
| 1280 |
+
\paragraph{Frame change and edge flags.}
|
| 1281 |
+
At empty progress all stacks are zero. For frame advance, a
|
| 1282 |
+
rotating persistent chart is pulled back on its one designated
|
| 1283 |
+
variable by multiplication by $\gamma$; for reverse advance use
|
| 1284 |
+
$\gamma^{-1}$. A nonrotating persistent chart stays fixed. The
|
| 1285 |
+
empty stacks remain zero, and the mode changes. In particular,
|
| 1286 |
+
an auxiliary with native variables $(R,I,X,U)$ rotates only $R$;
|
| 1287 |
+
its packing, division, and coefficient formulas are not recomputed
|
| 1288 |
+
by the update.
|
| 1289 |
+
|
| 1290 |
+
The successor rules are: pre increases unless full; at full pre
|
| 1291 |
+
perform the enabled edit, or report the absent wrap edge; post
|
| 1292 |
+
decreases unless empty; at empty post advance the frame. The
|
| 1293 |
+
predecessor rules are: full post performs the inverse enabled edit,
|
| 1294 |
+
or reports the absent wrap edge; other post reverses a decrease;
|
| 1295 |
+
positive-progress pre reverses an increase; empty pre reverses the
|
| 1296 |
+
frame advance. Empty must also be distinguished for initialization
|
| 1297 |
+
in \eqref{ia:increase-zero}. These are all finite cases. Comparing
|
| 1298 |
+
the marker with the public zero tensor or the public full tensor
|
| 1299 |
+
uses random separable masks and binary forms, with a constant
|
| 1300 |
+
inequality-detection gap. A fixed number of repetitions makes
|
| 1301 |
+
either comparison as reliable as prescribed. Mode and critical
|
| 1302 |
+
constant bits are read with forms taking $1$ to $1$. No progress
|
| 1303 |
+
index scan or proposed-target validity check is needed for edge
|
| 1304 |
+
flags on the valid inner path.
|
| 1305 |
+
|
| 1306 |
+
Finally, all point maps in these formulas are identities, full-label
|
| 1307 |
+
dilations \eqref{ia:dilation}, or full-label multiplications by
|
| 1308 |
+
$\gamma^{\pm1}$, and their bounded compositions. They are
|
| 1309 |
+
invertible $K$-affine maps. In \eqref{ia:edit-increment}, the child
|
| 1310 |
+
retains the parent's placements and has an already available extra
|
| 1311 |
+
whole label; the sum projects that label to one and makes it
|
| 1312 |
+
irrelevant to the target coordinate. Thus a requested update has
|
| 1313 |
+
the form
|
| 1314 |
+
\begin{equation}
|
| 1315 |
+
L\cdot F^{\rm new}(Y)
|
| 1316 |
+
=P_L(Y)+\sum_{r=1}^{R_*}a_r
|
| 1317 |
+
(L_r\cdot F_r)(T_rY), \label{ia:affine-update}
|
| 1318 |
+
\end{equation}
|
| 1319 |
+
where $R_*$ is bounded, $P_L$ is publicly computable, $a_r$ and
|
| 1320 |
+
$L_r$ are fixed by the requested masks and branch, and $T_r$ is
|
| 1321 |
+
an invertible $K$-affine map. No $a_r$ or slot pull depends on
|
| 1322 |
+
$Y$ or on a later row index. The inherited tags in
|
| 1323 |
+
Lemma~\ref{ia:derivative-closure}, and the public fixed branch,
|
| 1324 |
+
give the tag assertions.
|
| 1325 |
+
\end{proof}
|
| 1326 |
+
|
| 1327 |
+
\begin{remark}[Native tests and encoded updates have different maps]
|
| 1328 |
+
\label{ia:testing-versus-evolution}
|
| 1329 |
+
The arbitrary $\mathbb F_q$ coordinate permutations and surjective
|
| 1330 |
+
digit packing in Lemma~\ref{ia:linear-tool} need not be $K$-affine.
|
| 1331 |
+
They are used to construct certificates and to test systematic
|
| 1332 |
+
target-point values with bounded density. They are not maps for
|
| 1333 |
+
propagating an encoded parity row or a line-coefficient array.
|
| 1334 |
+
Equation~\eqref{ia:affine-update} is the separate evolution
|
| 1335 |
+
interface for those encodings. For example, the proof chart
|
| 1336 |
+
$F(c,b;R,I,X,U)$ changes frame only through its whole $R$ label,
|
| 1337 |
+
and changes Boolean tape through its stored child's full-label
|
| 1338 |
+
projection. Its canonical division is not rerun on the requested
|
| 1339 |
+
encoded symbol. This distinction permits the binary construction
|
| 1340 |
+
to use ordinary systematic representations for all native tests
|
| 1341 |
+
while transporting neighbor updates through its common affine
|
| 1342 |
+
action and linear row encoding.
|
| 1343 |
+
\end{remark}
|
| 1344 |
+
\begin{lemma}[Source data, original indices, and Boolean degree]
|
| 1345 |
+
\label{ia:source-data}
|
| 1346 |
+
At each of the two labels in \eqref{ia:source-successor}, every
|
| 1347 |
+
tag-$0$ chart and stack is publicly computable. Every tag-$i$
|
| 1348 |
+
chart and stack has exactly the value of its corresponding
|
| 1349 |
+
positive-tag one-port-template chart at the same native point,
|
| 1350 |
+
slot, and mask indices, evaluated on input $s_i$. These statements
|
| 1351 |
+
hold for the source and its first successor separately, with
|
| 1352 |
+
their indicated progresses $q-1$ and $q-2$.
|
| 1353 |
+
|
| 1354 |
+
At either label, every prime-field coordinate function of every
|
| 1355 |
+
chart value or coordinate coefficient has multilinear degree at
|
| 1356 |
+
most three in the read inputs. Any common public linear
|
| 1357 |
+
representation of these arrays preserves this bound and their
|
| 1358 |
+
original-index correspondence. A binary bilinear form of two
|
| 1359 |
+
such represented values has degree at most six. Its coefficients
|
| 1360 |
+
are computable in polynomial time by bounded-degree Boolean
|
| 1361 |
+
interpolation.
|
| 1362 |
+
\end{lemma}
|
| 1363 |
+
|
| 1364 |
+
\begin{proof}
|
| 1365 |
+
At both labels, $c=\gamma^{-1}$, work is blank, $e_1=1$ and other
|
| 1366 |
+
legacy bits are zero, the mode is post, and progress is the public
|
| 1367 |
+
value specified in \eqref{ia:source-successor}. Tag-$0$ persistent
|
| 1368 |
+
recipes depend only on these values and public circuit data, so
|
| 1369 |
+
they are computable. Their derivatives might evaluate a translated
|
| 1370 |
+
tape with nonblank work, but every flip vector is then public and
|
| 1371 |
+
the translated work is public too. Such a tape need not be valid:
|
| 1372 |
+
the canonical recipe is evaluated by its finite-array operations,
|
| 1373 |
+
and never by solving for a valid circuit computation. In
|
| 1374 |
+
particular a work-side copy certificate uses its own work primary
|
| 1375 |
+
and public matrix, not a stored sum involving $s_i$. Recursively,
|
| 1376 |
+
all its derivative and proof arrays remain public. Stack
|
| 1377 |
+
dilations at either fixed progress preserve this conclusion.
|
| 1378 |
+
|
| 1379 |
+
Positive persistent recipes and layouts agree by
|
| 1380 |
+
Lemma~\ref{ia:port-ancestry}, and their placements agree by
|
| 1381 |
+
Lemma~\ref{ia:placements}. The projection-axis choices, inherited
|
| 1382 |
+
labels, $q,a,B$, and radix slot conventions also agree. Formula
|
| 1383 |
+
\eqref{ia:stack-formula} therefore gives identical stacks at each
|
| 1384 |
+
of the two progresses, including every descendant proof stack.
|
| 1385 |
+
This proves a literal map of original algebraic indices, not
|
| 1386 |
+
merely equality up to unspecified isomorphisms or comparable sizes.
|
| 1387 |
+
Applying the same public row extension, restriction to an ordered
|
| 1388 |
+
line, extraction of its coefficients, slot contraction, or basis
|
| 1389 |
+
map to corresponding arrays preserves both values and indices.
|
| 1390 |
+
Later balancing by repeated copies may use different multiplicities;
|
| 1391 |
+
it does not alter this statement about original indices.
|
| 1392 |
+
|
| 1393 |
+
At a fixed frame every persistent value and coefficient has
|
| 1394 |
+
assigned degree at most three in the Boolean tape. At the present
|
| 1395 |
+
labels all tape bits except the read inputs are fixed public bits.
|
| 1396 |
+
Fixed-progress stacks are fixed affine pullbacks or zero. Their
|
| 1397 |
+
degree is thus at most three in the read inputs as well. A public
|
| 1398 |
+
linear operation over $\mathbb F_q$, or over any fixed public
|
| 1399 |
+
extension field followed by prime-field coordinates, is
|
| 1400 |
+
$\mathbb F_2$-linear on these functions. It cannot increase
|
| 1401 |
+
multilinear degree. For two degree-three coordinate vectors, a
|
| 1402 |
+
binary bilinear form is a sum of products of two such coordinate
|
| 1403 |
+
functions and hence has degree at most six. Copies do not alter
|
| 1404 |
+
degree. Evaluate the specified canonical bit on supports of size
|
| 1405 |
+
at most six and apply \eqref{ia:boolean-inversion}; the number of
|
| 1406 |
+
evaluations and each canonical finite-array computation are
|
| 1407 |
+
polynomial. This proves the coefficient-computation assertion.
|
| 1408 |
+
\end{proof}
|
| 1409 |
+
|
| 1410 |
+
\subsection{The complete inner algebra interface}\label{ia:interface}
|
| 1411 |
+
|
| 1412 |
+
\begin{lemma}[Inner algebra interface]\label{lem:inner-algebra-interface}
|
| 1413 |
+
Fix $c_{\rm allow}$. The field and grid parameters
|
| 1414 |
+
\eqref{ia:parameters}--\eqref{ia:radix-size}, the common domain
|
| 1415 |
+
$K^u$, and the one-port positive family templates can be chosen
|
| 1416 |
+
before the port count and the function. For every fixed $k$ and
|
| 1417 |
+
fixed circuit size factor, and all sufficiently large $L$, a
|
| 1418 |
+
uniform polynomial-time construction has the following properties.
|
| 1419 |
+
\begin{enumerate}
|
| 1420 |
+
\item \textbf{Paths and endpoints.}
|
| 1421 |
+
The graph on all port tuples is the graph of
|
| 1422 |
+
Definition~\ref{ia:extended-path}. On each fixed tuple $s$ it is
|
| 1423 |
+
one directed path with source and first successor
|
| 1424 |
+
\eqref{ia:source-successor}, no isolated vertices or self edges,
|
| 1425 |
+
and a sink at full pre stage $M-1$. The point-constant output
|
| 1426 |
+
chart \eqref{ia:output-chart} equals $f(s)$ at the sink.
|
| 1427 |
+
|
| 1428 |
+
\item \textbf{Canonical polynomial arrays and their size.}
|
| 1429 |
+
Each valid extended label has a unique canonical tuple
|
| 1430 |
+
$\mathcal A(c,b,\eta,t)$ of $\mathbb F_q$-coefficient polynomials
|
| 1431 |
+
on $K^u$. Persistent native dimensions are at most
|
| 1432 |
+
$C_{\rm dim}\ell$, with $C_{\rm dim}$ independent of $k$, and
|
| 1433 |
+
each persistent family has at most one $O(\ell)$ slot axis.
|
| 1434 |
+
Stack families have a bounded number of slot axes, each of length
|
| 1435 |
+
$O(\ell)$. Their honest coordinate degrees are $O(\ell h)<D$.
|
| 1436 |
+
For fixed $k$, the number of families is fixed and every full
|
| 1437 |
+
evaluation table, fully masked table, public matrix, and indexing
|
| 1438 |
+
map has polynomial size and is polynomial-time constructible.
|
| 1439 |
+
The layouts for fixed $k,L$ are independent of the circuit's
|
| 1440 |
+
values and wiring. The construction does not enumerate all
|
| 1441 |
+
Boolean tapes or graph vertices.
|
| 1442 |
+
|
| 1443 |
+
\item \textbf{Exact validity with smooth binary-form probes.}
|
| 1444 |
+
There is a fixed finite mixture of bounded-probe algebraic tests,
|
| 1445 |
+
perfectly complete on canonical valid tuples. For every tuple
|
| 1446 |
+
of genuine degree-at-most-$D$ polynomials, either it is a
|
| 1447 |
+
canonical valid tuple or the rejection probability is at least
|
| 1448 |
+
$\theta_{\rm alg}>0$. For fixed $k$ this gap and the probe density
|
| 1449 |
+
bounds are uniform in $L$ and in the allowed circuit coefficients.
|
| 1450 |
+
Each linear probe has bounded point and mask marginals. Every
|
| 1451 |
+
unknown product has compatible tags and independent full point
|
| 1452 |
+
marginals for its two operands, also for repeated types.
|
| 1453 |
+
The tests require only a bounded number of additive binary forms
|
| 1454 |
+
and binary bilinear forms of hidden field values, followed by a
|
| 1455 |
+
bounded number of Boolean operations. They do not require reading
|
| 1456 |
+
the full binary expansion of a hidden field element.
|
| 1457 |
+
|
| 1458 |
+
\item \textbf{Invalid tapes and finite derivative closure.}
|
| 1459 |
+
Canonical recipes exist also for arbitrary Boolean $b$ at every
|
| 1460 |
+
specified $c,\eta,t$, whether or not that label is valid. They
|
| 1461 |
+
retain their coordinate bounds, logical degree at most three,
|
| 1462 |
+
per-primary dependencies, and designated frame covariance.
|
| 1463 |
+
Every positive-tier persistent family, including every
|
| 1464 |
+
verification auxiliary, has all its required lower-tier
|
| 1465 |
+
derivatives. The recursion terminates in at most three tier
|
| 1466 |
+
drops. A nonvalid tuple so obtained has the same exact rejection
|
| 1467 |
+
gap; no alternative certificate can hide a failed row condition.
|
| 1468 |
+
|
| 1469 |
+
\item \textbf{Neighbor evolution.}
|
| 1470 |
+
On valid data, both edge flags and finite transition branches use
|
| 1471 |
+
only mode, empty/full marker comparisons, and boundedly many
|
| 1472 |
+
critical projected bits at full progress. At any desired fixed
|
| 1473 |
+
reliability, these distinctions use boundedly many binary probes.
|
| 1474 |
+
After a branch is fixed, every neighbor contraction has the
|
| 1475 |
+
form \eqref{ia:affine-update} with boundedly many invertible
|
| 1476 |
+
$K$-affine pulls of the common point. Coefficients and slot
|
| 1477 |
+
pulls are independent of point and row position. Tag-$0$
|
| 1478 |
+
updates use tag $0$ only; positive updates use compatible tags.
|
| 1479 |
+
The formulas update all proof data simultaneously. Their
|
| 1480 |
+
fixed-branch algebraic identities remain valid on canonical
|
| 1481 |
+
invalid Boolean inputs, without asserting that the resulting
|
| 1482 |
+
proposed label is valid.
|
| 1483 |
+
|
| 1484 |
+
\item \textbf{Standardized ports and source access.}
|
| 1485 |
+
Every positive-tag family has the literal per-call ancestry and
|
| 1486 |
+
original-index correspondence of Lemma~\ref{ia:port-ancestry},
|
| 1487 |
+
including all descendants, full-label placements, projection
|
| 1488 |
+
axes, and stacks. At the source and first successor, the
|
| 1489 |
+
tag-$0$ part is public, and tag $i$ agrees with the one-port
|
| 1490 |
+
template on $s_i$. The source Boolean-degree bounds are three
|
| 1491 |
+
under public linear representations and six after one binary
|
| 1492 |
+
bilinear pairing, as in Lemma~\ref{ia:source-data}. These
|
| 1493 |
+
templates and bounds are fixed before actual $k$ or any later
|
| 1494 |
+
correction accuracy is chosen.
|
| 1495 |
+
\end{enumerate}
|
| 1496 |
+
\end{lemma}
|
| 1497 |
+
|
| 1498 |
+
\begin{proof}
|
| 1499 |
+
The path and endpoint assertions are
|
| 1500 |
+
Lemmas~\ref{ia:validity} and~\ref{ia:path-endpoints}. The linear
|
| 1501 |
+
tool, clock-formula construction, derivative closure, and common
|
| 1502 |
+
placements give the persistent arrays. Lemma~\ref{ia:stacks}
|
| 1503 |
+
gives their stacks. At fixed $k$, all depths and family counts
|
| 1504 |
+
are fixed, while all dimensions and total mask lengths are
|
| 1505 |
+
$O(\ell)$. Consequently every domain and mask space has size
|
| 1506 |
+
$q^{O(\ell)}=\poly(n')=\poly(L)$. Row and coefficient arrays
|
| 1507 |
+
have the same polynomial bounds. Their construction consists
|
| 1508 |
+
of the explicit finite-array operations and bounded-degree
|
| 1509 |
+
interpolation above. In particular, increasing the number of
|
| 1510 |
+
separate calls does not change the already chosen common $u$.
|
| 1511 |
+
|
| 1512 |
+
Lemma~\ref{ia:exact-validator} proves the exact gap and all point
|
| 1513 |
+
and tag restrictions. Here is its conversion to the asserted
|
| 1514 |
+
binary-form interface. A nonzero element of $\mathbb F_q$ is
|
| 1515 |
+
detected by a uniformly random additive form
|
| 1516 |
+
$\mu:\mathbb F_q\to\mathbb F_2$ with probability $1/2$.
|
| 1517 |
+
Applying $\mu$ to a field equality turns its public linear terms
|
| 1518 |
+
into additive forms, since
|
| 1519 |
+
\[
|
| 1520 |
+
\mu\left(\sum_r a_r x_r\right)
|
| 1521 |
+
=\bigoplus_r(\mu\circ[a_r])(x_r),
|
| 1522 |
+
\qquad [a_r](x)=a_rx.
|
| 1523 |
+
\]
|
| 1524 |
+
For a product, the requested bit is the binary bilinear form
|
| 1525 |
+
$(x,y)\mapsto\mu(xy)$. Random annihilating forms handle mode
|
| 1526 |
+
membership as already specified. A bounded field test therefore
|
| 1527 |
+
uses a bounded number of such bits and Boolean operations,
|
| 1528 |
+
losing at most a fixed factor in its gap. Prescribed masks and
|
| 1529 |
+
forms can be split by fresh additive randomness. Their public
|
| 1530 |
+
descriptions have polynomial size; even the space of all binary
|
| 1531 |
+
bilinear forms on $\mathbb F_q$ has cardinality
|
| 1532 |
+
\[
|
| 1533 |
+
2^{(\log_2 q)^2}=\poly(n'),
|
| 1534 |
+
\]
|
| 1535 |
+
since $\log q=O(\log\log n')$. A bounded sequence of all the
|
| 1536 |
+
displayed random choices consequently has polynomial support.
|
| 1537 |
+
|
| 1538 |
+
The invalid-tape assertion follows from the per-primary
|
| 1539 |
+
canonical formulas and the finite-difference construction, not
|
| 1540 |
+
from successful final rows. If a label is invalid, a validity
|
| 1541 |
+
or frame/legacy condition fails and exact soundness rejects;
|
| 1542 |
+
uniqueness of the division certificates prevents a different
|
| 1543 |
+
proof table from canceling the failed condition.
|
| 1544 |
+
Lemma~\ref{ia:evolution} proves all fixed-branch update formulas,
|
| 1545 |
+
including for canonical invalid tapes. Frame changes occur
|
| 1546 |
+
only when stacks are empty, so no commutation between centered
|
| 1547 |
+
dilations and frame scaling is needed. Finally
|
| 1548 |
+
Lemmas~\ref{ia:port-ancestry}, \ref{ia:placements}, and
|
| 1549 |
+
\ref{ia:source-data} give the exact standardized source
|
| 1550 |
+
correspondence and its Boolean-degree bounds. This proves
|
| 1551 |
+
every part of the interface.
|
| 1552 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/08-inner-binary.tex
ADDED
|
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|
| 1 |
+
\section{Binary testing and average correction at a fixed radius}
|
| 2 |
+
\label{sec:inner-binary}
|
| 3 |
+
|
| 4 |
+
We convert the polynomial arrays of Section~\ref{sec:inner-algebra} into
|
| 5 |
+
binary words. The correction guarantee is averaged over the requested
|
| 6 |
+
encoded coordinates. Its radius is fixed before the requested accuracy
|
| 7 |
+
and the density of those coordinates are specified. This quantifier
|
| 8 |
+
order is essential when the one-port construction is subsequently used
|
| 9 |
+
many times.
|
| 10 |
+
|
| 11 |
+
All notation in this section is inner notation. In particular, the
|
| 12 |
+
groups below are polynomial-size affine groups and are unrelated to the
|
| 13 |
+
outer index group. Fix one of the padded templates of
|
| 14 |
+
Lemma~\ref{lem:inner-algebra-interface}. We call each polynomial family
|
| 15 |
+
in its canonical tuple, together with its slot axes, a \emph{track}.
|
| 16 |
+
We use its fields
|
| 17 |
+
\(\F_q\subset K=\F_{q^\ell}\), common target domain \(K^u\), degree
|
| 18 |
+
bound \(D=\ell^2-1\), and fixed number of slot-mask axes per track.
|
| 19 |
+
The integer \(u\) and the field conventions are common to the actual
|
| 20 |
+
and one-port templates. Honest chart degrees, including the constant
|
| 21 |
+
factor enlargement below, are \(O(\ell h)<D\) for sufficiently large
|
| 22 |
+
size. The field-size choice already made in
|
| 23 |
+
Section~\ref{ia:path-parameters} ensures \(q/D\longrightarrow\infty\).
|
| 24 |
+
Constants in this section may depend on the fixed template, but are uniform
|
| 25 |
+
in the public circuit within that template.
|
| 26 |
+
|
| 27 |
+
\subsection{Rectangular coordinates and the common row code}
|
| 28 |
+
\label{ib:rectangular-code}
|
| 29 |
+
|
| 30 |
+
The algebraic neighbor formulas use invertible affine maps of the target
|
| 31 |
+
\(K^u\). We will add parity rows so that local row decoding can reduce
|
| 32 |
+
errors, and use a group action to move a requested value among columns
|
| 33 |
+
without changing it. The rectangular coordinates below make this action
|
| 34 |
+
transitive on point and ordered-line columns. Target affine maps commute
|
| 35 |
+
with it, so neighbor updates remain column permutations after row encoding.
|
| 36 |
+
|
| 37 |
+
Choose a constant integer \(r>2u\), \(r\ge3\). A rectangular point
|
| 38 |
+
is \(I=(P,z)\), where \(P(x)=Ax+b\) maps \(K^r\) affinely to
|
| 39 |
+
\(K^u\) and \(z\in K^r\). Retain points with \(\rank A=u\).
|
| 40 |
+
For an ordered \(\F_q\)-line
|
| 41 |
+
\[
|
| 42 |
+
I_t=(P_0+tP_1,z_0+tz_1),\qquad t\in\F_q,
|
| 43 |
+
\]
|
| 44 |
+
retain it precisely when the matrix obtained by stacking \(A_0,A_1\)
|
| 45 |
+
has rank \(2u\) and \(z_1\ne0\). Every point on such a line is
|
| 46 |
+
retained, since a dependence in \(A_0+tA_1\) would give a dependence
|
| 47 |
+
in the stacked matrix. A sequential row-exposure bound shows that
|
| 48 |
+
the omitted point and line fractions are \(o(1)\) as \(\abs K\to
|
| 49 |
+
\infty\); for example rank failure for an \(s\)-by-\(r\) uniform
|
| 50 |
+
matrix is at most \(\sum_{j=0}^{s-1}\abs K^{j-r}\).
|
| 51 |
+
|
| 52 |
+
Write
|
| 53 |
+
\[
|
| 54 |
+
U(K)=K^r\rtimes\mathrm{SL}_r(K),\qquad
|
| 55 |
+
\mathcal H=U(K)\times U(K),\qquad
|
| 56 |
+
(g_1,g_2)(P,z)=(P\circ g_1^{-1},g_2z).
|
| 57 |
+
\]
|
| 58 |
+
This is an affine action on the rectangular \(\F_q\)-coordinates,
|
| 59 |
+
and acts on ordered lines without changing their parameter. There
|
| 60 |
+
is one orbit of retained points and one orbit of retained ordered
|
| 61 |
+
lines. Indeed, right special-linear transformations are transitive
|
| 62 |
+
on full-rank matrices with \(u\) rows, and on those with \(2u\)
|
| 63 |
+
rows: first align by a general-linear transformation and then adjust
|
| 64 |
+
its determinant on an unused complementary dimension. Translation
|
| 65 |
+
in the argument of \(P\) adjusts the one or two offsets because the
|
| 66 |
+
corresponding matrix has full row rank. Independently, the second
|
| 67 |
+
affine factor is transitive on points and on ordered pairs of a base
|
| 68 |
+
point and a nonzero direction. All retention conditions are
|
| 69 |
+
invariant. In particular the point at each fixed parameter of a
|
| 70 |
+
uniform retained ordered line is uniform on retained points.
|
| 71 |
+
|
| 72 |
+
An invertible affine target map \(d:K^u\to K^u\) induces
|
| 73 |
+
\((P,z)\mapsto(d\circ P,z)\). It commutes with \(\mathcal H\),
|
| 74 |
+
preserves both retained domains, and preserves line parameters. A
|
| 75 |
+
target chart \(f\) is represented by \(f(P(z))\); this substitution
|
| 76 |
+
increases its coordinate degree by at most a factor two.
|
| 77 |
+
|
| 78 |
+
\begin{lemma}[Uniform affine-group expansion]
|
| 79 |
+
\label{ib:affine-expansion}
|
| 80 |
+
There is a fixed symmetric labelled multiset
|
| 81 |
+
\(u_1,\ldots,u_{d_e}\) in each \(\mathcal H\), with \(d_e\ge8\),
|
| 82 |
+
whose averaging operator has norm at most \(1/64\) on mean-zero
|
| 83 |
+
functions. The labels, group operations, and complete group tables
|
| 84 |
+
are deterministically constructible in polynomial time in the inner
|
| 85 |
+
size. The degree and gap are independent of the fields.
|
| 86 |
+
\end{lemma}
|
| 87 |
+
|
| 88 |
+
\begin{proof}
|
| 89 |
+
Here are the two primary group-theoretic inputs and their exact use.
|
| 90 |
+
Ershov--Jaikin-Zapirain~\cite[Theorem~1.1]{EJZ2010} prove property
|
| 91 |
+
\((T)\) for \(\mathrm{EL}_r(R)\) for every finitely generated
|
| 92 |
+
associative unital ring \(R\) and \(r\ge3\). Their generating-set
|
| 93 |
+
bound in Section~6.1 applies to the elementary matrices with entries
|
| 94 |
+
in a fixed ring-generating set containing 1. In particular, their
|
| 95 |
+
equations (6.1)--(6.2) give the positive Kazhdan constant
|
| 96 |
+
\[
|
| 97 |
+
\kappa_r=\bigl[8(48\sqrt2+2\sqrt{3r})\bigr]^{-1}
|
| 98 |
+
\]
|
| 99 |
+
for
|
| 100 |
+
\(\{e_{ij}(1),e_{ij}(t):i\ne j\}\) in
|
| 101 |
+
\(\mathrm{SL}_r(\F_2[t])\); the equality with the elementary group
|
| 102 |
+
holds because \(\F_2[t]\) is Euclidean. No restriction excluding
|
| 103 |
+
characteristic two occurs in this theorem.
|
| 104 |
+
|
| 105 |
+
Shalom~\cite[Theorem~3.4 and Corollary~3.5]{Shalom1999}, applied to the discrete
|
| 106 |
+
commutative ring \(R=\F_2[t]\), bounds the displacement of every
|
| 107 |
+
translation in \(R^2\rtimes\mathrm{SL}_2(R)\) by 484 times the
|
| 108 |
+
maximum displacement on the basis translations and
|
| 109 |
+
\(e_{12}(1),e_{12}(t),e_{21}(1),e_{21}(t)\). Signs coincide in
|
| 110 |
+
characteristic two. This is the homogeneous displacement form of
|
| 111 |
+
the corollary's tolerance statement, obtained by scaling and taking
|
| 112 |
+
limits. It bounds the translation sector; it alone does not assert
|
| 113 |
+
expansion of the full affine group.
|
| 114 |
+
|
| 115 |
+
Set \(\Lambda=R^r\rtimes\mathrm{SL}_r(R)\) and let \(S\) consist
|
| 116 |
+
of all basis translations and the elementary matrices just listed
|
| 117 |
+
for all ordered coordinate pairs. Embed Shalom's rank-two group on
|
| 118 |
+
each such pair. Since a translation is a product of \(r\)
|
| 119 |
+
coordinate translations, every unitary representation satisfies
|
| 120 |
+
\[
|
| 121 |
+
\sup_{a\in R^r}\norm{av-v}
|
| 122 |
+
\le 484r\max_{s\in S}\norm{sv-v}.
|
| 123 |
+
\tag{\ref{ib:affine-expansion}.1}
|
| 124 |
+
\]
|
| 125 |
+
Let \(V_N\) be the translation-invariant subspace. Its orthogonal
|
| 126 |
+
projection commutes with \(\Lambda\), since the translations are
|
| 127 |
+
normal. On \(V_N^\perp\), the minimum-norm point of the closed
|
| 128 |
+
convex translation-orbit hull is zero. The displayed bound therefore
|
| 129 |
+
gives
|
| 130 |
+
\(\norm v\le484r\max_{s\in S}\norm{sv-v}\) on this subspace.
|
| 131 |
+
On \(V_N\), a representation without group-invariant vectors is a
|
| 132 |
+
representation of \(\mathrm{SL}_r(R)\) without invariant vectors,
|
| 133 |
+
so the preceding Kazhdan bound applies. Orthogonally combining the
|
| 134 |
+
two bounds gives a positive Kazhdan constant \(\kappa\) for
|
| 135 |
+
\((\Lambda,S)\). Explicitly, if \(\kappa_r\) is the quoted
|
| 136 |
+
linear-group constant, one may take
|
| 137 |
+
\(\kappa=((484r)^2+\kappa_r^{-2})^{-1/2}\).
|
| 138 |
+
|
| 139 |
+
The set \(S\) generates \(\Lambda\): the third-index elementary
|
| 140 |
+
commutator multiplies entries, entries in a root subgroup add, and
|
| 141 |
+
conjugating basis translations gives arbitrary coordinate
|
| 142 |
+
translations. Choose a field presentation
|
| 143 |
+
\(K=R/(p(t))\) by a monic irreducible polynomial. Elementary
|
| 144 |
+
generation over a field shows that the quotient map surjects onto
|
| 145 |
+
\(U(K)\). Pulling back its mean-zero regular representation
|
| 146 |
+
preserves the Kazhdan bound. If \(d=\abs S\), the half-lazy walk
|
| 147 |
+
has Dirichlet form
|
| 148 |
+
\[
|
| 149 |
+
\langle v,(1-M)v\rangle
|
| 150 |
+
=\frac{1}{4d}\sum_{s\in S}\norm{sv-v}^2
|
| 151 |
+
\ge\frac{\kappa^2}{4d}\norm v^2
|
| 152 |
+
\]
|
| 153 |
+
on mean-zero vectors, and nonnegative spectrum. On the product
|
| 154 |
+
group, choose a factor uniformly and take this step there. The
|
| 155 |
+
commuting tensor-factor operators give another uniform positive
|
| 156 |
+
gap and nonnegative spectrum. A sufficiently large fixed power has
|
| 157 |
+
mean-zero norm at most \(1/64\). Keep all walk labels, including
|
| 158 |
+
identities and coincident group elements, as a symmetric multiset;
|
| 159 |
+
repeat labels if necessary to ensure \(d_e\ge8\). All matrices
|
| 160 |
+
have fixed dimensions over polynomial-size fields, so enumeration
|
| 161 |
+
and every stated computation are polynomial-time finite-array
|
| 162 |
+
operations.
|
| 163 |
+
\end{proof}
|
| 164 |
+
|
| 165 |
+
Form a bipartite graph with both vertex sets \(\mathcal H\), and
|
| 166 |
+
edges
|
| 167 |
+
\(\mathcal R=[d_e]\times\mathcal H\), where \((i,g)\) joins
|
| 168 |
+
left \(g\) to right \(u_i g\). Its cross-part normalized second
|
| 169 |
+
singular norm is \(\lambda\le1/64\). Put
|
| 170 |
+
\(c_e=\lfloor d_e/4\rfloor\).
|
| 171 |
+
|
| 172 |
+
\begin{lemma}[Systematic row extension]
|
| 173 |
+
\label{ib:row-extension}
|
| 174 |
+
There is a polynomial-size extension field \(J/\F_q\) and two
|
| 175 |
+
\(c_e\)-by-\(d_e\) matrices \(H_L,H_R\) over \(J\) whose every
|
| 176 |
+
\(c_e\)-column minor is nonzero, such that the edge code
|
| 177 |
+
\begin{align}
|
| 178 |
+
\sum_i(H_L)_{bi}U_{i,g}&=0,\label{ib:left-row}\\
|
| 179 |
+
\sum_i(H_R)_{bi}U_{i,u_i^{-1}x}&=0\label{ib:right-row}
|
| 180 |
+
\end{align}
|
| 181 |
+
has a unique linear extension \(E\) from labels \(i>2c_e\) to all
|
| 182 |
+
labels. The same holds with symbols in any finite-dimensional
|
| 183 |
+
\(J\)-space. Each local code has distance at least \(c_e+1\),
|
| 184 |
+
and \(E\) commutes with every right shift
|
| 185 |
+
\((R_hU)_{i,g}=U_{i,gh}\).
|
| 186 |
+
\end{lemma}
|
| 187 |
+
|
| 188 |
+
\begin{proof}
|
| 189 |
+
Treat the \(2c_ed_e\) matrix entries as indeterminates. The square
|
| 190 |
+
system matrix on parity labels \(1,\ldots,2c_e\) has nonzero
|
| 191 |
+
determinant polynomial: specialize left row \(b\) to select label
|
| 192 |
+
\(b\), and right row \(b\) to select label \(c_e+b\). This gives
|
| 193 |
+
a permutation matrix, including when some generators coincide.
|
| 194 |
+
Multiply this determinant by all maximal minors of both local
|
| 195 |
+
matrices. Each factor is a nonzero polynomial; their product is
|
| 196 |
+
nonzero and has total degree at most
|
| 197 |
+
\[
|
| 198 |
+
2c_e\abs{\mathcal H}
|
| 199 |
+
+2c_e\binom{d_e}{c_e}.
|
| 200 |
+
\]
|
| 201 |
+
Take the least extension \(J/\F_q\) of cardinality exceeding this
|
| 202 |
+
bound. It has polynomial cardinality. A nonzero polynomial of
|
| 203 |
+
smaller total degree than \(\abs J\) cannot vanish everywhere on
|
| 204 |
+
\(J^{2c_ed_e}\). Exhaustive search over this constant number of
|
| 205 |
+
entries, testing the determinant and minors, therefore finds a
|
| 206 |
+
specialization in polynomial time. Inverting the parity matrix
|
| 207 |
+
constructs \(E\).
|
| 208 |
+
|
| 209 |
+
Column independence proves local distance \(c_e+1\), also for
|
| 210 |
+
vector symbols: a nonzero vector-valued local word supported on at
|
| 211 |
+
most \(c_e\) columns would contradict that independence after any
|
| 212 |
+
nonzero coordinate projection. Right shifts permute left stars
|
| 213 |
+
and right stars in \eqref{ib:left-row}--\eqref{ib:right-row} and
|
| 214 |
+
preserve the systematic labels. Uniqueness proves \(ER_h=R_hE\).
|
| 215 |
+
\end{proof}
|
| 216 |
+
|
| 217 |
+
Choose this field, these matrices, and their deterministic ordering
|
| 218 |
+
from the common point and field parameters alone, independently of
|
| 219 |
+
the number or identities of tracks. Every track uses this one
|
| 220 |
+
encoder. On systematic rows prescribe, slotwise,
|
| 221 |
+
\[
|
| 222 |
+
Y_{i,g}(I)=f(P'(z')),\qquad (P',z')=gI,
|
| 223 |
+
\]
|
| 224 |
+
and extend columnwise by \(E\). Equivariance yields
|
| 225 |
+
\begin{equation}
|
| 226 |
+
Y_{i,gh}(I)=Y_{i,g}(hI)
|
| 227 |
+
\quad\hbox{for all rows, including parity rows.}
|
| 228 |
+
\label{ib:covariance}
|
| 229 |
+
\end{equation}
|
| 230 |
+
Every parity-slot function is a degree-in-bound polynomial over
|
| 231 |
+
\(J\). At an ordered retained line store its actual restriction,
|
| 232 |
+
using coefficients through degree \(D\) and padding by zero.
|
| 233 |
+
These coefficients obey the same row constraints and covariance.
|
| 234 |
+
The commuting target maps act by the same column permutations on
|
| 235 |
+
point tables, line tables, and their encoded parity rows.
|
| 236 |
+
In particular, covariance gives
|
| 237 |
+
\(Y_{i,gh}(h^{-1}I)=Y_{i,g}(I)\) for a point or an ordered line \(I\).
|
| 238 |
+
Thus changing the row and making the inverse change to the column
|
| 239 |
+
preserves the requested symbol. This is the movement among columns that
|
| 240 |
+
will accompany local row decoding.
|
| 241 |
+
|
| 242 |
+
\subsection{Binary blocks and smooth probes}
|
| 243 |
+
\label{ib:binary-blocks}
|
| 244 |
+
|
| 245 |
+
For each track there are point and line blocks, both denoted \(Y\)
|
| 246 |
+
with their type understood. A point position specifies a row edge,
|
| 247 |
+
a retained point, one \(\F_q\)-vector mask per slot axis, and an
|
| 248 |
+
additive binary form \(\mu:J\to\F_2\). Its bit is \(\mu\) of
|
| 249 |
+
the slot contraction. A line position additionally specifies masks
|
| 250 |
+
\(A,B\in\F_q^\ell\) for the coefficient index. If \(Y(t)\)
|
| 251 |
+
is already contracted on the original slots, the bit is
|
| 252 |
+
\begin{equation}
|
| 253 |
+
\mu\left(\sum_{j,l=0}^{\ell-1}A[j]B[l]
|
| 254 |
+
[t^{j+\ell l}]Y(t)\right).
|
| 255 |
+
\label{ib:line-bit}
|
| 256 |
+
\end{equation}
|
| 257 |
+
This uses \(D+1=\ell^2\). Evaluation at a specified parameter
|
| 258 |
+
uses the separable masks \((t^j)_j\) and \((t^{\ell l})_l\),
|
| 259 |
+
with the usual convention \(t^0=1\).
|
| 260 |
+
|
| 261 |
+
The short two-mask coefficient representation in \eqref{ib:line-bit}
|
| 262 |
+
is adapted, through the inherited polynomial-size construction, from
|
| 263 |
+
Amireddy--Behera--Srinivasan--Sudan--Willumsgaard
|
| 264 |
+
\cite[Section~3.1, Definition~3.1 and Claim~3.2]{ABSsw26}.
|
| 265 |
+
This attribution concerns the coefficient encoding and its evaluation
|
| 266 |
+
masks, not the correction and evolution machinery developed here.
|
| 267 |
+
|
| 268 |
+
Fix an \(\F_q\)-linear map \(\pi:J\to\F_q\) restricting to
|
| 269 |
+
the identity on \(\F_q\). For each compatible ordered pair of
|
| 270 |
+
point-track types, include a product block \(Z\). Compatibility
|
| 271 |
+
means that one tag is zero or both positive tags agree. A type may
|
| 272 |
+
be paired with itself, with two independent positions. An original
|
| 273 |
+
\(Z\) position consists of the two complete edge/point/slot-mask
|
| 274 |
+
positions, \(b_1,b_2\in J\), and a binary bilinear form \(Q\)
|
| 275 |
+
on the \(\F_2\)-coordinates of \(\F_q\). For the two contracted
|
| 276 |
+
symbols the bit is
|
| 277 |
+
\begin{equation}
|
| 278 |
+
Q\bigl(\pi(b_1Y_1),\pi(b_2Y_2)\bigr).
|
| 279 |
+
\label{ib:product-bit}
|
| 280 |
+
\end{equation}
|
| 281 |
+
There are no line-product blocks and no products of distinct
|
| 282 |
+
positive tags.
|
| 283 |
+
|
| 284 |
+
Give every block equal weight. If its original length is \(L_b\),
|
| 285 |
+
repeat each original bit uniformly until every block has length
|
| 286 |
+
\(\prod_b L_b\). Every raw query chooses a uniform repetition
|
| 287 |
+
copy. Let \(b_\#\) be the block count, \(m_{\rm in}\) the total
|
| 288 |
+
length, and \(\mathcal W(v)\) the canonical word for an extended
|
| 289 |
+
label \(v\). These lengths are polynomial in the inner size:
|
| 290 |
+
there are constantly many blocks, \(q^{O(\ell)}\) slot masks,
|
| 291 |
+
fixed-dimensional matrix domains over \(K\), polynomial-size
|
| 292 |
+
\(J\), and \(2^{(\log_2q)^2}\) bilinear forms \(Q\).
|
| 293 |
+
Here \(\log q=O(\log\log n')\), so the last quantity is also
|
| 294 |
+
polynomial in \(n'\). The product used for balancing has constantly
|
| 295 |
+
many polynomial factors. Lengths are fixed within a padded template
|
| 296 |
+
independently of the circuit coefficients. Positive-tag original
|
| 297 |
+
indices and canonical formulas coincide with the corresponding
|
| 298 |
+
one-port indices; repetition counts need not coincide.
|
| 299 |
+
|
| 300 |
+
We will repeatedly use the following explicit smoothing operation.
|
| 301 |
+
For a specified additive argument \(a\), choose uniform \(r\)
|
| 302 |
+
and write \(a=r+(a+r)\). Multilinearity expands a requested value
|
| 303 |
+
into a bounded XOR of terms, each uniform in that argument.
|
| 304 |
+
Split different axes independently. This applies to slot masks,
|
| 305 |
+
coefficient masks, bit forms, \(Q\), and, when needed, the two
|
| 306 |
+
multiplier axes. Each term has uniform marginals jointly across
|
| 307 |
+
its independently split axes, conditional on the entire specified
|
| 308 |
+
request. Pull back all public scalars and other linear maps before
|
| 309 |
+
splitting. This remains true for zero coefficients; a zero term
|
| 310 |
+
may instead be omitted and supplied as public zero.
|
| 311 |
+
|
| 312 |
+
To probe a target value at \(y\in K^u\), choose a uniform row
|
| 313 |
+
group \(g\), full-rank \(A\), and \(z\), set
|
| 314 |
+
\(P(x)=Ax+y-Az\), and use the systematic position
|
| 315 |
+
\begin{equation}
|
| 316 |
+
(i,g,g^{-1}(P,z)).
|
| 317 |
+
\label{ib:systematic-probe}
|
| 318 |
+
\end{equation}
|
| 319 |
+
For uniform \(y\), this is jointly uniform in row and retained
|
| 320 |
+
point within its systematic label; every fiber has the same number
|
| 321 |
+
of \((A,z)\) choices. A density bound for \(y\) therefore gives
|
| 322 |
+
the same bound for this joint distribution. Independently chosen
|
| 323 |
+
target arguments can use independent representations. An additive
|
| 324 |
+
form on a target \(\F_q\)-value extends to \(J\), for example by
|
| 325 |
+
composition with \(\pi\). These procedures are defined on every
|
| 326 |
+
raw word and are smooth before any replacement or soundness claim.
|
| 327 |
+
|
| 328 |
+
\subsection{Dimension-independent replacement lemmas}
|
| 329 |
+
\label{ib:replacement-tools}
|
| 330 |
+
|
| 331 |
+
The tester's soundness proof replaces arbitrary binary data by symbol
|
| 332 |
+
tables and then by polynomial arrays. The two replacement lemmas below
|
| 333 |
+
make the error cost independent of the number of field coordinates and
|
| 334 |
+
slot entries.
|
| 335 |
+
|
| 336 |
+
We state precisely the low-degree input being used. The corrected
|
| 337 |
+
Theorem~13 of Friedl--Sudan~\cite{FS1995} says that for every
|
| 338 |
+
\(\eta>0\) there is \(C_\eta<\infty\) such that, if
|
| 339 |
+
\(\abs{\F}\ge C_\eta D\), \(D\ge1\), and a function
|
| 340 |
+
\(f:\F^m\to\F\) and degree-at-most-\(D\) univariate claims
|
| 341 |
+
\(p_{x,h}\) satisfy
|
| 342 |
+
\[
|
| 343 |
+
e=\Pr_{x,h\in\F^m,\,t\in\F}
|
| 344 |
+
[p_{x,h}(t)\ne f(x+th)]\le \tfrac18-\eta,
|
| 345 |
+
\]
|
| 346 |
+
then a polynomial \(p:\F^m\to\F\) of total degree at most \(D\)
|
| 347 |
+
satisfies \(\dist(f,p)\le2e\). The variables in this probability
|
| 348 |
+
are independent and uniform, including the possible direction \(h=0\);
|
| 349 |
+
the field-size constant does not depend on \(m\). We use
|
| 350 |
+
\(\eta=1/16\). Neither a vector-valued conclusion nor a restriction
|
| 351 |
+
on the line domain is part of this cited statement.
|
| 352 |
+
|
| 353 |
+
\begin{lemma}[Vector and deleted-domain low-degree replacement]
|
| 354 |
+
\label{ib:vector-ld}
|
| 355 |
+
Let \(V\) be any finite-dimensional \(\F_q\)-space. In the preceding
|
| 356 |
+
field regime, line--point disagreement tending to zero for
|
| 357 |
+
\(V\)-valued point functions and degree-in-bound line claims implies
|
| 358 |
+
point distance tending to zero from a single \(V\)-valued polynomial
|
| 359 |
+
of total degree at most \(D\), uniformly in both dimensions.
|
| 360 |
+
The conclusion remains true if the point and ordered-line domains
|
| 361 |
+
omit fractions tending to zero, every retained line lies entirely in
|
| 362 |
+
the retained point domain, and the point at a uniform parameter on a
|
| 363 |
+
uniform retained line is uniform on retained points. In this case the
|
| 364 |
+
mean fraction of line coefficient vectors differing from the
|
| 365 |
+
polynomial's restrictions also tends to zero.
|
| 366 |
+
\end{lemma}
|
| 367 |
+
|
| 368 |
+
\begin{proof}
|
| 369 |
+
First use the full domains. For every \(\alpha\in V^*\), scalar
|
| 370 |
+
projection and the cited theorem give a polynomial \(p_\alpha\) with
|
| 371 |
+
\(\dist(\alpha f,p_\alpha)\le2e\). Distinct scalar polynomials in
|
| 372 |
+
this degree range differ at a fraction at least \(1-D/q\) of points.
|
| 373 |
+
Consequently, when \(6e<1-D/q\), comparison with
|
| 374 |
+
\((\alpha+\beta)f\) forces
|
| 375 |
+
\[
|
| 376 |
+
p_{\alpha+\beta}=p_\alpha+p_\beta,
|
| 377 |
+
\qquad p_{a\alpha}=a p_\alpha \quad(a\in\F_q).
|
| 378 |
+
\]
|
| 379 |
+
The second identity uses at most \(4e\) disagreement; the assertions
|
| 380 |
+
with a zero form or scalar follow in the same way. Coefficientwise
|
| 381 |
+
finite-dimensional duality now gives one \(V\)-valued polynomial
|
| 382 |
+
\(p\) for which \(\alpha p=p_\alpha\) for all \(\alpha\).
|
| 383 |
+
A uniform \(\alpha\) detects each nonzero vector with probability
|
| 384 |
+
\(1-1/q\), so
|
| 385 |
+
\[
|
| 386 |
+
(1-1/q)\dist(f,p)
|
| 387 |
+
=\E_\alpha\dist(\alpha f,p_\alpha)\le2e.
|
| 388 |
+
\]
|
| 389 |
+
There is no factor depending on \(\dim V\).
|
| 390 |
+
|
| 391 |
+
For deleted domains, extend the point function arbitrarily and give
|
| 392 |
+
every added line any degree-in-bound claim, for example zero. The
|
| 393 |
+
full incidence disagreement is at most the retained-line disagreement
|
| 394 |
+
plus the omitted-line fraction. The full-domain conclusion therefore
|
| 395 |
+
gives vanishing error also on retained points. On any retained line
|
| 396 |
+
whose claim differs from the restriction of \(p\), a nonzero scalar
|
| 397 |
+
projection of their difference is a univariate polynomial of degree
|
| 398 |
+
at most \(D\). The two claims disagree at a fraction at least
|
| 399 |
+
\(1-D/q\) of its parameters. Averaging the original test error and
|
| 400 |
+
the point replacement error, using the asserted uniform point
|
| 401 |
+
marginal, bounds the fraction of such lines by their sum divided by
|
| 402 |
+
\(1-D/q\). This tends to zero and proves the coefficient claim.
|
| 403 |
+
\end{proof}
|
| 404 |
+
|
| 405 |
+
The addition-test argument below uses the majority self-correction method
|
| 406 |
+
of Blum, Luby, and Rubinfeld~\cite[Generic Linear Self-Testing]{BLR1993}.
|
| 407 |
+
We include it together with the field-homogeneity, multiple-axis, and
|
| 408 |
+
slice-averaging extensions needed for our vector alphabets.
|
| 409 |
+
|
| 410 |
+
\begin{lemma}[Axis replacement]
|
| 411 |
+
\label{ib:axis-replacement}
|
| 412 |
+
For elementary binary vector groups, the addition test has a
|
| 413 |
+
dimension-independent high-agreement replacement by an additive map,
|
| 414 |
+
also with a vector-group alphabet. For \(\F_q\)-spaces of
|
| 415 |
+
characteristic two, addition and scalar-homogeneity tests give
|
| 416 |
+
replacement by an \(\F_q\)-linear map. For any fixed number of axes,
|
| 417 |
+
testing these identities in each axis at uniform other arguments gives
|
| 418 |
+
replacement by a multilinear map as the failure probability tends to
|
| 419 |
+
zero, uniformly in every domain and alphabet dimension. These
|
| 420 |
+
conclusions also hold in mean over additional slice parameters.
|
| 421 |
+
\end{lemma}
|
| 422 |
+
|
| 423 |
+
\begin{proof}
|
| 424 |
+
Suppose first that \(f:G\to A\) fails addition with probability
|
| 425 |
+
\(e\), where both groups have exponent two. For fixed \(x\) put
|
| 426 |
+
\(D_x(y)=f(x+y)+f(y)\). The addition identities on the pairs
|
| 427 |
+
\((x+y,y+z)\) and \((y,y+z)\) imply \(D_x(y)=D_x(z)\).
|
| 428 |
+
Each pair is uniform when \(y,z\) are independent uniform elements,
|
| 429 |
+
so the collision probability is at least \(1-2e\), for every \(x\).
|
| 430 |
+
The most frequent value \(L(x)\) therefore has mass at least
|
| 431 |
+
\(1-2e\). The identity
|
| 432 |
+
\[
|
| 433 |
+
D_{x+y}(z)=D_x(y+z)+D_y(z)
|
| 434 |
+
\]
|
| 435 |
+
and three majority bounds imply \(L(x+y)=L(x)+L(y)\) when
|
| 436 |
+
\(6e<1\): at least one \(z\) realizes all three majority values.
|
| 437 |
+
If \(f(x)\ne L(x)\), the conditional addition failure at \(x\)
|
| 438 |
+
is at least \(1-2e\). Thus
|
| 439 |
+
\(\dist(f,L)\le e/(1-2e)\).
|
| 440 |
+
|
| 441 |
+
For the field version, transfer the homogeneity test to \(L\).
|
| 442 |
+
The scalars \(a\) satisfying \(L(ax)=aL(x)\) identically form an
|
| 443 |
+
additive subgroup of \(\F_q\). If it is proper, at least half the
|
| 444 |
+
nonzero scalars fail; for each failing scalar its nonzero additive
|
| 445 |
+
discrepancy is nonzero on at least half the inputs. The homogeneity
|
| 446 |
+
test with uniform nonzero scalar would then have failure at least
|
| 447 |
+
\(1/4\). This contradicts failure tending to zero after a vanishing
|
| 448 |
+
replacement cost. Hence \(L\) is field-linear.
|
| 449 |
+
|
| 450 |
+
Induct on the number \(j\) of axes. Markov's inequality, with a
|
| 451 |
+
threshold tending slowly to zero, makes all but a vanishing fraction
|
| 452 |
+
of first-axis slices good for the remaining \(j-1\) tests. Replace
|
| 453 |
+
good slices by multilinear maps and the remaining slices by zero.
|
| 454 |
+
This changes a vanishing fraction of values. Regard the resulting
|
| 455 |
+
slices as a map into the vector space of multilinear maps on
|
| 456 |
+
\(j-1\) axes. A nonzero such map is nonzero on at least
|
| 457 |
+
\(2^{-(j-1)}\) of uniform inputs: successively contract each axis,
|
| 458 |
+
using that a nonzero linear map has a kernel of relative size at most
|
| 459 |
+
\(1/2\). Thus vanishing first-axis test failure on values gives
|
| 460 |
+
vanishing failure as equalities in this vector-space alphabet.
|
| 461 |
+
The one-axis result finishes the induction. The same Markov cutoff
|
| 462 |
+
over any additional parameters proves the mean version.
|
| 463 |
+
\end{proof}
|
| 464 |
+
|
| 465 |
+
\subsection{Testing the binary representation}
|
| 466 |
+
\label{ib:testing}
|
| 467 |
+
|
| 468 |
+
\begin{proposition}[Smooth tester and distance]
|
| 469 |
+
\label{ib:tester}
|
| 470 |
+
For each fixed template, the canonical encodings of valid extended
|
| 471 |
+
labels have constant relative distance. They admit a perfectly
|
| 472 |
+
complete bounded-bit tester with the following uniform gap: for every
|
| 473 |
+
fixed \(a>0\), there are \(\theta(a)>0\) and a size cutoff such that
|
| 474 |
+
rejection below \(\theta(a)\) implies distance less than \(a\) from
|
| 475 |
+
one canonical valid word. Each potential raw read on each fixed
|
| 476 |
+
answer branch has bounded density relative to the balanced word,
|
| 477 |
+
without conditioning on execution of that branch. Consequently
|
| 478 |
+
rejection is at most a fixed constant times distance from a canonical
|
| 479 |
+
valid word.
|
| 480 |
+
\end{proposition}
|
| 481 |
+
|
| 482 |
+
\begin{proof}
|
| 483 |
+
Take a positive fixed mixture of the test families described below,
|
| 484 |
+
including each present block type. Their query counts are bounded,
|
| 485 |
+
and all requested nonuniform masks are implemented by the splitting
|
| 486 |
+
operation above. We prove the gap by a sequential replacement
|
| 487 |
+
argument. Consider any sequence of increasing sizes and words whose
|
| 488 |
+
rejection tends to zero, allowing the public circuits to vary in the
|
| 489 |
+
fixed template. We show distance tending to zero from a canonical
|
| 490 |
+
valid word. A bounded smooth test retains vanishing rejection after
|
| 491 |
+
a vanishing-distance change, by the union bound over its potential
|
| 492 |
+
reads; for a branching test use its entire bounded answer tree.
|
| 493 |
+
|
| 494 |
+
\paragraph{Copies, symbols, and slot tensors.}
|
| 495 |
+
Compare two independent random copies of a uniform original bit.
|
| 496 |
+
If the fraction of ones among its copies is \(p\), the test rejects
|
| 497 |
+
with probability \(2p(1-p)\), which is at least
|
| 498 |
+
\(\min(p,1-p)\). Replacing all copies by their majority costs
|
| 499 |
+
vanishing distance. In each point or line \(Y\) block test
|
| 500 |
+
additivity in \(\mu\). Lemma~\ref{ib:axis-replacement} and binary
|
| 501 |
+
double duality replace the block, in mean over other indices, by
|
| 502 |
+
Hadamard tables of genuine \(J\)-symbols. Next test addition and
|
| 503 |
+
\(\F_q\)-homogeneity in every slot-mask axis, including the two
|
| 504 |
+
coefficient-mask axes for a line. Test symbol equality by uniform
|
| 505 |
+
\(\mu\), which detects any inequality with probability \(1/2\);
|
| 506 |
+
pull field scalars onto this form before smoothing its raw accesses.
|
| 507 |
+
The same replacement lemma makes all these symbols honest
|
| 508 |
+
multilinear slot tensors at each edge and point or line, at vanishing
|
| 509 |
+
mean cost. No global polynomial property has yet been asserted.
|
| 510 |
+
|
| 511 |
+
\paragraph{Point and line polynomials.}
|
| 512 |
+
At a uniform edge, retained ordered line, and parameter, compare the
|
| 513 |
+
point symbol with line evaluation, using uniform original slot masks
|
| 514 |
+
and a uniform bit comparison. Split the two specified evaluation
|
| 515 |
+
masks in \eqref{ib:line-bit}. A nonzero symbol discrepancy has a
|
| 516 |
+
constant binary detection probability, so the line--point
|
| 517 |
+
disagreement tends to zero in mean. For most edge and original-mask
|
| 518 |
+
tuples apply Lemma~\ref{ib:vector-ld}, with \(V=J\) as an
|
| 519 |
+
\(\F_q\)-space, to obtain a degree-at-most-\(D\) rectangular
|
| 520 |
+
polynomial. Use zero on the exceptional tuples. The lemma's
|
| 521 |
+
line-coefficient conclusion also replaces the line tables by the
|
| 522 |
+
restrictions of these polynomials at vanishing cost.
|
| 523 |
+
|
| 524 |
+
The selected polynomials need not yet be coherent between original
|
| 525 |
+
mask tuples. Transfer the previous multilinearity identities to
|
| 526 |
+
them using their mean point error. A false identity between
|
| 527 |
+
degree-in-bound polynomials is nonzero on at least
|
| 528 |
+
\(1-D/q-o(1)\) of retained points. Thus the identities fail with
|
| 529 |
+
vanishing probability as equalities in the vector space of
|
| 530 |
+
degree-in-bound polynomials. Apply
|
| 531 |
+
Lemma~\ref{ib:axis-replacement} in that vector-space alphabet, in
|
| 532 |
+
mean over edges, and use zero on exceptional edges. Changing a
|
| 533 |
+
vanishing fraction of mask tuples changes a vanishing fraction of
|
| 534 |
+
point and line bits. We now have genuine polynomial slot families
|
| 535 |
+
at every row, and their exact line restrictions.
|
| 536 |
+
|
| 537 |
+
\paragraph{Covariance and common systematic data.}
|
| 538 |
+
Test \eqref{ib:covariance} on point symbols with independent uniform
|
| 539 |
+
\(g,h,I\), uniform masks, and a bit form. Undo each row's chart:
|
| 540 |
+
\[
|
| 541 |
+
F_{i,g}(I)=Y_{i,g}(g^{-1}I).
|
| 542 |
+
\]
|
| 543 |
+
If two such polynomial slot tuples differ, the discrepancy is seen
|
| 544 |
+
with constant probability, first on a retained point, then by
|
| 545 |
+
successive nonzero mask contractions, then by the bit form. Since
|
| 546 |
+
\(g\) and \(gh\) are independent uniform elements, for each fixed
|
| 547 |
+
label and track the squared frequencies of the uncharted tuples
|
| 548 |
+
sum to \(1-o(1)\). Their maximum frequency is therefore
|
| 549 |
+
\(1-o(1)\). Replace other rows by this predominant tuple, charted
|
| 550 |
+
back. This changes vanishing point and line distance and enforces
|
| 551 |
+
covariance exactly, including on lines.
|
| 552 |
+
|
| 553 |
+
Compare uncharted tuples of the finitely many systematic labels,
|
| 554 |
+
using a shared uniform retained point and masks and independent row
|
| 555 |
+
groups. The same constant gap forces an exactly common polynomial
|
| 556 |
+
tuple \(F\) on all systematic labels of a track. Test that its
|
| 557 |
+
contracted values lie in \(\F_q\) by a random binary form on
|
| 558 |
+
\(J/\F_q\), pulled back to \(J\) and split. The quotient is an
|
| 559 |
+
\(\F_q\)-space. If a polynomial coefficient were outside
|
| 560 |
+
\(\F_q\), its quotient would be a nonzero vector polynomial and
|
| 561 |
+
would have a constant detection gap. Consequently every systematic
|
| 562 |
+
coefficient is in \(\F_q\).
|
| 563 |
+
|
| 564 |
+
\paragraph{Factoring through the target and enforcing parity.}
|
| 565 |
+
Choose uniform \(y\in K^u\) and two conditionally independent
|
| 566 |
+
generic representations as in \eqref{ib:systematic-probe}. Compare
|
| 567 |
+
their values, with independent row groups. Each individual marginal
|
| 568 |
+
is smooth; this test is a linear comparison and makes no product
|
| 569 |
+
query on the correlated pair. For a slot coefficient the uncharted
|
| 570 |
+
identity tested is
|
| 571 |
+
\begin{equation}
|
| 572 |
+
F(A,y-Az,z)=F(A',y-A'z',z').
|
| 573 |
+
\label{ib:factor-target}
|
| 574 |
+
\end{equation}
|
| 575 |
+
The difference has coordinate degree at most \(2D\), and the
|
| 576 |
+
full-rank restrictions omit an \(o(1)\) fraction. A failed
|
| 577 |
+
polynomial identity therefore has constant detection probability,
|
| 578 |
+
also after the bounded slot contractions. Hence
|
| 579 |
+
\eqref{ib:factor-target} holds identically. Fix any full-rank
|
| 580 |
+
\(A'\) and any \(z'\). Its right side defines a target polynomial
|
| 581 |
+
\(f(y)\) of degree at most \(D\) with \(\F_q\) coefficients.
|
| 582 |
+
Substitute \(y=Az+b\) to obtain the exact factorization
|
| 583 |
+
\(F(P,z)=f(P(z))\).
|
| 584 |
+
|
| 585 |
+
Test the left and right star equations at uniform stars and retained
|
| 586 |
+
points, with slot masks and random \(J\)-bit forms; pull row
|
| 587 |
+
coefficients onto these forms. In an exactly covariant family, a
|
| 588 |
+
failed polynomial star relation fails on every right-shift translate
|
| 589 |
+
of that star, with an invertible affine change of argument.
|
| 590 |
+
Polynomial, mask, and bit detection thus give a constant rejection
|
| 591 |
+
gap for any failure. All star identities hold once the rejection is
|
| 592 |
+
sufficiently small. Lemma~\ref{ib:row-extension} now forces the
|
| 593 |
+
exact parity extension of the systematic target data and its line
|
| 594 |
+
restrictions.
|
| 595 |
+
|
| 596 |
+
\paragraph{Product blocks.}
|
| 597 |
+
In each present \(Z\) block test additivity in \(Q\) and replace
|
| 598 |
+
at vanishing cost by exact \(Q\)-linear maps, in mean over all its
|
| 599 |
+
other indices. Sample a uniform independent pair of
|
| 600 |
+
edge/point/slot-mask indices and uniform multipliers. Test the
|
| 601 |
+
product identity for
|
| 602 |
+
\(Q(x,x')=\alpha(x)\alpha'(x')\), with independent uniform
|
| 603 |
+
binary forms \(\alpha,\alpha'\) on \(\F_q\).
|
| 604 |
+
On the \(Z\) side split only \(Q\), keeping these already uniform
|
| 605 |
+
other indices fixed. On each \(Y\) side pull the multiplier and
|
| 606 |
+
\(\pi\) into the requested bit form and split that form. Compare
|
| 607 |
+
with the Boolean product of the two resulting bits.
|
| 608 |
+
|
| 609 |
+
The \(Y\)'s are already genuine symbols. The difference between
|
| 610 |
+
a wrong \(Q\)-linear map and their true product is a nonzero binary
|
| 611 |
+
matrix. A uniform outer-product form detects it with probability
|
| 612 |
+
at least \(1/4\), by two successive nonzero contractions. The
|
| 613 |
+
fraction of wrong maps therefore tends to zero. Replace them by
|
| 614 |
+
\eqref{ib:product-bit}. This works separately for every compatible
|
| 615 |
+
pair and never invokes a missing product block.
|
| 616 |
+
|
| 617 |
+
\paragraph{Algebraic validity.}
|
| 618 |
+
Finally run the algebraic validator of
|
| 619 |
+
Lemma~\ref{lem:inner-algebra-interface} on the recovered target
|
| 620 |
+
polynomials, using systematic representations. Linear target
|
| 621 |
+
probes need only their individual bounded-density marginal. For
|
| 622 |
+
each product probe that lemma gives compatible tags and independent
|
| 623 |
+
uniform full target arguments. Represent these independently in
|
| 624 |
+
rectangular coordinates. The corresponding \(Z\) query therefore
|
| 625 |
+
has the required joint density. Identity multipliers on
|
| 626 |
+
\(\F_q\)-symbols and the demanded bilinear form implement the
|
| 627 |
+
field-level product; split the necessary slot, form, and multiplier
|
| 628 |
+
axes for its raw reads. The exact algebraic gap forces canonical
|
| 629 |
+
extended validity. The native linear maps used by the validator,
|
| 630 |
+
including coordinate packing, need not commute with the row action:
|
| 631 |
+
they are used here only to specify systematic target arguments.
|
| 632 |
+
|
| 633 |
+
All replacements have vanishing total binary cost, so the original
|
| 634 |
+
word is at vanishing distance from a canonical valid word. If the
|
| 635 |
+
stated fixed-gap conclusion failed, for each integer \(j\) one
|
| 636 |
+
could choose a size at least \(j\) and a word of distance at least
|
| 637 |
+
\(a\) with rejection below \(1/j\), contradicting this sequence
|
| 638 |
+
argument. Each constituent test is perfectly complete for every
|
| 639 |
+
random choice in its support. All its raw marginals are smooth by
|
| 640 |
+
the displayed representations and splitting; this also proves the
|
| 641 |
+
claimed linear upper bound on rejection near a canonical word.
|
| 642 |
+
|
| 643 |
+
For distance, different logical tapes differ in an order-one grid
|
| 644 |
+
polynomial. Its difference is nonzero on a constant fraction of
|
| 645 |
+
uniform target arguments, hence on a constant fraction of systematic
|
| 646 |
+
row/point positions; a bit form detects the symbol difference with
|
| 647 |
+
probability \(1/2\). A concerned block has fixed positive weight.
|
| 648 |
+
If the logical tape agrees, different valid extended labels differ
|
| 649 |
+
in mode or in the progress marker, because legacy and mode fix the
|
| 650 |
+
frame. These constant slot tensors likewise have a fixed
|
| 651 |
+
nonzero-contraction gap. This gives a constant lower bound on
|
| 652 |
+
relative distance.
|
| 653 |
+
\end{proof}
|
| 654 |
+
|
| 655 |
+
\subsection{Value-independent uncertainty supports}
|
| 656 |
+
\label{ib:uncertainty}
|
| 657 |
+
|
| 658 |
+
The correction argument uses uncertainty sets rather than the actual
|
| 659 |
+
wrong symbols at intermediate stages. This permits separate
|
| 660 |
+
consistent choices in each bounded dependency cone.
|
| 661 |
+
|
| 662 |
+
The alternating local decoding strategy is classical; see
|
| 663 |
+
Z\'emor~\cite[Section~III-A, Lemma~5 and Theorem~6]{Zemor2001}.
|
| 664 |
+
The proofs below supply the vector-space, repeated-edge,
|
| 665 |
+
value-independent-support, and finite-cone refinements needed here,
|
| 666 |
+
rather than invoking that result verbatim.
|
| 667 |
+
|
| 668 |
+
For a \(Y\) block, a column fixes a retained point or line and all slot
|
| 669 |
+
masks, including line coefficient masks. At that column, varying the
|
| 670 |
+
edge gives a row codeword of \(J\)-symbols in the reference encoding.
|
| 671 |
+
The binary data for one such symbol form its Hadamard table, including
|
| 672 |
+
all repetition copies; we call this its \emph{inner table}. The first
|
| 673 |
+
lemma controls uncertainty in these row-code positions without examining
|
| 674 |
+
the uncertain symbols' values.
|
| 675 |
+
|
| 676 |
+
\begin{lemma}[One-axis support contraction]
|
| 677 |
+
\label{ib:one-axis-support}
|
| 678 |
+
For the row code above, set
|
| 679 |
+
\[
|
| 680 |
+
t_* =\lfloor c_e/2\rfloor+1,\qquad
|
| 681 |
+
\vartheta=t_*/d_e\ge1/8,\qquad \zeta_*=1/256.
|
| 682 |
+
\]
|
| 683 |
+
Starting with an uncertain edge set of density
|
| 684 |
+
\(\zeta\le\zeta_*\), a constant number of alternating local
|
| 685 |
+
decoding half-rounds leaves an arbitrarily small fixed uncertain
|
| 686 |
+
edge density. The resulting support depends only on the starting
|
| 687 |
+
uncertainty set and contains every possible output error for every
|
| 688 |
+
assignment equal to the reference codeword off that set. This holds
|
| 689 |
+
for symbols in any finite-dimensional \(J\)-space.
|
| 690 |
+
\end{lemma}
|
| 691 |
+
|
| 692 |
+
\begin{proof}
|
| 693 |
+
At a star decode to the unique local codeword within
|
| 694 |
+
\(t_*-1=\lfloor c_e/2\rfloor\) errors, if it exists; otherwise
|
| 695 |
+
output zero on that star. Distance \(c_e+1\) gives uniqueness.
|
| 696 |
+
This decoder uses a bounded number of linear symbol operations and
|
| 697 |
+
symbol-equality decisions: enumerate the information sets of size
|
| 698 |
+
\(d_e-c_e\), solve using the complementary invertible minor,
|
| 699 |
+
and count agreements with each candidate. There are constantly
|
| 700 |
+
many such choices.
|
| 701 |
+
|
| 702 |
+
On a half-round mark a star bad if it meets at least \(t_*\)
|
| 703 |
+
currently uncertain edges, and declare all edges incident to bad
|
| 704 |
+
stars possibly uncertain afterward. Every other star decodes
|
| 705 |
+
correctly, regardless of the values on uncertain edges. The first
|
| 706 |
+
bad-star fraction is at most \(\zeta/\vartheta\le8\zeta\).
|
| 707 |
+
If \(x\) and \(y\) are consecutive bad-star fractions on opposite
|
| 708 |
+
sides, the new bad stars receive at least a \(\vartheta\) fraction
|
| 709 |
+
of their incident edges from the preceding bad stars. Expander
|
| 710 |
+
mixing with multiplicities gives
|
| 711 |
+
\begin{equation}
|
| 712 |
+
\vartheta y\le xy+\lambda\sqrt{xy}.
|
| 713 |
+
\label{ib:mixing-contraction}
|
| 714 |
+
\end{equation}
|
| 715 |
+
When \(x\le\vartheta/2\), either \(y=0\), or division and
|
| 716 |
+
squaring imply
|
| 717 |
+
\[
|
| 718 |
+
y\le(2\lambda/\vartheta)^2x\le x/16.
|
| 719 |
+
\]
|
| 720 |
+
Since \(8\zeta_*\le\vartheta/2\), induction applies at every
|
| 721 |
+
subsequent half-round. The current edge-support fraction equals
|
| 722 |
+
the latest bad-star fraction. A constant number of half-rounds
|
| 723 |
+
therefore gives any prescribed fixed residual density. Every
|
| 724 |
+
support operation used only sets of uncertain positions, proving
|
| 725 |
+
the value-independent assertion.
|
| 726 |
+
\end{proof}
|
| 727 |
+
|
| 728 |
+
For a \(Z\) block, a column fixes both retained points, their slot
|
| 729 |
+
masks, and \(Q\). Its row position is a joint pair of edges, and its
|
| 730 |
+
inner table consists of the multiplier pairs and repetition copies.
|
| 731 |
+
The reference multiplier tables obey row constraints along each edge
|
| 732 |
+
axis, but the two axes use different scalar actions. We verify these
|
| 733 |
+
actions before applying a two-axis contraction.
|
| 734 |
+
|
| 735 |
+
For \(Z\), the relevant symbol alphabet is the additive group
|
| 736 |
+
\(\mathcal B_{\rm mul}\) of all binary bilinear functions
|
| 737 |
+
\(F:J\times J\to\F_2\). It carries two commuting \(J\)-space
|
| 738 |
+
structures
|
| 739 |
+
\begin{equation}
|
| 740 |
+
(a\cdot_1F)(b_1,b_2)=F(ab_1,b_2),\qquad
|
| 741 |
+
(a\cdot_2F)(b_1,b_2)=F(b_1,ab_2).
|
| 742 |
+
\label{ib:two-actions}
|
| 743 |
+
\end{equation}
|
| 744 |
+
Additivity in each argument and the field laws verify the vector
|
| 745 |
+
space axioms and commutation. Distinct such functions differ on
|
| 746 |
+
at least \(1/4\) of uniform multiplier pairs. Fixing the two
|
| 747 |
+
outer points, the original slot masks, and \(Q\) makes the true
|
| 748 |
+
multiplier tables across edge pairs a two-axis codeword. For
|
| 749 |
+
example the first-axis relation with coefficients \(a_j\) is
|
| 750 |
+
\[
|
| 751 |
+
\sum_j Q\bigl(\pi(b_1a_jY_{1,j}),\pi(b_2Y_2)\bigr)
|
| 752 |
+
=Q\bigl(\pi(b_1\sum_j a_jY_{1,j}),\pi(b_2Y_2)\bigr)=0.
|
| 753 |
+
\]
|
| 754 |
+
The second-axis relation is identical with the roles exchanged.
|
| 755 |
+
The next lemma permits precisely these two possibly different space
|
| 756 |
+
structures.
|
| 757 |
+
|
| 758 |
+
\begin{lemma}[Two-axis support contraction and cone consistency]
|
| 759 |
+
\label{ib:two-axis-support}
|
| 760 |
+
Consider an array on two edge axes whose reference obeys the row
|
| 761 |
+
code in each slice, with possibly different \(J\)-space structures
|
| 762 |
+
on the same additive symbol group for the two axes. Put
|
| 763 |
+
\(\zeta_{**}=\zeta_*^2/4\). From initial uncertainty density at
|
| 764 |
+
most \(\zeta_{**}\), a constant number of first-axis half-rounds
|
| 765 |
+
followed by a constant number of second-axis half-rounds leaves any
|
| 766 |
+
prescribed fixed residual density. The uncertainty support is
|
| 767 |
+
value-independent. For one output position, the same guarantee
|
| 768 |
+
holds when arbitrary values are chosen on initially uncertain
|
| 769 |
+
positions specifically for its finite dependency cone, provided
|
| 770 |
+
each repeated initial position receives one consistent value inside
|
| 771 |
+
that cone.
|
| 772 |
+
\end{lemma}
|
| 773 |
+
|
| 774 |
+
\begin{proof}
|
| 775 |
+
First-axis slices with uncertainty density greater than
|
| 776 |
+
\(\zeta_*\) occupy at most a \(\zeta_*/4\) fraction. Keep these
|
| 777 |
+
whole stripes uncertain. On all other slices use
|
| 778 |
+
Lemma~\ref{ib:one-axis-support} to make residual density at most
|
| 779 |
+
\(\delta_1\). In all but \(2\delta_1/\zeta_*\) of the
|
| 780 |
+
second-axis slices, the additional residual outside these stripes
|
| 781 |
+
has density at most \(\zeta_*/2\). Such a slice starts with
|
| 782 |
+
uncertainty at most \(3\zeta_*/4<\zeta_*\). Contract it to
|
| 783 |
+
\(\delta_2\), leaving all other second-axis slices uncertain.
|
| 784 |
+
The final density is at most
|
| 785 |
+
\[
|
| 786 |
+
2\delta_1/\zeta_*+\delta_2,
|
| 787 |
+
\]
|
| 788 |
+
which is arbitrarily small. Intermediate arrays need not satisfy
|
| 789 |
+
both slice constraints: each phase is compared to the fixed
|
| 790 |
+
reference and uses its appropriate space structure only.
|
| 791 |
+
|
| 792 |
+
A fixed number of rounds and constant degree give a finite
|
| 793 |
+
dependency cone. Extend any consistent assignment in that cone
|
| 794 |
+
arbitrarily to the other uncertain initial positions, retaining the
|
| 795 |
+
reference elsewhere. The global support statement applies to this
|
| 796 |
+
extension and determines the same output. Separate cones may use
|
| 797 |
+
different values on their uncertain inputs; no common assignment
|
| 798 |
+
between cones is needed.
|
| 799 |
+
\end{proof}
|
| 800 |
+
|
| 801 |
+
\subsection{Bit simulation of a finite decoding cone}
|
| 802 |
+
\label{ib:cone-simulation}
|
| 803 |
+
|
| 804 |
+
\begin{lemma}[Inner-table flags and arbitrary-form prediction]
|
| 805 |
+
\label{ib:inner-table-prediction}
|
| 806 |
+
There are constants \(0<\nu_1<\nu_2<1/64\), independent of the
|
| 807 |
+
number of row rounds, with the following properties. For a table
|
| 808 |
+
of bits, including its actual repetition copies, one can distinguish
|
| 809 |
+
distance at most \(\nu_1\) from a legal inner table from distance
|
| 810 |
+
greater than \(\nu_2\) from every legal inner table, with any
|
| 811 |
+
prescribed fixed reliability and bounded smooth queries. The legal
|
| 812 |
+
inner tables are either Hadamard tables of \(J\)-symbols or binary
|
| 813 |
+
bilinear functions on \(J\times J\). Inside radius \(\nu_2\)
|
| 814 |
+
the legal symbol is unique, and any specified bit of it can be
|
| 815 |
+
predicted with arbitrarily high fixed reliability by bounded queries
|
| 816 |
+
with uniform inner-index and copy marginals. The specified form or
|
| 817 |
+
multiplier pair may be any function of previously exposed data;
|
| 818 |
+
the assertion holds conditional on those data, using fresh randomness.
|
| 819 |
+
\end{lemma}
|
| 820 |
+
|
| 821 |
+
\begin{proof}
|
| 822 |
+
Random-copy agreement and binary addition, or the two-axis binary
|
| 823 |
+
tests, are perfectly complete. Lemma~\ref{ib:axis-replacement},
|
| 824 |
+
together with the majority replacement of copies, gives a
|
| 825 |
+
dimension- and copy-count-independent positive rejection lower
|
| 826 |
+
bound \(\gamma_2\) at distance greater than a fixed \(\nu_2\)
|
| 827 |
+
from every legal inner table. If this failed, a sequence of such
|
| 828 |
+
tables with rejection tending to zero would contradict that lemma.
|
| 829 |
+
Near a legal table, smoothness bounds rejection by \(C_2\) times
|
| 830 |
+
distance, with an absolute \(C_2\). Choose
|
| 831 |
+
\(\nu_1<\min(\nu_2,\gamma_2/(4C_2))\). Estimating rejection
|
| 832 |
+
from independent trials and comparing with \(\gamma_2/2\)
|
| 833 |
+
distinguishes the two promised cases with any fixed reliability;
|
| 834 |
+
Chebyshev's inequality suffices to choose a bounded sample count.
|
| 835 |
+
The intermediate annulus may be assigned either flag.
|
| 836 |
+
|
| 837 |
+
Distinct Hadamard tables differ on half their forms. Distinct
|
| 838 |
+
bilinear functions differ on at least a quarter of multiplier
|
| 839 |
+
pairs. Repetition preserves these distances, proving uniqueness
|
| 840 |
+
within \(\nu_2\). For a specified Hadamard form \(\mu\), choose
|
| 841 |
+
uniform \(\alpha\), query random copies at \(\alpha\) and
|
| 842 |
+
\(\mu+\alpha\), and XOR. Each query is uniform in its inner
|
| 843 |
+
index, so one trial errs with probability at most \(2\nu_2\).
|
| 844 |
+
For a bilinear table at specified \((b_1,b_2)\), choose independent
|
| 845 |
+
uniform \(r_1,r_2\) and use
|
| 846 |
+
\begin{align*}
|
| 847 |
+
F(b_1,b_2)={}&F(r_1,r_2)+F(b_1+r_1,r_2)\\
|
| 848 |
+
&+F(r_1,b_2+r_2)+F(b_1+r_1,b_2+r_2).
|
| 849 |
+
\end{align*}
|
| 850 |
+
Each pair is jointly uniform, with a fresh random copy, and the
|
| 851 |
+
error probability is at most \(4\nu_2<1/16\). Independent
|
| 852 |
+
repetition and majority give any desired fixed error. These bounds
|
| 853 |
+
hold for every specified bit, so remain valid after conditioning
|
| 854 |
+
on all prior data if the splits and copies are fresh.
|
| 855 |
+
\end{proof}
|
| 856 |
+
|
| 857 |
+
\begin{lemma}[Consistent bit simulation]
|
| 858 |
+
\label{ib:bit-simulation}
|
| 859 |
+
Fix a finite cone of one- or two-axis row decoding, a reference satisfying
|
| 860 |
+
the corresponding row constraints, and a requested bit of the output
|
| 861 |
+
symbol. For analysis, declare an initial position uncertain when its
|
| 862 |
+
received inner table is more than \(\nu_1\) from its reference table,
|
| 863 |
+
and propagate this set by the support rules above. With bounded bit
|
| 864 |
+
queries the requested bit can be simulated to any fixed error probability
|
| 865 |
+
\(\sigma>0\), on a consistent assignment of initially uncertain
|
| 866 |
+
symbols that agrees with the reference at every initial table
|
| 867 |
+
within \(\nu_1\) of its true inner table. If the output position lies
|
| 868 |
+
outside the value-independent support, the predicted bit equals its
|
| 869 |
+
reference bit except with probability \(\sigma\). All hidden operations are bit equalities
|
| 870 |
+
and requested bits; field coefficients and address computations
|
| 871 |
+
are public. The routine is bounded and defined on arbitrary words.
|
| 872 |
+
\end{lemma}
|
| 873 |
+
|
| 874 |
+
\begin{proof}
|
| 875 |
+
List the cone's initial positions and deduplicate repeated positions
|
| 876 |
+
within that cone. Flag each distinct table once by
|
| 877 |
+
Lemma~\ref{ib:inner-table-prediction}, calling the far outcome
|
| 878 |
+
flagged, and assign flagged positions the zero symbol. At an
|
| 879 |
+
unflagged table within \(\nu_2\) of a legal table, assign its
|
| 880 |
+
unique nearby symbol. Choose the flag reliability so that, except
|
| 881 |
+
with a prescribed small probability, every table within \(\nu_1\)
|
| 882 |
+
of its true symbol is unflagged and no table farther than \(\nu_2\)
|
| 883 |
+
from all legal symbols is unflagged. On this event the assignment
|
| 884 |
+
is well-defined and consistent inside the cone. Certain inputs
|
| 885 |
+
receive their true symbols: a competing symbol within \(\nu_2\)
|
| 886 |
+
would contradict inner distance. The remaining assignments,
|
| 887 |
+
including arbitrary choices in the gap annulus, are permitted by
|
| 888 |
+
Lemmas~\ref{ib:one-axis-support} and~\ref{ib:two-axis-support}.
|
| 889 |
+
|
| 890 |
+
There is no need to recover the assigned symbols in full. Unfold
|
| 891 |
+
the finite symbol-level decision tree for information-set decoding,
|
| 892 |
+
agreement counts, and fallback-zero outcomes. On each fixed branch
|
| 893 |
+
every candidate, comparison, and output is a linear expression in
|
| 894 |
+
the assigned initial symbols. For two axes these expressions are
|
| 895 |
+
sums of compositions of the two scalar actions
|
| 896 |
+
\eqref{ib:two-actions}. Their coefficients are obtained publicly
|
| 897 |
+
from the fixed local matrices and the finite branch choices.
|
| 898 |
+
|
| 899 |
+
A false symbol equality is detected by a fresh uniform Hadamard
|
| 900 |
+
form with probability \(1/2\), or by a fresh uniform multiplier
|
| 901 |
+
pair with probability at least \(1/4\). Each resulting bit of a
|
| 902 |
+
linear expression reduces, by additivity and scalar pullback, to
|
| 903 |
+
a bounded number of specified bits of the initial assigned tables.
|
| 904 |
+
Use Lemma~\ref{ib:inner-table-prediction} on unflagged inputs and
|
| 905 |
+
public zero on flagged inputs. Independent equality trials make
|
| 906 |
+
the chance of missing a false equality arbitrarily small; an exact
|
| 907 |
+
equality fails only if one of its input-bit predictions fails.
|
| 908 |
+
The requested final output bit is handled in the same manner.
|
| 909 |
+
|
| 910 |
+
The order of choices prevents circular error bookkeeping. First
|
| 911 |
+
fix the row rounds and the complete finite symbol-level tree.
|
| 912 |
+
Next choose flag and equality-detection budgets for its bounded
|
| 913 |
+
number of possible decisions. This fixes the number of
|
| 914 |
+
initial-bit predictions needed in each tested expression. Then
|
| 915 |
+
choose their smaller error budgets and their repetitions. Given
|
| 916 |
+
successful flags, every later specified bit has the uniform
|
| 917 |
+
worst-request guarantee of the previous lemma conditional on prior
|
| 918 |
+
answers, using fresh splits after all scalar pullbacks. A union
|
| 919 |
+
bound, or conditioning successively on the preceding correct
|
| 920 |
+
symbol-level decisions, bounds total simulation error by
|
| 921 |
+
\(\sigma\). We do not choose the same budgets by union-bounding
|
| 922 |
+
over the later amplified bit tree. After all choices that full
|
| 923 |
+
tree is nevertheless finite and bounded. When a promise fails,
|
| 924 |
+
the same finite comparisons and fallback-zero rules still define
|
| 925 |
+
an output; only correctness is relinquished.
|
| 926 |
+
\end{proof}
|
| 927 |
+
|
| 928 |
+
\subsection{Arbitrarily accurate average correction}
|
| 929 |
+
\label{ib:average-correction-section}
|
| 930 |
+
|
| 931 |
+
For a point \(Y\) request its \emph{outer index} means its row
|
| 932 |
+
edge together with its retained point; for a line \(Y\) request
|
| 933 |
+
it means its edge and retained ordered line. For \(Z\) it means
|
| 934 |
+
the \emph{joint pair} of edge/point indices. A request law has
|
| 935 |
+
density at most \(C_{\rm req}\) within its block when its outer
|
| 936 |
+
index probability is at most \(C_{\rm req}\) times the corresponding
|
| 937 |
+
uniform probability. Every other requested mask, form, or multiplier
|
| 938 |
+
may be an arbitrary public function of the request.
|
| 939 |
+
|
| 940 |
+
Call a binary word \emph{structurally canonical} if it is obtained from
|
| 941 |
+
the canonical recipes of Lemma~\ref{lem:inner-algebra-interface} at a
|
| 942 |
+
specified frame, mode, progress, and arbitrary Boolean tape, followed by
|
| 943 |
+
the point, line, row-extension, product, and repetition constructions
|
| 944 |
+
above. The tape need not satisfy the final validity conditions. Such a
|
| 945 |
+
word nevertheless satisfies the row-code, covariance, and multilinear
|
| 946 |
+
mask identities and has exactly the prescribed product tables.
|
| 947 |
+
|
| 948 |
+
\begin{proposition}[Average correction from one fixed radius]
|
| 949 |
+
\label{ib:average-correction}
|
| 950 |
+
For every fixed template there is \(\rho>0\) such that the following
|
| 951 |
+
holds for all sufficiently large sizes. Let a received balanced
|
| 952 |
+
word \(w\) satisfy \(\dist(w,\mathcal W)\le\rho\), where
|
| 953 |
+
\(\mathcal W\) is structurally canonical; validity of its label
|
| 954 |
+
is not needed here. For every fixed \(C_{\rm req}<\infty\) and
|
| 955 |
+
\(\eta>0\), a bounded-bit algorithm predicts requests with outer
|
| 956 |
+
density at most \(C_{\rm req}\) with average error at most \(\eta\).
|
| 957 |
+
It has smooth potential raw reads on every fixed hypothetical answer
|
| 958 |
+
branch. The radius is independent of \(C_{\rm req}\), \(\eta\),
|
| 959 |
+
the row-round count, and the subsequent amplification count.
|
| 960 |
+
\end{proposition}
|
| 961 |
+
|
| 962 |
+
\begin{proof}
|
| 963 |
+
Use the constants \(\nu_1,\nu_2\) already chosen, and put
|
| 964 |
+
\(\zeta=\min(\zeta_*,\zeta_{**})\). Use the column and inner-table
|
| 965 |
+
descriptions in Section~\ref{ib:uncertainty}: rows are edges for \(Y\) and edge pairs
|
| 966 |
+
for \(Z\). Call an initial row position uncertain if its received inner
|
| 967 |
+
table is more than \(\nu_1\) from its reference table.
|
| 968 |
+
|
| 969 |
+
Each block has error fraction at most \(b_\#\rho\). If
|
| 970 |
+
\(u_{\rm unc}\) is the uncertain edge fraction in a uniform
|
| 971 |
+
column, or pair fraction for \(Z\), then
|
| 972 |
+
\begin{equation}
|
| 973 |
+
\E u_{\rm unc}\le\frac{b_\#\rho}{\nu_1}.
|
| 974 |
+
\label{ib:uncertain-average}
|
| 975 |
+
\end{equation}
|
| 976 |
+
Call columns with \(u_{\rm unc}>\zeta\) bad. Their fraction is
|
| 977 |
+
at most \(b_\#\rho/(\nu_1\zeta)\). On every other column,
|
| 978 |
+
choose enough rounds in the support lemmas to leave uncertainty
|
| 979 |
+
fraction at most \(\delta'>0\), whose value will be fixed later.
|
| 980 |
+
No residual-support claim is made on bad columns.
|
| 981 |
+
|
| 982 |
+
For a \(Y\) request, independently split all its slot masks,
|
| 983 |
+
including the line coefficient masks, and expand. Keep its
|
| 984 |
+
specified Hadamard form as the inner bit request. For each expanded
|
| 985 |
+
term choose independent uniform \(h\in\mathcal H\) and replace
|
| 986 |
+
the row/outer pair by
|
| 987 |
+
\begin{equation}
|
| 988 |
+
(i,g,I)\longmapsto(i,gh,h^{-1}I).
|
| 989 |
+
\label{ib:random-shift}
|
| 990 |
+
\end{equation}
|
| 991 |
+
Covariance preserves the true value. For a \(Z\) request split
|
| 992 |
+
both slot-mask lists and \(Q\), expand, and shift its two row/outer
|
| 993 |
+
indices independently by \eqref{ib:random-shift}. Keep the
|
| 994 |
+
specified multipliers as its inner bit request. Let \(T_0\) be
|
| 995 |
+
a fixed common upper bound on the expansion count, determined by
|
| 996 |
+
the template, before any accuracy choices.
|
| 997 |
+
|
| 998 |
+
For each fixed original request, every term has a uniform column:
|
| 999 |
+
the relevant \(\mathcal H\)-action is transitive and all its
|
| 1000 |
+
column-mask axes have been independently randomized. In \(Z\)
|
| 1001 |
+
the two independent shifts give the uniform pair of outer points.
|
| 1002 |
+
Choose the radius once and for all so that
|
| 1003 |
+
\begin{equation}
|
| 1004 |
+
\frac{T_0b_\#\rho}{\nu_1\zeta}\le\frac1{64}.
|
| 1005 |
+
\label{ib:fixed-radius}
|
| 1006 |
+
\end{equation}
|
| 1007 |
+
Then, for every individual request, the chance that any term uses
|
| 1008 |
+
a bad column is at most \(1/64\). This conclusion does not assume
|
| 1009 |
+
that the shifted row is independent of the shifted outer point.
|
| 1010 |
+
|
| 1011 |
+
For every fixed shift, \eqref{ib:random-shift} is a permutation
|
| 1012 |
+
of the complete row/outer index; the independent pair of shifts
|
| 1013 |
+
is a permutation of the complete \(Z\) index. Thus averaging
|
| 1014 |
+
over an outer-density-\(C_{\rm req}\) request law preserves that
|
| 1015 |
+
density bound. Expanded column masks are uniform conditional on
|
| 1016 |
+
the indices. The mean chance of hitting the good-column residual
|
| 1017 |
+
support in any of the terms is consequently at most
|
| 1018 |
+
\(T_0C_{\rm req}\delta'\). By Markov's inequality, outside an
|
| 1019 |
+
exceptional fraction at most \(8T_0C_{\rm req}\delta'\) of
|
| 1020 |
+
original requests, the conditional sum of those residual-hit
|
| 1021 |
+
probabilities is at most \(1/8\).
|
| 1022 |
+
|
| 1023 |
+
Bit-simulate every term's row cone by
|
| 1024 |
+
Lemma~\ref{ib:bit-simulation}, with total simulation error at most
|
| 1025 |
+
\(1/64\). On any nonexceptional request, the full randomized
|
| 1026 |
+
XOR trial therefore errs with probability at most
|
| 1027 |
+
\[
|
| 1028 |
+
\frac1{64}+\frac18+\frac1{64}=\frac5{32}<\frac14.
|
| 1029 |
+
\]
|
| 1030 |
+
Cone-specific assignments are sufficient because the support bounds
|
| 1031 |
+
cover every consistent assignment in each cone. Choose
|
| 1032 |
+
\(\delta'\) so that \(8T_0C_{\rm req}\delta'\le\eta/2\).
|
| 1033 |
+
This determines a constant row-round count. Repeat the entire
|
| 1034 |
+
trial independently at the fixed request, including shifts, flags,
|
| 1035 |
+
and all predictions, and take majority. A bounded number of
|
| 1036 |
+
repetitions makes its error at each nonexceptional request at most
|
| 1037 |
+
\(\eta/2\). Adding the exceptional fraction proves average error
|
| 1038 |
+
at most \(\eta\) from the fixed radius \eqref{ib:fixed-radius}.
|
| 1039 |
+
This proves an average guarantee, and makes no assertion of
|
| 1040 |
+
arbitrarily accurate correction at every prescribed outer index.
|
| 1041 |
+
Smoothness is proved in the next lemma.
|
| 1042 |
+
\end{proof}
|
| 1043 |
+
|
| 1044 |
+
\begin{lemma}[All hypothetical read slots are smooth]
|
| 1045 |
+
\label{ib:all-branch-density}
|
| 1046 |
+
For the tester, the corrector of
|
| 1047 |
+
Proposition~\ref{ib:average-correction}, and the finite linear
|
| 1048 |
+
compositions used below, use their stated bounded outer-index request
|
| 1049 |
+
laws, with joint pair density for \(Z\). Freeze any hypothetical sequence
|
| 1050 |
+
of hidden answer bits. Under the original, unconditioned public random tape
|
| 1051 |
+
and request law, the raw-read subdistribution of every potential
|
| 1052 |
+
slot has bounded density relative to its balanced input block.
|
| 1053 |
+
After all accuracy counts have been fixed, the sum of these bounds
|
| 1054 |
+
over the complete finite answer tree is a constant independent of
|
| 1055 |
+
the size. Defaults, wrong flags, and wrong equality answers satisfy
|
| 1056 |
+
the same assertion. Public numerical thresholds that only select
|
| 1057 |
+
among these fixed schedules do not change the bound.
|
| 1058 |
+
\end{lemma}
|
| 1059 |
+
|
| 1060 |
+
\begin{proof}
|
| 1061 |
+
First enumerate every potential initial row-cone \emph{path slot},
|
| 1062 |
+
including all candidate uses, before deduplication. A term's
|
| 1063 |
+
initial covariance shift is the joint permutation
|
| 1064 |
+
\eqref{ib:random-shift}. A fixed row-star path subsequently changes
|
| 1065 |
+
the edge label among finitely many possibilities and multiplies
|
| 1066 |
+
\(g\) on the left by a fixed group element. A right-star move
|
| 1067 |
+
from label \(i\) to \(j\), for example, uses
|
| 1068 |
+
\(g\mapsto u_j^{-1}u_i g\). Each such map is a permutation
|
| 1069 |
+
within a fixed edge-label class, so costs only a fixed label factor
|
| 1070 |
+
in a density bound. In a two-axis cone the same reasoning applies
|
| 1071 |
+
separately to each axis and preserves the joint pair bound.
|
| 1072 |
+
Consequently each enumerated path slot has a fixed density bound.
|
| 1073 |
+
|
| 1074 |
+
Deduplication, representative selection, and omission of unused
|
| 1075 |
+
terms only decide whether an already enumerated slot is read.
|
| 1076 |
+
Its resulting unconditioned subdistribution is dominated by the
|
| 1077 |
+
original slot distribution. We never condition and renormalize
|
| 1078 |
+
on the event that this slot was chosen as a representative or that
|
| 1079 |
+
its flag had a specified outcome. Summing the bounds of all
|
| 1080 |
+
potential slots, including unexecuted ones, bounds their complete
|
| 1081 |
+
occurrence count. A flagged, failed, or unused zero value is public
|
| 1082 |
+
zero and requires no placeholder query at a special address.
|
| 1083 |
+
|
| 1084 |
+
On a frozen symbolic branch, all information-set interpolation
|
| 1085 |
+
matrices depend only on \(H_L,H_R\) and public graph indices.
|
| 1086 |
+
The relevant inverses exist by their maximal-minor property.
|
| 1087 |
+
The coefficients of all selected linear expressions, including
|
| 1088 |
+
the compositions of \eqref{ib:two-actions}, can therefore be
|
| 1089 |
+
computed publicly. Hidden work is only the bounded equality and
|
| 1090 |
+
output-bit calls described in Lemma~\ref{ib:bit-simulation}.
|
| 1091 |
+
Their specified forms and multiplier pairs may depend on every
|
| 1092 |
+
frozen answer, public coefficient, and preceding random choice.
|
| 1093 |
+
Fresh splits \emph{after} these pullbacks give uniform raw inner
|
| 1094 |
+
forms or jointly uniform multiplier pairs conditional on all that
|
| 1095 |
+
information. Zero coefficients can be split as well, or omitted.
|
| 1096 |
+
Fresh uniform copies give the required copy marginal. Wrong
|
| 1097 |
+
answers change the selected expression, but introduce no new type
|
| 1098 |
+
of row-cone path.
|
| 1099 |
+
|
| 1100 |
+
The tester's schedules were explicitly smooth before replacements.
|
| 1101 |
+
The neighbor compositions below use finite lists of commuting
|
| 1102 |
+
affine column permutations and changes between fixed block types,
|
| 1103 |
+
so the same argument adds only fixed type factors. Dropping a
|
| 1104 |
+
public operand takes a marginal of a joint law, which also
|
| 1105 |
+
preserves a density bound. Finally freeze all simulation and
|
| 1106 |
+
amplification counts, unfold the full raw bit tree, and sum these
|
| 1107 |
+
finitely many bounds. This tree may be large, but is constant at
|
| 1108 |
+
the chosen accuracy. A later threshold offset that selects its
|
| 1109 |
+
branches changes neither its slot count nor these public address
|
| 1110 |
+
maps. The assertion concerns the unconditioned schedules for
|
| 1111 |
+
all branches, not correctness on unsuccessful branches.
|
| 1112 |
+
\end{proof}
|
| 1113 |
+
|
| 1114 |
+
The request statement also applies to a subdistribution within a
|
| 1115 |
+
type: pad its missing mass by the uniform law, which increases a
|
| 1116 |
+
density bound by at most 1, and charge the original subdistribution
|
| 1117 |
+
by the resulting error bound. A bounded list of type or branch
|
| 1118 |
+
choices is handled by adding their bounds and error budgets.
|
| 1119 |
+
This does not normalize on a rare branch. Likewise, if a mixed
|
| 1120 |
+
product has a public operand, a joint density
|
| 1121 |
+
\(p(x,y)\le C/(\abs X\abs Y)\) implies
|
| 1122 |
+
\begin{equation}
|
| 1123 |
+
\sum_y p(x,y)\le C/\abs X.
|
| 1124 |
+
\label{ib:public-marginal}
|
| 1125 |
+
\end{equation}
|
| 1126 |
+
The surviving \(x\) is the complete edge/point index, not only
|
| 1127 |
+
its point. The requested form
|
| 1128 |
+
\(u\mapsto Q(\pi(b_1u),\pi(b_2v_{\rm public}(y)))\) may depend
|
| 1129 |
+
on the discarded index; it does not select a new surviving index.
|
| 1130 |
+
One may forget an actual repetition-copy index and choose a fresh
|
| 1131 |
+
uniform copy in the corresponding one-port block. This changes
|
| 1132 |
+
only the fixed block-weight factor, not the original-index bound.
|
| 1133 |
+
|
| 1134 |
+
All public supports used here have polynomial cardinality for fixed
|
| 1135 |
+
accuracy. Groups, retained points and lines, representation fibers,
|
| 1136 |
+
fields, masks, forms, and copy sets are polynomial-listable; only a
|
| 1137 |
+
constant number of independent draws is used. Their sampling laws
|
| 1138 |
+
are rational. Public indices, coefficient operations, and the
|
| 1139 |
+
bounded Boolean answer tables can be enumerated in polynomial time.
|
| 1140 |
+
Neither a hidden field symbol nor a hidden array is processed as one
|
| 1141 |
+
unit-cost query.
|
| 1142 |
+
|
| 1143 |
+
\subsection{Neighbor bits and global port recovery}
|
| 1144 |
+
\label{ib:neighbors-recovery}
|
| 1145 |
+
|
| 1146 |
+
\begin{proposition}[Local flags and encoded neighbors]
|
| 1147 |
+
\label{ib:neighbors}
|
| 1148 |
+
Within a sufficiently small fixed radius of a valid canonical word,
|
| 1149 |
+
one can decide its incident-edge flags with arbitrarily high fixed
|
| 1150 |
+
reliability, and supply its own bits and those of every existing
|
| 1151 |
+
neighbor with arbitrarily small average error for bounded-density
|
| 1152 |
+
requests. The number of bit probes is bounded at each accuracy.
|
| 1153 |
+
The complete hypothetical answer tree, including wrong decisions
|
| 1154 |
+
and missing-edge defaults, satisfies
|
| 1155 |
+
Lemma~\ref{ib:all-branch-density}.
|
| 1156 |
+
\end{proposition}
|
| 1157 |
+
|
| 1158 |
+
\begin{proof}
|
| 1159 |
+
Reduce \(\rho\) if needed to lie below half the distance of
|
| 1160 |
+
Proposition~\ref{ib:tester}; a nearby valid label is then unique.
|
| 1161 |
+
Use average correction at uniform systematic edge/point positions
|
| 1162 |
+
to read the mode and the needed critical-bit projections of
|
| 1163 |
+
Lemma~\ref{lem:inner-algebra-interface}. At full progress the
|
| 1164 |
+
all-ones contraction of the relevant singleton stack is a constant
|
| 1165 |
+
polynomial equal to its critical Boolean read. Use a specified
|
| 1166 |
+
additive form taking 1 to 1; its actual raw queries are smoothed by
|
| 1167 |
+
the corrector. Such uniform systematic requests have bounded
|
| 1168 |
+
outer density even though the logical read itself has a sparse
|
| 1169 |
+
public address.
|
| 1170 |
+
|
| 1171 |
+
Compare the progress marker with its public empty and full tensors
|
| 1172 |
+
by uniform separable masks and bit forms at systematic points.
|
| 1173 |
+
On the true constant tensors a false equality has a fixed gap by
|
| 1174 |
+
successive nonzero contractions. Corrected probes and sufficiently
|
| 1175 |
+
many repetitions distinguish these cases with arbitrary fixed
|
| 1176 |
+
reliability. Together with mode and the full-progress critical
|
| 1177 |
+
bits, including the wrap predicate, these are exactly the finite
|
| 1178 |
+
decisions required by the path transition rules. Explicitly, a
|
| 1179 |
+
pre successor increases progress unless full; at full it performs
|
| 1180 |
+
the enabled edit or has a missing wrap edge. A post successor
|
| 1181 |
+
decreases progress unless empty; at empty it advances the frame.
|
| 1182 |
+
For predecessors, full post reverses the edit or has the missing
|
| 1183 |
+
wrap edge, other post reverses a decrease, positive-progress pre
|
| 1184 |
+
reverses an increase, and empty pre reverses a frame advance.
|
| 1185 |
+
An increase also distinguishes empty progress for initialization.
|
| 1186 |
+
There is no scan of the full progress index and no proposed-tape
|
| 1187 |
+
validity test.
|
| 1188 |
+
|
| 1189 |
+
Fix the true Boolean transition branch of an existing edge. The
|
| 1190 |
+
algebraic interface expresses every updated contraction as a
|
| 1191 |
+
bounded sum of public terms and public scalar multiples of old
|
| 1192 |
+
contractions at invertible \(K\)-affine pullbacks of the common
|
| 1193 |
+
target. Slot pulls and scalars are independent of the target point
|
| 1194 |
+
and row. The pullbacks commute with the rectangular action, so
|
| 1195 |
+
they commute through the common row encoder as column permutations.
|
| 1196 |
+
Public initialization terms have publicly computable actual
|
| 1197 |
+
parity values. Thus each requested point \(Y\) bit is an XOR
|
| 1198 |
+
of boundedly many input \(Y\) requests with specified masks and
|
| 1199 |
+
forms at bounded-density indices. For line \(Y\), the affine
|
| 1200 |
+
map preserves the line parameter, so the identical argument applies
|
| 1201 |
+
to the separable coefficient contractions
|
| 1202 |
+
\eqref{ib:line-bit}. The derivative update uses the separately
|
| 1203 |
+
stored child and its summed new-axis stack; it does not recompute
|
| 1204 |
+
native packing, polynomial division, or coefficient extraction
|
| 1205 |
+
from a requested line or parity symbol.
|
| 1206 |
+
|
| 1207 |
+
For a \(Z\) bit insert the two \(Y\) update sums into
|
| 1208 |
+
\eqref{ib:product-bit} and expand by bilinearity. Two variable
|
| 1209 |
+
terms give an available input \(Z\) block by tag compatibility;
|
| 1210 |
+
absorb public coefficients into multipliers or masks. The two
|
| 1211 |
+
row/point coordinates undergo separate affine column permutations,
|
| 1212 |
+
with their rows fixed. This preserves their joint density even
|
| 1213 |
+
when the two input types coincide: their two positions are still
|
| 1214 |
+
distinct coordinates of the product domain, never identified into
|
| 1215 |
+
a diagonal. A term with one public operand is an arbitrary
|
| 1216 |
+
specified binary linear form of the other \(J\)-symbol, and
|
| 1217 |
+
\eqref{ib:public-marginal} gives the necessary complete surviving
|
| 1218 |
+
row/point bound. Here the public operand is its actual encoded
|
| 1219 |
+
\(J\)-symbol, including parity values, not an unencoded target
|
| 1220 |
+
value. Two public operands give a public bit.
|
| 1221 |
+
|
| 1222 |
+
Apply Proposition~\ref{ib:average-correction} to every needed term
|
| 1223 |
+
with a suitably smaller accuracy. Each output type and fixed
|
| 1224 |
+
branch has a bounded list of transformations, including radix
|
| 1225 |
+
pulls and zero terms. Charge their error and density bounds by
|
| 1226 |
+
their sum before selecting a term or branch. Charge the finite
|
| 1227 |
+
decision errors separately, and analyze each relevant correct
|
| 1228 |
+
branch with its true decisions fixed before intersecting the good
|
| 1229 |
+
events. Wrong decisions still select from the same public lists;
|
| 1230 |
+
missing or unused values are public zero. Therefore the
|
| 1231 |
+
all-hypothetical-branch smoothness assertion follows from
|
| 1232 |
+
Lemma~\ref{ib:all-branch-density}.
|
| 1233 |
+
\end{proof}
|
| 1234 |
+
|
| 1235 |
+
\begin{proposition}[Deterministic global read-port recovery]
|
| 1236 |
+
\label{ib:global-recovery}
|
| 1237 |
+
At a sufficiently small fixed balanced distance from a canonical
|
| 1238 |
+
word, every order-one logical read port can be recovered exactly
|
| 1239 |
+
in deterministic polynomial time. In particular this applies to
|
| 1240 |
+
the one-port template. No constant-query claim is made for this
|
| 1241 |
+
global decoder.
|
| 1242 |
+
\end{proposition}
|
| 1243 |
+
|
| 1244 |
+
\begin{proof}
|
| 1245 |
+
At every systematic edge/point position in the port's order-one
|
| 1246 |
+
point block, read the entire Hadamard table including copies and
|
| 1247 |
+
choose a nearest \(J\)-symbol, breaking ties publicly. Whenever
|
| 1248 |
+
the table error is less than \(1/4\), the selected symbol is true.
|
| 1249 |
+
Markov's inequality bounds the fraction of incorrect systematic
|
| 1250 |
+
symbols by a fixed multiple of balanced word error, accounting for
|
| 1251 |
+
the block weight and the systematic row fraction.
|
| 1252 |
+
|
| 1253 |
+
Map these symbols to their represented target arguments using the
|
| 1254 |
+
known row action. All fibers have equal size: for a fixed target
|
| 1255 |
+
\(y\), any full-rank \(A\) and any \(z\) determine the unique
|
| 1256 |
+
offset \(y-Az\), and the number of choices is the same for every
|
| 1257 |
+
row group. Take a plurality in each fiber. Every wrong plurality
|
| 1258 |
+
requires at least half its fiber's symbols to be wrong, so this
|
| 1259 |
+
loses at most a factor two. Project outputs outside the subfield
|
| 1260 |
+
to any fixed \(\F_q\)-estimate, which cannot spoil a correct
|
| 1261 |
+
symbol, and take another plurality over ignored target coordinates.
|
| 1262 |
+
After reducing the fixed radius, we have an estimate
|
| 1263 |
+
\(\widehat f:\F_q^\ell\to\F_q\) of the native order-one
|
| 1264 |
+
polynomial with symbol error at most a sufficiently small fixed
|
| 1265 |
+
\(\alpha>0\).
|
| 1266 |
+
|
| 1267 |
+
For each desired grid point \(x\), enumerate all directions
|
| 1268 |
+
\(z\in\F_q^\ell\). Along the \(q\)-word
|
| 1269 |
+
\((\widehat f(x+tz))_{t\in\F_q}\), the expected number of
|
| 1270 |
+
errors over \(z\) is at most
|
| 1271 |
+
\(1+(q-1)\alpha\): every nonzero \(t\) makes \(x+tz\) uniform.
|
| 1272 |
+
Let
|
| 1273 |
+
\[
|
| 1274 |
+
t_{\rm RS}=\left\lfloor\frac{q-D-1}{2}\right\rfloor.
|
| 1275 |
+
\]
|
| 1276 |
+
For sufficiently small fixed \(\alpha\) and large size, Markov's
|
| 1277 |
+
inequality shows that a strict majority of directions have at most
|
| 1278 |
+
\(t_{\rm RS}\) errors, since \(D/q\to0\).
|
| 1279 |
+
|
| 1280 |
+
Use the Berlekamp--Welch reconstruction method in the linear-system
|
| 1281 |
+
presentation of Gemmell and Sudan~\cite[Appendix~A]{GemmellSudan1992}.
|
| 1282 |
+
Specifically, uniquely decode each line by solving the linear equations
|
| 1283 |
+
\[
|
| 1284 |
+
N(t)=E(t)\widehat f(x+tz)\quad(t\in\F_q),\qquad
|
| 1285 |
+
E\text{ monic of degree }t_{\rm RS},\quad
|
| 1286 |
+
\deg N\le D+t_{\rm RS}.
|
| 1287 |
+
\]
|
| 1288 |
+
On a good direction, the error locator, padded by any monic factor
|
| 1289 |
+
to degree \(t_{\rm RS}\), provides a solution with
|
| 1290 |
+
\(N=Ef_{\rm line}\). Every solution has this equality: the
|
| 1291 |
+
difference \(N-Ef_{\rm line}\) has degree at most
|
| 1292 |
+
\(D+t_{\rm RS}\) and vanishes at at least
|
| 1293 |
+
\(q-t_{\rm RS}>D+t_{\rm RS}\) correct positions.
|
| 1294 |
+
Divide, verify degree and agreement, and use public zero on a
|
| 1295 |
+
failure. The strict majority of returned values at parameter zero
|
| 1296 |
+
is exactly \(f(x)\). Repeat for all port grid indices.
|
| 1297 |
+
All domains, tables, directions, fields, and linear systems here
|
| 1298 |
+
are polynomial-size, so the complete algorithm is deterministic
|
| 1299 |
+
polynomial time.
|
| 1300 |
+
\end{proof}
|
| 1301 |
+
|
| 1302 |
+
\subsection{The binary interface}
|
| 1303 |
+
|
| 1304 |
+
\begin{lemma}[Inner binary interface]
|
| 1305 |
+
\label{lem:inner-binary-interface}
|
| 1306 |
+
For the inner algebraic families of
|
| 1307 |
+
Lemma~\ref{lem:inner-algebra-interface}, there is a deterministic
|
| 1308 |
+
polynomial-time binary encoding with the following properties,
|
| 1309 |
+
uniform over the circuits in each fixed padded template.
|
| 1310 |
+
\begin{enumerate}[label=(\roman*)]
|
| 1311 |
+
\item Its balanced blocks are the point and line \(Y\)'s and the
|
| 1312 |
+
compatible point-product \(Z\)'s above. Canonical valid extended
|
| 1313 |
+
labels have constant distance, and admit the perfectly complete
|
| 1314 |
+
bounded-bit tester and fixed-gap proximity conclusion of
|
| 1315 |
+
Proposition~\ref{ib:tester}.
|
| 1316 |
+
\item One radius \(\rho>0\), fixed by the template before any
|
| 1317 |
+
request accuracy or density, permits every fixed average error
|
| 1318 |
+
\(\eta>0\) for requests of any fixed bounded outer-index density.
|
| 1319 |
+
For \(Z\), the requirement is a joint pair-density bound. Other
|
| 1320 |
+
masks, multipliers, and forms may be arbitrary request-dependent
|
| 1321 |
+
ones. Finite type subdistributions are charged without
|
| 1322 |
+
renormalization. Mixed products with a public operand may be
|
| 1323 |
+
reduced to arbitrary linear forms using
|
| 1324 |
+
\eqref{ib:public-marginal}.
|
| 1325 |
+
\item In a small fixed neighborhood of a valid label, incident
|
| 1326 |
+
flags and current or existing-neighbor encoded bits have the
|
| 1327 |
+
bounded-query reliability and averaged accuracy in
|
| 1328 |
+
Proposition~\ref{ib:neighbors}. Every routine is total with
|
| 1329 |
+
bounded decisions and public-zero defaults.
|
| 1330 |
+
\item After all fixed accuracy counts are chosen, all hypothetical
|
| 1331 |
+
raw read slots in the full answer tree have a finite summed
|
| 1332 |
+
density bound as in Lemma~\ref{ib:all-branch-density}. This
|
| 1333 |
+
includes potential cone paths before deduplication, unsuccessful
|
| 1334 |
+
flags and comparisons, and arbitrary pulled-back forms. All
|
| 1335 |
+
coefficient and address computations are public, all remaining
|
| 1336 |
+
hidden processing uses boundedly many bits, and all random
|
| 1337 |
+
supports and rational sampling tables are polynomial-time
|
| 1338 |
+
constructible.
|
| 1339 |
+
\item The common row encoder, field presentations, positive-tag
|
| 1340 |
+
original layouts, and fixed-label formulas are identical in
|
| 1341 |
+
corresponding actual and one-port families. Repetition copies
|
| 1342 |
+
may differ and are sampled afresh in the receiving family.
|
| 1343 |
+
At a fixed distinguished source or its first successor, a
|
| 1344 |
+
positive \(Y\) bit has Boolean degree at most three in that
|
| 1345 |
+
port's read input, and a same-positive-tag \(Z\) bit has degree
|
| 1346 |
+
at most six. An order-one port has the deterministic polynomial
|
| 1347 |
+
global recovery of Proposition~\ref{ib:global-recovery}.
|
| 1348 |
+
\end{enumerate}
|
| 1349 |
+
In particular, the radius for the one-port template can be fixed
|
| 1350 |
+
before a later actual port-count bound is chosen. The actual
|
| 1351 |
+
template's own radius may depend on that bound through its number
|
| 1352 |
+
of blocks.
|
| 1353 |
+
\end{lemma}
|
| 1354 |
+
|
| 1355 |
+
\begin{proof}
|
| 1356 |
+
The construction and the preceding propositions prove
|
| 1357 |
+
(i)--(iv) and global recovery. For (v), field and row-code choices
|
| 1358 |
+
were made solely from the common point parameters. The positive
|
| 1359 |
+
charts, including per-primary verification auxiliaries and their
|
| 1360 |
+
tagged descendants, have the literal common-index ancestry of
|
| 1361 |
+
Lemma~\ref{lem:inner-algebra-interface}. Columnwise linear
|
| 1362 |
+
extension and fixed-parameter line restriction preserve that
|
| 1363 |
+
identity. Passing through an original index and choosing a fresh
|
| 1364 |
+
copy therefore suffices even when balanced multiplicities differ.
|
| 1365 |
+
|
| 1366 |
+
At either of the two specified fixed labels, legacy, work, frame,
|
| 1367 |
+
mode, and progress are public, and every positive persistent recipe
|
| 1368 |
+
has Boolean degree at most three in its port input. Public matrix
|
| 1369 |
+
operations, division by fixed monic polynomials, coefficient
|
| 1370 |
+
extraction, slot contraction, fixed affine substitutions, line
|
| 1371 |
+
restriction, \(J\)-linear row extension, coordinate changes, and
|
| 1372 |
+
additive bit forms are all \(\F_2\)-linear in these hidden-data
|
| 1373 |
+
functions. None raises that degree. The one additional binary
|
| 1374 |
+
bilinear operation in \eqref{ib:product-bit} gives degree at most
|
| 1375 |
+
six. Finally \eqref{ib:fixed-radius} uses only the template's
|
| 1376 |
+
\(T_0,b_\#,\nu_1,\zeta\); the later requested density and
|
| 1377 |
+
accuracy affect only row rounds and repetitions. Applying it
|
| 1378 |
+
first to the fixed one-port template proves the last assertion.
|
| 1379 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/09-inner-gadget.tex
ADDED
|
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|
| 1 |
+
\section{The fixed port and its robust decision gadget}\label{sec:inner-gadget}
|
| 2 |
+
|
| 3 |
+
We now prove Theorem~\ref{thm:port-gadget}. Throughout this section all
|
| 4 |
+
fields, groups, block lengths, and path labels are those of the inner
|
| 5 |
+
construction of Sections~\ref{sec:inner-algebra} and~\ref{sec:inner-binary}.
|
| 6 |
+
In particular, its polynomial-size affine group is unrelated to the outer
|
| 7 |
+
index group. We first construct the port independently of the eventual
|
| 8 |
+
arity. We then fix an actual arity and construct a generalized subcircuit
|
| 9 |
+
for one Boolean decision. The subcircuit will use the geometric procedures
|
| 10 |
+
of Lemma~\ref{lem:geometric-procedures}, whose proof is independent of this
|
| 11 |
+
section. Word distances in this section are relative Hamming distances;
|
| 12 |
+
vector distances use the displayed normalized block norm.
|
| 13 |
+
|
| 14 |
+
\subsection{A port fixed before the arity}
|
| 15 |
+
|
| 16 |
+
Fix the exponent allowance $c_{\rm allow}$ and the common field, point,
|
| 17 |
+
slot, and row-code parameters supplied by
|
| 18 |
+
Lemmas~\ref{lem:inner-algebra-interface} and
|
| 19 |
+
\ref{lem:inner-binary-interface}. In particular these parameters are
|
| 20 |
+
chosen from $n'=(L+2)^{c_0}$, with fixed $c_0>c_{\rm allow}+5$, before
|
| 21 |
+
specifying the number of input ports or the actual Boolean circuit.
|
| 22 |
+
Construct the one-port instance of the inner path with the prescribed
|
| 23 |
+
initial copy phase and, afterwards, a fixed trivial computation. Include
|
| 24 |
+
all its positive-tag validity, critical-address, derivative, and
|
| 25 |
+
verification-auxiliary families, as well as its tag-zero families. This is
|
| 26 |
+
the \emph{dummy template}. Write $a_s$ for its distinguished source and
|
| 27 |
+
$a_s^+$ for its immediate successor. Their common tape has blank work,
|
| 28 |
+
stage-zero legacy, input $s$, frame $\gamma^{-1}$, and post mode. Their
|
| 29 |
+
progress values are respectively $q-1$ and $q-2$. Define
|
| 30 |
+
\begin{equation}\label{ig:port-definition}
|
| 31 |
+
\mathcal D(s)=\bigl(\mathcal W_{\rm dum}(a_s),
|
| 32 |
+
\mathcal W_{\rm dum}(a_s^+)\bigr),
|
| 33 |
+
\qquad S_0=2m_{\rm dum}.
|
| 34 |
+
\end{equation}
|
| 35 |
+
Both halves use the entire balanced binary word of the same dummy template.
|
| 36 |
+
|
| 37 |
+
\begin{proposition}[Fixed dummy port]\label{prop:dummy-port}
|
| 38 |
+
The map in~\eqref{ig:port-definition} has polynomial length, constant
|
| 39 |
+
relative Hamming distance $d_{\mathcal D}>0$, and the following properties.
|
| 40 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 41 |
+
\item Every output bit is a multilinear polynomial in $s$ over $\F_2$ of
|
| 42 |
+
degree at most six. Its coefficients, and the whole canonical encoding,
|
| 43 |
+
are computable deterministically in time polynomial in $L$.
|
| 44 |
+
\item There is a perfectly complete tester using a bounded number of bit
|
| 45 |
+
reads and bounded Boolean processing. Its public randomness is uniformly
|
| 46 |
+
enumerable with polynomial-size support and rational probabilities of
|
| 47 |
+
polynomial bit length. Every fixed branch has unconditioned read
|
| 48 |
+
subdistributions of bounded density relative to $[S_0]$. There is a
|
| 49 |
+
constant $C_B$ such that proximity $a$ to a port word implies rejection
|
| 50 |
+
at most $C_Ba$. For every fixed $a>0$, there is a fixed
|
| 51 |
+
$\theta_B(a)>0$ such that rejection less than $\theta_B(a)$ implies
|
| 52 |
+
proximity less than $a$ to some $\mathcal D(s)$, for all sufficiently
|
| 53 |
+
large $L$.
|
| 54 |
+
\item There are a deterministic polynomial-time exact decoder at a fixed
|
| 55 |
+
positive Hamming radius and a fixed
|
| 56 |
+
$0<\nu_B<d_{\mathcal D}/4$. From any word within $\nu_B$ of
|
| 57 |
+
$\mathcal D(s)$, either half supplies bits of its canonical word with
|
| 58 |
+
any fixed requested average accuracy under any fixed bounded-density
|
| 59 |
+
law on the original edge and outer indices. For a product block this
|
| 60 |
+
law is on the joint pair of indices. Requested masks and additive
|
| 61 |
+
forms may depend arbitrarily on the public request. The read procedures
|
| 62 |
+
have unconditioned fixed-branch smoothness, including their unsuccessful
|
| 63 |
+
branches.
|
| 64 |
+
\end{enumerate}
|
| 65 |
+
The dummy template, its decoder radius, and $\nu_B$ are all fixed before
|
| 66 |
+
any later actual arity, circuit-size factor, or correction-round count.
|
| 67 |
+
They are not decreased when those constants increase.
|
| 68 |
+
\end{proposition}
|
| 69 |
+
|
| 70 |
+
\begin{proof}
|
| 71 |
+
The inner distance assertion applies separately to each half. Distinct
|
| 72 |
+
inputs give distinct labels already in the order-one input track, so it
|
| 73 |
+
gives the claimed distance for their concatenation.
|
| 74 |
+
|
| 75 |
+
For testing, mix the ordinary valid-label testers on the two halves with
|
| 76 |
+
the following additional checks. At systematic point probes compare the
|
| 77 |
+
legacy chart with the public stage-zero polynomial, the mode with post,
|
| 78 |
+
and the progress marker with its specified one-hot tensor, using the
|
| 79 |
+
source or successor progress value as appropriate. Uniform slot masks
|
| 80 |
+
and additive binary forms give smooth bit versions of these checks; a
|
| 81 |
+
specified form can also be split into fresh uniform summands. On exact
|
| 82 |
+
valid labels, an incorrect location condition has a fixed positive
|
| 83 |
+
rejection gap by the low-degree or constant-tensor distance. Correct
|
| 84 |
+
conditions force the blank-work tape, the specified progress and mode,
|
| 85 |
+
and frame $\gamma^{-1}$. Finally compare the two order-one input point
|
| 86 |
+
tracks at identical original systematic edge/point indices and identical
|
| 87 |
+
uniform bit forms, choosing copies independently in the two halves.
|
| 88 |
+
Different inputs give a fixed positive discrepancy gap. The two reads
|
| 89 |
+
have smooth marginals individually; they do not require a product block.
|
| 90 |
+
Each mixture weight is a fixed positive constant.
|
| 91 |
+
|
| 92 |
+
Here is the fixed-gap implication explicitly. Let $g>0$ be a common lower
|
| 93 |
+
bound for the rejection of any violated location or equality requirement
|
| 94 |
+
on exact pairs of valid labels, with the mixture weights included. Let
|
| 95 |
+
$C$ bound the change in these tests' rejection under changes to a fraction
|
| 96 |
+
of the whole port. Given $a>0$, choose
|
| 97 |
+
\[
|
| 98 |
+
0<a_0<\min\{a,g/(4C)\}.
|
| 99 |
+
\]
|
| 100 |
+
Ordinary soundness supplies a positive rejection threshold forcing each
|
| 101 |
+
half within $a_0$ of an exact valid label. Take the total tester threshold
|
| 102 |
+
small enough to imply both of these assertions and also smaller than
|
| 103 |
+
$g/2$. The pair of nearby exact labels is at distance less than $a_0$
|
| 104 |
+
from the received port. If any required exact condition were wrong,
|
| 105 |
+
smoothness would make the received rejection at least
|
| 106 |
+
$g-Ca_0>g/2$, a contradiction. Thus the exact pair is precisely
|
| 107 |
+
$\mathcal D(s)$ and the received distance is less than $a$. This defines
|
| 108 |
+
$\theta_B(a)$. Perfect completeness and the upper bound $C_Ba$ follow by
|
| 109 |
+
charging every read whose answer differs from the exact port word. All
|
| 110 |
+
choices and computations have the bounded, polynomially enumerable
|
| 111 |
+
properties asserted in the two inner interfaces.
|
| 112 |
+
|
| 113 |
+
At the two fixed labels all logical inputs except $s$ are public.
|
| 114 |
+
Canonical persistent values and their coordinate coefficients have
|
| 115 |
+
logical degree at most three, even on invalid Boolean tapes. Their
|
| 116 |
+
verification certificates use public linear maps on one primary array:
|
| 117 |
+
multiplication by the public test matrix, summation, division by a public
|
| 118 |
+
monic polynomial, coefficient extraction, and interpolation. These
|
| 119 |
+
operations preserve degree. Fixed-progress stack formation, restriction
|
| 120 |
+
to a point or a line, line-coefficient extraction, slot contraction, row
|
| 121 |
+
extension, and additive bit forms are linear over the prime field. Thus a
|
| 122 |
+
$Y$ bit has degree at most three. A $Z$ bit is a binary bilinear form of
|
| 123 |
+
two such operands and has degree at most six. Repeating bits for balance
|
| 124 |
+
changes nothing. The degree bound is independent of the allowance and
|
| 125 |
+
of all future template choices.
|
| 126 |
+
|
| 127 |
+
For completeness, the coefficient algorithm need not manipulate a
|
| 128 |
+
large symbolic expression. For a specified bit function $b$, evaluate
|
| 129 |
+
the canonical dummy word on $1_T$ for all $T\subseteq[L]$ with
|
| 130 |
+
$|T|\le6$. Its coefficient at the squarefree monomial indexed by $A$ is
|
| 131 |
+
\[
|
| 132 |
+
c_A=\sum_{T\subseteq A}b(1_T)\quad\text{in }\F_2,
|
| 133 |
+
\qquad |A|\le6.
|
| 134 |
+
\]
|
| 135 |
+
Boolean multilinear inversion and the degree bound give every
|
| 136 |
+
coefficient; there are $O((L+1)^6)$ evaluations, each polynomial-time.
|
| 137 |
+
|
| 138 |
+
Use the deterministic order-one recovery from
|
| 139 |
+
Lemma~\ref{lem:inner-binary-interface} on the first half. A port error
|
| 140 |
+
fraction $r$ causes an error fraction at most $2r$ there, so a fixed
|
| 141 |
+
sufficiently small $r$ gives exact recovery of $s$. Finally choose
|
| 142 |
+
$\nu_B<d_{\mathcal D}/4$ with $2\nu_B$ inside the dummy average-correction
|
| 143 |
+
radius and, if necessary, the just established recovery radius.
|
| 144 |
+
A port within $\nu_B$ corrupts either half by at most $2\nu_B$.
|
| 145 |
+
The dummy corrector therefore answers the stated requests from that
|
| 146 |
+
half; its read density relative to the whole port loses only a factor
|
| 147 |
+
two. Its radius is independent of the requested accuracy and density
|
| 148 |
+
constant. Every constant used here belongs to the one-port template.
|
| 149 |
+
\end{proof}
|
| 150 |
+
|
| 151 |
+
\subsection{Exact original-index correspondence and virtual source bits}
|
| 152 |
+
|
| 153 |
+
Now fix an actual arity $k$, a circuit-size factor, and a Boolean circuit
|
| 154 |
+
$f$ covered by Theorem~\ref{thm:port-gadget}, padding unused inputs with
|
| 155 |
+
public zero ports. Fix words $y_i$ with
|
| 156 |
+
\begin{equation}\label{ig:fixed-ports}
|
| 157 |
+
\dist\bigl(y_i,\mathcal D(s_i)\bigr)\le\nu_B.
|
| 158 |
+
\end{equation}
|
| 159 |
+
For a public zero port all bits of $\mathcal D(0^L)$ are computed publicly.
|
| 160 |
+
The true graph used below is the single actual-template path for the
|
| 161 |
+
fixed tuple $s=(s_1,\ldots,s_k)$, rather than the union over possible
|
| 162 |
+
input tuples. Write $w_*(s)$ and $w_*^+(s)$ for its source and immediate
|
| 163 |
+
successor. These have the same public frame, tape locations, mode, and
|
| 164 |
+
progress as their dummy counterparts, but their input-dependent encoding
|
| 165 |
+
bits must be supplied from the ports.
|
| 166 |
+
|
| 167 |
+
\begin{lemma}[Source correspondence and virtual access]\label{ig:virtual-source}
|
| 168 |
+
For either $w_*(s)$ or $w_*^+(s)$, every tag-$i$ point or line $Y$
|
| 169 |
+
operand agrees with its dummy counterpart for $s_i$ at the same original
|
| 170 |
+
indices, after renaming the port tag. The same is true of a $Z$ block
|
| 171 |
+
whose two operands both have tag $i$. Tag-zero data at either label are
|
| 172 |
+
publicly computable. Consequently source and successor encoded-bit
|
| 173 |
+
requests with bounded original-index density admit arbitrarily accurate
|
| 174 |
+
average answers from~\eqref{ig:fixed-ports}, with smooth external reads.
|
| 175 |
+
For mixed products the requisite density is joint density on the complete
|
| 176 |
+
edge/point indices before marginalization. Actual and dummy balanced-copy
|
| 177 |
+
multiplicities need not agree.
|
| 178 |
+
\end{lemma}
|
| 179 |
+
|
| 180 |
+
\begin{proof}
|
| 181 |
+
Apply Lemma~\ref{ia:source-data} at the two labels in
|
| 182 |
+
\eqref{ia:source-successor}. Both have frame $\gamma^{-1}$, blank work,
|
| 183 |
+
stage-zero legacy, and post mode; their progresses are respectively
|
| 184 |
+
$q-1$ and $q-2$. At either progress the lemma identifies each positive
|
| 185 |
+
algebraic array with its one-port counterpart at the same native point,
|
| 186 |
+
slot, and mask indices. This includes verification auxiliaries and all
|
| 187 |
+
derivative descendants: Lemma~\ref{ia:port-ancestry} fixes their separate
|
| 188 |
+
call layouts independently of work destinations, the number of ports,
|
| 189 |
+
and the actual circuit. The placements and fixed-progress stack formulas
|
| 190 |
+
are common as well.
|
| 191 |
+
|
| 192 |
+
The common row field, row matrices, systematic extension, and point/line
|
| 193 |
+
domains were fixed before $k$. Applying these same linear operations
|
| 194 |
+
preserves the equality at the original encoded indices, for the source
|
| 195 |
+
and its first decrement separately. The actual template may balance its
|
| 196 |
+
block types with different copy counts. Forgetting its copy index and
|
| 197 |
+
choosing a fresh uniformly random dummy copy preserves the original index
|
| 198 |
+
and costs only the fixed actual block-weight factor.
|
| 199 |
+
|
| 200 |
+
The same source-data lemma makes every tag-zero array public at these
|
| 201 |
+
labels. Its conclusion includes derivatives evaluated on public shifted
|
| 202 |
+
work, even when the shifted Boolean tape is invalid: canonical certificate
|
| 203 |
+
recipes are defined there and do not solve a final validity equation.
|
| 204 |
+
Thus no work-side certificate needs to evaluate $f(s)$ or a stored sum
|
| 205 |
+
with a port-dependent primary. The actual encoded $J$-symbols of these
|
| 206 |
+
public arrays, including their parity values, are computed with the
|
| 207 |
+
actual template's common row encoder.
|
| 208 |
+
|
| 209 |
+
The only remaining case is a product with tags $(i,0)$ or $(0,i)$.
|
| 210 |
+
Write $x$ for the positive operand's entire original edge/point index and
|
| 211 |
+
$z$ for the public operand's entire index. After the indicated contractions
|
| 212 |
+
and public scalar multipliers its bit is, in one orientation,
|
| 213 |
+
\begin{equation}\label{ig:mixed-form}
|
| 214 |
+
Q\bigl(\pi(b_i u(x)),\pi(b_0 v_{\rm pub}(z))\bigr)
|
| 215 |
+
=\mu_{z,b_i,b_0,Q}\bigl(u(x)\bigr),
|
| 216 |
+
\end{equation}
|
| 217 |
+
where $\mu_{z,b_i,b_0,Q}$ is a specified additive binary form. The dummy
|
| 218 |
+
$Y$ corrector permits precisely such arbitrary forms, including dependence
|
| 219 |
+
on both requested positions and all the public coefficients. It retains
|
| 220 |
+
$x$ at the same original index. If the request law satisfies
|
| 221 |
+
\[
|
| 222 |
+
p(x,z)\le\frac{C}{|\mathcal X|\,|\mathcal Z|},
|
| 223 |
+
\qquad\text{then}\qquad
|
| 224 |
+
\sum_zp(x,z)\le\frac{C}{|\mathcal X|}.
|
| 225 |
+
\]
|
| 226 |
+
This proves the required density for the dummy $Y$ request on both its
|
| 227 |
+
edge and its point. A same-positive-tag $Z$ request retains both original
|
| 228 |
+
indices and their joint density; even when its types coincide, no pair
|
| 229 |
+
is replaced by a diagonal. A $(0,0)$ product is public. There are no
|
| 230 |
+
products of two distinct positive tags. Proposition~\ref{prop:dummy-port}
|
| 231 |
+
now supplies all the answers. Fixing a source/successor choice, orientation,
|
| 232 |
+
or block type costs a fixed factor. All error and density bounds are
|
| 233 |
+
summed before any later answer-dependent selection; no density bound is
|
| 234 |
+
conditioned on that selection.
|
| 235 |
+
\end{proof}
|
| 236 |
+
|
| 237 |
+
\subsection{Validation of the true path and numerical access}
|
| 238 |
+
|
| 239 |
+
Let $m=m_{\rm in}$ be the length of one actual-template word, and let
|
| 240 |
+
$b_\#$ be its number of equally weighted original binary block types.
|
| 241 |
+
The path labels have fixed separation $d_*>0$ in the normalized Euclidean
|
| 242 |
+
norm. Constants from this point may depend on the actual arity,
|
| 243 |
+
circuit-size factor, and desired output-loss fraction $\upsilon>0$.
|
| 244 |
+
They will not alter $\mathcal D$ or $\nu_B$.
|
| 245 |
+
|
| 246 |
+
The ordinary binary tester recognizes the union of paths over all input
|
| 247 |
+
tuples. Before using a seed for geometry, we must ensure that its nearby
|
| 248 |
+
label belongs to the path for the externally supplied tuple $s$.
|
| 249 |
+
We do this by comparing each input track with its corresponding port.
|
| 250 |
+
|
| 251 |
+
\begin{lemma}[Validation at the fixed external tuple]\label{ig:validation}
|
| 252 |
+
There are fixed $\rho_{\rm in},\rho_{\rm in,comp}>0$ and bounded-read
|
| 253 |
+
validation routines for an internal binary seed $z\in\{0,1\}^m$ such
|
| 254 |
+
that, with arbitrarily small prescribed failure probability, acceptance
|
| 255 |
+
implies distance less than $\rho_{\rm in}$ to a unique label on the
|
| 256 |
+
true-$s$ path, and distance less than $\rho_{\rm in,comp}$ to a true-path
|
| 257 |
+
label implies acceptance. These radii are chosen before the reliability
|
| 258 |
+
of the routines. For each fixed seed that can be accepted on good
|
| 259 |
+
decisions its reference label is fixed independently of the decision
|
| 260 |
+
randomness. Current and actual incident-neighbor bits and existence flags
|
| 261 |
+
can subsequently be supplied with arbitrary fixed average accuracy for
|
| 262 |
+
the request laws of Lemma~\ref{lem:geometric-procedures}.
|
| 263 |
+
\end{lemma}
|
| 264 |
+
|
| 265 |
+
\begin{proof}
|
| 266 |
+
Choose $\rho_{\rm in}$ within the whole-word uniqueness and actual-template
|
| 267 |
+
correction radii. Estimate rejection of the ordinary tester for the union
|
| 268 |
+
of all port tuples. For each port $i$, also sample the order-one point
|
| 269 |
+
track $W_{s_i}$ of $z$ at uniform systematic original edge/point indices
|
| 270 |
+
and uniform forms, and compare it with the bit at the identical original
|
| 271 |
+
index of the corrected dummy source half of $y_i$. Choose a random actual
|
| 272 |
+
copy for the direct read. This input track is unrotating and uses the
|
| 273 |
+
same extension at every actual path label.
|
| 274 |
+
|
| 275 |
+
On an exact valid label the ideal mismatch is zero if its $i$th port is
|
| 276 |
+
$s_i$, and at least a constant $p_s>0$ otherwise: the nonzero order-one
|
| 277 |
+
polynomial differs on a constant fraction of represented arguments, and
|
| 278 |
+
a uniform additive form detects a nonzero difference with probability
|
| 279 |
+
$1/2$. We can choose one $p_s$ for the fixed templates. A balanced error
|
| 280 |
+
fraction $a'$ in $z$ changes a comparison rate by at most $C'_k a'$,
|
| 281 |
+
where $C'_k$ includes the systematic and block-weight density factors.
|
| 282 |
+
Choose
|
| 283 |
+
\[
|
| 284 |
+
0<a'<\rho_{\rm in},\qquad C'_k a'<p_s/8.
|
| 285 |
+
\]
|
| 286 |
+
Use half the ordinary soundness threshold for $a'$ as the rejection
|
| 287 |
+
cutoff, and $p_s/2$ as each mismatch cutoff. Good statistics with fixed
|
| 288 |
+
positive slack imply that an accepted seed is $a'$-close to an exact
|
| 289 |
+
valid label. The mismatch gap then forces every port of that label to
|
| 290 |
+
be $s_i$. Conversely, smoothness of the ordinary tester and of the
|
| 291 |
+
comparison probes makes all rates lie strictly below their cutoffs when
|
| 292 |
+
the seed is within a sufficiently small fixed
|
| 293 |
+
$\rho_{\rm in,comp}>0$ of a true-path label.
|
| 294 |
+
|
| 295 |
+
First fix sample counts that concentrate the underlying ideal rates at
|
| 296 |
+
the required slack; independent samples and Chebyshev's inequality
|
| 297 |
+
suffice. Next choose the dummy correction accuracy so that the bounded
|
| 298 |
+
number of supplied comparison bits fail with the desired total
|
| 299 |
+
probability. This order leaves $a'$, $\rho_{\rm in,comp}$, and $\nu_B$
|
| 300 |
+
unchanged. On good acceptance, the ordinary correction and neighbor
|
| 301 |
+
procedures of Lemma~\ref{lem:inner-binary-interface} apply to the fixed
|
| 302 |
+
unique reference. They return the true incident flags, including the
|
| 303 |
+
disabled wrap flag, and true encoding bits at existing neighbors with
|
| 304 |
+
arbitrary average accuracy. Analyze each possible reference of the fixed
|
| 305 |
+
seed before intersecting with acceptance; one never conditions a
|
| 306 |
+
smoothness estimate on that event. On unsuccessful branches every routine
|
| 307 |
+
still has a bounded Boolean output or a fixed default.
|
| 308 |
+
\end{proof}
|
| 309 |
+
|
| 310 |
+
The point-vector space for the gadget is
|
| 311 |
+
\begin{equation}\label{ig:point-space}
|
| 312 |
+
\mathcal B=[-1,2]^{4m},\qquad
|
| 313 |
+
\|U\|_{\rm b}^2=\frac1m\sum_{i=1}^{4m}U_i^2.
|
| 314 |
+
\end{equation}
|
| 315 |
+
Among its first-block coordinates select the systematic point $Y$ bits
|
| 316 |
+
of the constant output track $F_{\rm out}$, with forms $\mu$ satisfying
|
| 317 |
+
$\mu(1)=1$, including all their balanced copies. At the unique sink all
|
| 318 |
+
these bits equal $f(s)$. At least half the row labels are systematic,
|
| 319 |
+
half the forms take $1$ to $1$, and the track has weight $1/b_\#$.
|
| 320 |
+
Consequently the selected fraction among all $4m$ coordinates is at least
|
| 321 |
+
\begin{equation}\label{ig:selection}
|
| 322 |
+
c_{\rm sel}=\frac1{16b_\#}.
|
| 323 |
+
\end{equation}
|
| 324 |
+
Choose the geometric parameter $\tau>0$ so small that
|
| 325 |
+
\begin{equation}\label{ig:tau}
|
| 326 |
+
\frac{(5\tau)^2}{(2/5)^2}<\rho_{\rm in,comp},
|
| 327 |
+
\qquad
|
| 328 |
+
\frac{16(10\tau)^2}{c_{\rm sel}}<\frac{\upsilon}{4}.
|
| 329 |
+
\end{equation}
|
| 330 |
+
A binary disagreement after rounding a physical block at any threshold
|
| 331 |
+
in $[2/5,3/5]$ incurs squared error at least $(2/5)^2$ from the true bit.
|
| 332 |
+
Thus the first inequality gives the geometric completeness condition.
|
| 333 |
+
Obtain fixed $B_1,c_*,\beta_0>0$ from
|
| 334 |
+
Lemma~\ref{lem:geometric-procedures} and its geometric lower bound,
|
| 335 |
+
increasing $B_1$ to an integer if necessary. Write $\mathcal E$ for the
|
| 336 |
+
endpoint set of the true path. It excludes the top of the distinguished
|
| 337 |
+
vertical segment; here every member of $\mathcal E$ has first block equal
|
| 338 |
+
to the unique sink encoding. In particular,
|
| 339 |
+
\begin{equation}\label{ig:geometric-bound}
|
| 340 |
+
\|v(U)\|_\infty\le B_1-1,
|
| 341 |
+
\qquad
|
| 342 |
+
\|\clip_{\mathcal B}(U+\beta v(U))-U\|_{\rm b}\ge c_*\beta
|
| 343 |
+
\end{equation}
|
| 344 |
+
whenever $\dist(U,\mathcal E)>10\tau$ and $0<\beta\le\beta_0$.
|
| 345 |
+
|
| 346 |
+
We verify the numerical access contract rather than presupposing access
|
| 347 |
+
to hidden circuit values. There are at most eight true word roles: each
|
| 348 |
+
of two seed roles and its two possible neighbors, and the special source
|
| 349 |
+
and successor. Four incident edge roles contribute four straight pieces
|
| 350 |
+
and three internal fillets each; with two possible seed junctions and
|
| 351 |
+
the special vertical and its bottom fillet there are at most 32 piece
|
| 352 |
+
roles. Lemma~\ref{ig:virtual-source} always supplies the special roles,
|
| 353 |
+
even when neither seed validates. The other roles use
|
| 354 |
+
Lemma~\ref{ig:validation} and the actual neighbor routines. Their requests
|
| 355 |
+
are full-word uniform samples for statistics or the coordinate matching
|
| 356 |
+
the requested field component. Condition on a fixed output block type,
|
| 357 |
+
or sum over the finite type list, to obtain the required edge/outer laws,
|
| 358 |
+
including joint laws for $Z$ blocks. Mode, progress, and critical decisions
|
| 359 |
+
use their own uniform systematic marginals.
|
| 360 |
+
|
| 361 |
+
Fix the geometric mesh, numerical tolerances, scalar sample counts, and
|
| 362 |
+
high-level role list first. Allocate calls for the possible roles and
|
| 363 |
+
matching components before any numerical minimum or branch is selected.
|
| 364 |
+
For a fixed input and rounding threshold, each seed has at most one
|
| 365 |
+
reference that good validation could accept, so there are only boundedly
|
| 366 |
+
many underlying actual candidates. Independent uniform-coordinate
|
| 367 |
+
samples concentrate all their bounded statistics, including physical
|
| 368 |
+
block statistics, without conditioning on which candidate wins. Set the
|
| 369 |
+
required bit and decision error budgets for these high-level calls next,
|
| 370 |
+
and only then fix the lower-level correction and repetition counts.
|
| 371 |
+
A numerical winner chooses a reserved role and mesh case; it cannot turn
|
| 372 |
+
a hidden answer into a new arbitrary word address.
|
| 373 |
+
|
| 374 |
+
Raw scalar samples can be quantized on fixed-width grids with public
|
| 375 |
+
random offsets. Their finite range and fixed widths give finitely many
|
| 376 |
+
answers. All public field, address, coefficient, mesh, reciprocal,
|
| 377 |
+
square-root, and trigonometric calculations are made during the
|
| 378 |
+
reduction, to the fixed required precision. A finite table indexed by
|
| 379 |
+
the bounded answers supplies the required numerical operations. The
|
| 380 |
+
procedures return bounded values on arbitrary unsuccessful trials as
|
| 381 |
+
well. Refining an offset grid later changes the thresholds and public
|
| 382 |
+
table entries, but not the bin count, word-address primitives, or number
|
| 383 |
+
of answer slots.
|
| 384 |
+
|
| 385 |
+
It follows from Lemma~\ref{lem:geometric-procedures}, with these explicit
|
| 386 |
+
oracles, that for $\kappa=1/100$ we can fix a finite unscaled estimator
|
| 387 |
+
whose signed output has the form
|
| 388 |
+
\begin{equation}\label{ig:ideal-estimator}
|
| 389 |
+
\widehat v_i(U,y)=B_1(p_i^*-n_i^*),\qquad
|
| 390 |
+
p_i^*,n_i^*\in[0,1]\text{ fixed-precision dyadics},\quad p_i^*n_i^*=0,
|
| 391 |
+
\end{equation}
|
| 392 |
+
and, whenever $\dist(U,\mathcal E)>10\tau$,
|
| 393 |
+
\begin{equation}\label{ig:ideal-error}
|
| 394 |
+
4\E_{i,t}\bigl|\widehat v_i(U,y)-v_i(U)\bigr|^2
|
| 395 |
+
<(c_*\kappa/100)^2.
|
| 396 |
+
\end{equation}
|
| 397 |
+
Here $i$ is uniform on $[4m]$, $t$ is the true public tape, and the
|
| 398 |
+
inequality holds conditional on each fixed admissible internal rounding
|
| 399 |
+
threshold and scalar offset. Rounding the signed output to its fixed
|
| 400 |
+
dyadic grid is included in the accuracy. All choices to this point are
|
| 401 |
+
independent of $\beta$ and of any external comparison margin.
|
| 402 |
+
|
| 403 |
+
\subsection{Full tapes, deterministic copies, and read routing}
|
| 404 |
+
|
| 405 |
+
We require bounds for every read actually wired into the circuit. Unfold
|
| 406 |
+
all hypothetical Boolean, validation, equality, and quantization answers,
|
| 407 |
+
assigning fresh public randomness to unexecuted nodes as well. After the
|
| 408 |
+
accuracy choices above this is a fixed finite tree. Let $H$ bound the
|
| 409 |
+
number of its raw comparison occurrences. A branch may select an
|
| 410 |
+
unsuccessful seed, a wrong flag, a wrong transition type, or a default;
|
| 411 |
+
these choices do not license a new addressing primitive.
|
| 412 |
+
|
| 413 |
+
More explicitly, list each potential initial row-cone path before
|
| 414 |
+
removing repeated positions. On a frozen symbolic branch the covariance
|
| 415 |
+
map $(g,I)\mapsto(gh,h^{-1}I)$ is a joint permutation; a further row-star
|
| 416 |
+
step is a fixed left multiplication of the edge coordinate, with a change
|
| 417 |
+
among boundedly many edge labels. On product blocks the two axes undergo
|
| 418 |
+
these transformations separately. Neighbor proposals use a finite list
|
| 419 |
+
of the affine pullbacks from the inner algebra. Omissions, deduplication,
|
| 420 |
+
and representative choices only select subdistributions of the listed
|
| 421 |
+
paths, without renormalization. A flagged zero is a public value and
|
| 422 |
+
needs no artificial dummy read at a concentrated address. Information-set
|
| 423 |
+
inverses and linear-expression coefficients are public functions of the
|
| 424 |
+
frozen branch and indices. Fresh additive splitting is performed after
|
| 425 |
+
all form or multiplier pullbacks, so arbitrary answer-dependent requested
|
| 426 |
+
forms still give the uniform inner marginals. These facts are exactly
|
| 427 |
+
the unconditioned guarantees of
|
| 428 |
+
Lemma~\ref{lem:inner-binary-interface}; they apply whether the answers
|
| 429 |
+
on the frozen branch are correct or not.
|
| 430 |
+
|
| 431 |
+
These inner routines satisfy the additional physical-read
|
| 432 |
+
hypothesis~\ref{geo:access-finite} of
|
| 433 |
+
Definition~\ref{geo:access-contract}. We therefore invoke part~(iv) of
|
| 434 |
+
Lemma~\ref{lem:geometric-procedures} at the physical-read level: each
|
| 435 |
+
completed inner bit or decision already has a bounded physical answer
|
| 436 |
+
tree with the stated unconditioned branch marginals.
|
| 437 |
+
|
| 438 |
+
For a fixed internal offset choice, sum these bounds over all potential
|
| 439 |
+
slots and geometric roles. With $i$ uniform on $[4m]$, the expected number
|
| 440 |
+
of reads of a specified internal base coordinate is at most $C/(4m)$,
|
| 441 |
+
and of a specified position of any one external port is at most $C/S_0$,
|
| 442 |
+
for a fixed constant $C$. Internal direct reads use uniform statistic
|
| 443 |
+
positions or matching output positions. Virtual external reads use the
|
| 444 |
+
original-index correspondence and the marginal calculation
|
| 445 |
+
in~\eqref{ig:mixed-form}. The constants $H,C$ are uniform over the
|
| 446 |
+
function and over the external threshold $\xi$ for the fixed bounds,
|
| 447 |
+
and remain unchanged by later offset-grid refinement. These are counts
|
| 448 |
+
on the whole tree, not smoothness conditioned on execution.
|
| 449 |
+
|
| 450 |
+
Choose finite uniform rational grids for the internal common binary
|
| 451 |
+
threshold $\xi_{\rm in}\in[2/5,3/5]$ and the scalar offsets modulo the
|
| 452 |
+
already fixed quantization widths. If $D_{\rm grid}$ is a lower bound
|
| 453 |
+
on their sizes, then for a fixed scalar value the probability of being
|
| 454 |
+
within $4\omega_{\rm in}$ of a binary threshold or one of its relevant
|
| 455 |
+
shifted boundaries is at most
|
| 456 |
+
\begin{equation}\label{ig:ambiguity}
|
| 457 |
+
O\bigl(D_{\rm grid}^{-1}+C_{\rm width}\omega_{\rm in}\bigr),
|
| 458 |
+
\end{equation}
|
| 459 |
+
where $C_{\rm width}$ is fixed by the widths and finite range. Sum the
|
| 460 |
+
conditional slot-density bounds over all base positions at every offset,
|
| 461 |
+
and then over the bounded slot list. Thus the true-law fraction of cones
|
| 462 |
+
having any such ambiguous internal comparison is uniformly as small as
|
| 463 |
+
desired, for every fixed mean array, by refining the grids and decreasing
|
| 464 |
+
the positive rational $\omega_{\rm in}$. External comparisons are not
|
| 465 |
+
included here; their spoil budget is a separate hypothesis.
|
| 466 |
+
|
| 467 |
+
For each output coordinate $i$, the full tape law, including the offsets
|
| 468 |
+
and conditional random choices at all hypothetical nodes, has enumerable
|
| 469 |
+
polynomial support and rational probabilities of polynomial bit length.
|
| 470 |
+
A fixed product or finite tree of polynomial-size choices still has
|
| 471 |
+
these bounds. Choose a common square $R$ and replace each law by an equal
|
| 472 |
+
list of $R$ tapes with total variation at most
|
| 473 |
+
\begin{equation}\label{ig:tv}
|
| 474 |
+
t_{\rm tv}=\frac{\eta_{\rm tv}}{\max\{4m,S_0\}}.
|
| 475 |
+
\end{equation}
|
| 476 |
+
Indeed floor $R$ times each probability and distribute the remaining
|
| 477 |
+
integer counts within the support. If $P(L)$ is a common support bound,
|
| 478 |
+
choosing a square $R\ge P(L)\max\{4m,S_0\}/\eta_{\rm tv}$ suffices.
|
| 479 |
+
A square within a fixed factor of this polynomial bound is available,
|
| 480 |
+
and the integer and rational operations cost polynomial time. The bound
|
| 481 |
+
and $R$ can be common to all padded functions in the stated class.
|
| 482 |
+
Use the $r$th listed tape at physical replica $(i,r)$ and put
|
| 483 |
+
\begin{equation}\label{ig:gscale}
|
| 484 |
+
G_0=4mR.
|
| 485 |
+
\end{equation}
|
| 486 |
+
By bounded outputs, sufficiently small fixed $\eta_{\rm tv}$ preserves
|
| 487 |
+
from~\eqref{ig:ideal-error} the empirical bound
|
| 488 |
+
\begin{equation}\label{ig:empirical-error}
|
| 489 |
+
\left(\frac1{mR}\sum_{i,r}
|
| 490 |
+
|\widehat v_{ir}(U,y)-v_i(U)|^2\right)^{1/2}
|
| 491 |
+
\le c_*\kappa/20,
|
| 492 |
+
\end{equation}
|
| 493 |
+
as well as the desired rare-event slack in~\eqref{ig:ambiguity}.
|
| 494 |
+
This estimate holds for every fixed $U$: the tape lists depend only on
|
| 495 |
+
the public laws, and total variation controls every bounded function of
|
| 496 |
+
the tape, including its error on that $U$.
|
| 497 |
+
|
| 498 |
+
For clarity, the unequal-size load calculation is
|
| 499 |
+
\begin{align}
|
| 500 |
+
\#\{\text{reads of external position }j\}
|
| 501 |
+
&\le G_0\left(\frac C{S_0}
|
| 502 |
+
+\frac{H\eta_{\rm tv}}{\max\{4m,S_0\}}\right)
|
| 503 |
+
\le (C+H\eta_{\rm tv})\frac{G_0}{S_0},
|
| 504 |
+
\label{ig:external-load}\\
|
| 505 |
+
\#\{\text{reads of internal base coordinate }j\}
|
| 506 |
+
&\le G_0\left(\frac C{4m}
|
| 507 |
+
+\frac{H\eta_{\rm tv}}{\max\{4m,S_0\}}\right)
|
| 508 |
+
\le (C+H\eta_{\rm tv})R.
|
| 509 |
+
\label{ig:internal-load}
|
| 510 |
+
\end{align}
|
| 511 |
+
For one position the count on a tape lies in $[0,H]$, so changing its
|
| 512 |
+
law by total variation $t_{\rm tv}$ changes its expectation by at most
|
| 513 |
+
$Ht_{\rm tv}$, which proves these inequalities. They hold even when
|
| 514 |
+
$m/S_0$ grows as an arbitrarily large fixed power of $L$.
|
| 515 |
+
Route the internal occurrences round-robin to the $R$ replicas of their
|
| 516 |
+
base coordinate. Every replica is then read a bounded number of times.
|
| 517 |
+
Every external occurrence is exposed separately for the caller to route;
|
| 518 |
+
\eqref{ig:external-load} proves the constant $C_{\rm occ}$ in
|
| 519 |
+
Theorem~\ref{thm:port-gadget}.
|
| 520 |
+
|
| 521 |
+
\subsection{An explicit generalized subcircuit}
|
| 522 |
+
|
| 523 |
+
Let $R=b^2$ and identify replica labels with $(\mathbb Z/b\mathbb Z)^2$.
|
| 524 |
+
On each base coordinate use the average $A$ of the eight labeled moves
|
| 525 |
+
\[
|
| 526 |
+
(u\pm2v,v),\quad (u\pm(2v+1),v),\quad
|
| 527 |
+
(u,v\pm2u),\quad (u,v\pm(2u+1))
|
| 528 |
+
\]
|
| 529 |
+
and eight identity labels, each with weight $1/16$. The all-modulus
|
| 530 |
+
Margulis--Gabber--Galil bound, in the primary formal development
|
| 531 |
+
\cite[\texttt{mgg\_numerical\_radius}]{MGGAFP}, bounds the normalized
|
| 532 |
+
upper mean-zero eigenvalue of the eight-move operator by $5\sqrt2/8$.
|
| 533 |
+
The operator is symmetric with spectrum in $[-1,1]$. Half-laziness
|
| 534 |
+
therefore yields
|
| 535 |
+
\begin{equation}\label{ig:replica-gap}
|
| 536 |
+
\|AD\|\le(1-\kappa)\|D\|,\qquad \kappa=1/100,
|
| 537 |
+
\end{equation}
|
| 538 |
+
on replica deviations, since $(1+5\sqrt2/8)/2<1-\kappa$.
|
| 539 |
+
The statement includes every positive integer $b$ and retains loops
|
| 540 |
+
and repeated labels. No prime-modulus choice or randomized graph search
|
| 541 |
+
is needed.
|
| 542 |
+
|
| 543 |
+
Each physical replica is a node $x_{ir}\in[0,1]$, interpreted as
|
| 544 |
+
$X_{ir}=3x_{ir}-1\in[-1,2]$. Its own \emph{direct cone} produces it
|
| 545 |
+
using the prescribed 16 averaging inputs and its fixed estimator tape.
|
| 546 |
+
All gates of different direct cones are distinct; they may read the
|
| 547 |
+
same existing node as input. The estimator uses only the nine gate types
|
| 548 |
+
of Definition~\ref{def:gcircuit}, as follows.
|
| 549 |
+
|
| 550 |
+
For every raw comparison occurrence create its own Constant threshold
|
| 551 |
+
node and a Less gate, oriented to give the desired high bit. Internal
|
| 552 |
+
binary thresholds and quantization boundaries are translated from
|
| 553 |
+
physical coordinates by $a\mapsto(a+1)/3$. Out-of-range constant cases
|
| 554 |
+
use Boolean constants. An external occurrence reads its individually
|
| 555 |
+
routed external node and compares it with a Constant at $(\xi+1)/3$.
|
| 556 |
+
Threshold gates are inside the cone and are never shared between cones.
|
| 557 |
+
All public zero bits are produced by Constant gates.
|
| 558 |
+
|
| 559 |
+
Unfold finite answer-dependent choices and implement their Boolean
|
| 560 |
+
answers and finite lookup outputs by truth-table circuits over And, Or,
|
| 561 |
+
and Not. A multiplexer, for example, is
|
| 562 |
+
$(c\mathbin{\mathrm{And}}a)\mathbin{\mathrm{Or}}
|
| 563 |
+
((\mathrm{Not}\,c)\mathbin{\mathrm{And}}b)$.
|
| 564 |
+
Copy gates may provide fan-out, although unrestricted input fan-out
|
| 565 |
+
already suffices. Induction through these circuits preserves a correct
|
| 566 |
+
near-bit with the same tolerance: weak Boolean antecedents apply to
|
| 567 |
+
inputs at most $\eps$ or at least $1-\eps$. This costs a fixed number
|
| 568 |
+
of gates because the complete answer tree and output precision have
|
| 569 |
+
already been fixed. In particular, polynomial-size field elements and
|
| 570 |
+
indices are computed publicly to choose wires, coefficients, and tables;
|
| 571 |
+
they are not hidden strings being processed by a bounded Boolean cone.
|
| 572 |
+
|
| 573 |
+
Apply Scale with parameter $1/16$ to each averaging input and accumulate
|
| 574 |
+
with Add to obtain their mean. Use Scale and Add to sum the fixed dyadic
|
| 575 |
+
weights of the signed-output bits, obtaining nodes $p,n\in[0,1]$ for
|
| 576 |
+
$p^*,n^*$ in~\eqref{ig:ideal-estimator}. For a positive rational $\beta$
|
| 577 |
+
chosen below, put $t_\beta=\beta B_1/3\le1$. Scale $p,n$ by
|
| 578 |
+
$t_\beta$, add the positive term to the averaging node, and subtract
|
| 579 |
+
the negative term, in that order, to produce $x_{ir}$. All parameters
|
| 580 |
+
lie in $[0,1]$. Exact partial sums for averages and dyadic expansions
|
| 581 |
+
are at most one; hence their clipped Add realization is exact on ideal
|
| 582 |
+
inputs. Clipped sums and differences are Lipschitz in their inputs, so
|
| 583 |
+
there is a fixed arithmetic constant $C_{\rm ar}$ with the following
|
| 584 |
+
two implications whenever the entire direct cone is $\eps$-satisfied.
|
| 585 |
+
First,
|
| 586 |
+
\begin{equation}
|
| 587 |
+
|X_{ir}-(AX)_{ir}|
|
| 588 |
+
\le2\beta B_1+C_{\rm ar}\eps.
|
| 589 |
+
\label{ig:coarse-direct}
|
| 590 |
+
\end{equation}
|
| 591 |
+
Under the same hypothesis, if all its raw comparisons give the ideal
|
| 592 |
+
near-bits, then
|
| 593 |
+
\begin{equation}
|
| 594 |
+
\left|X_{ir}-\clip_{[-1,2]}
|
| 595 |
+
\bigl((AX)_{ir}+\beta\widehat v_{ir}\bigr)\right|
|
| 596 |
+
\le C_{\rm ar}\eps.
|
| 597 |
+
\label{ig:fine-direct}
|
| 598 |
+
\end{equation}
|
| 599 |
+
Here are explicit error counts. Sixteen Scale gates and fifteen Add
|
| 600 |
+
gates produce an averaging node $\widetilde a$ with
|
| 601 |
+
$|\widetilde a-a|\le31\eps$, where $a=(Ax)_{ir}$.
|
| 602 |
+
For
|
| 603 |
+
\[
|
| 604 |
+
H(a,p,n)=\max\{\min\{a+t_\beta p,1\}-t_\beta n,0\},
|
| 605 |
+
\]
|
| 606 |
+
the two final Scale gates, Add, and Subtract give
|
| 607 |
+
$|x_{ir}-H(a,p,n)|\le35\eps$. Since
|
| 608 |
+
$|H(a,p,n)-a|\le2t_\beta$, this proves
|
| 609 |
+
\eqref{ig:coarse-direct} with arithmetic error $105\eps$ and requires
|
| 610 |
+
no estimator correctness. If the raw comparisons give the ideal near-bits,
|
| 611 |
+
pad each signed dyadic expansion to $J$ bits. Its $J$ Scale gates and
|
| 612 |
+
$J-1$ Add gates reconstruct each of $p^*,n^*$ within
|
| 613 |
+
$(3J-1)\eps$: at most $J\eps$ comes from its input bits and
|
| 614 |
+
$(2J-1)\eps$ from the arithmetic gates. Every exact partial sum is
|
| 615 |
+
at most one. The map $H$ is 1-Lipschitz in $a$ and $t_\beta$-Lipschitz
|
| 616 |
+
in each of $p,n$. Since $p^*n^*=0$,
|
| 617 |
+
\[
|
| 618 |
+
3H(a,p^*,n^*)-1
|
| 619 |
+
=\clip_{[-1,2]}\bigl((AX)_{ir}
|
| 620 |
+
+\beta B_1(p^*-n^*)\bigr).
|
| 621 |
+
\]
|
| 622 |
+
Thus both estimates hold with $C_{\rm ar}=18J+99$. This calculation
|
| 623 |
+
also covers intermediate saturations.
|
| 624 |
+
|
| 625 |
+
For each selected first-block coordinate and each replica add a separate
|
| 626 |
+
extraction pair: a Constant at $1/2$ in $x$ coordinates and a Less gate
|
| 627 |
+
comparing that constant with $x_{ir}$. Its output is the designated
|
| 628 |
+
near-bit. These gates are not used in the feedback. Let $W$ be the number
|
| 629 |
+
of designated outputs. The construction has
|
| 630 |
+
\begin{equation}\label{ig:gate-count}
|
| 631 |
+
c_{\rm sel}G_0\le W\le G_0,
|
| 632 |
+
\qquad |T_{\rm invocation}|\le C_gG_0
|
| 633 |
+
\end{equation}
|
| 634 |
+
for a fixed $C_g\ge1$ including every extraction gate and every hypothetical
|
| 635 |
+
branch. Each node is the output of at most one gate, and cycles arise only
|
| 636 |
+
through the prescribed physical input nodes. Gate listing, tape
|
| 637 |
+
construction, address calculations, and all parameters other than the
|
| 638 |
+
supplied threshold cost polynomial time and polynomial bit length in
|
| 639 |
+
$L$, with fixed exponents for the chosen bounds. Uses of an arbitrary
|
| 640 |
+
rational $\xi$ additionally cost its supplied bit length (and polynomial
|
| 641 |
+
time in that length). The gate topology and count do not depend on that
|
| 642 |
+
length or on the external physical margin.
|
| 643 |
+
|
| 644 |
+
\subsection{Robustness under arbitrary failed gates}
|
| 645 |
+
|
| 646 |
+
We give the choice order and prove the universal assignment guarantee.
|
| 647 |
+
For a replica array put
|
| 648 |
+
\begin{equation}\label{ig:replica-norm}
|
| 649 |
+
\|Y\|_{\rm rep}^2=\frac1{mR}\sum_{i,r}Y_{ir}^2,
|
| 650 |
+
\qquad \bar X_i=\frac1R\sum_rX_{ir}.
|
| 651 |
+
\end{equation}
|
| 652 |
+
Repeated mean vectors have precisely the norm~\eqref{ig:point-space}.
|
| 653 |
+
Projection onto means and onto deviations are orthogonal contractions.
|
| 654 |
+
The maximum norm of an array bounded coordinatewise by three is six;
|
| 655 |
+
this explains the constants in the failure charges below.
|
| 656 |
+
|
| 657 |
+
\paragraph{Parameter choices.}
|
| 658 |
+
Choose $q_{\rm bad}>0$ so that
|
| 659 |
+
\begin{equation}\label{ig:qbad}
|
| 660 |
+
6B_1\sqrt{q_{\rm bad}}<c_*\kappa/10,
|
| 661 |
+
\end{equation}
|
| 662 |
+
and choose $\gamma_g>0$ much smaller than $q_{\rm bad}$. Choose the
|
| 663 |
+
internal grids, the positive $\omega_{\rm in}$, and the tape-TV tolerance
|
| 664 |
+
so that, for every fixed means, the empirical fraction of cones with an
|
| 665 |
+
ambiguous internal comparison is less than $q_{\rm bad}/4$.
|
| 666 |
+
The full-tree constants $H,C$ are already fixed. By
|
| 667 |
+
\eqref{ig:internal-load}, let $D_{\rm read}$ bound the number of routed
|
| 668 |
+
internal comparison inputs using any actual replica. Choose
|
| 669 |
+
$d_{\rm sync}>0$ sufficiently small that
|
| 670 |
+
\begin{equation}\label{ig:sync-choice}
|
| 671 |
+
\frac{D_{\rm read}d_{\rm sync}^2}{4\omega_{\rm in}^2}
|
| 672 |
+
<q_{\rm bad}/4,
|
| 673 |
+
\qquad
|
| 674 |
+
\frac{64d_{\rm sync}^2}{c_{\rm sel}}<\upsilon/4.
|
| 675 |
+
\end{equation}
|
| 676 |
+
If $\|X-\bar X\|_{\rm rep}\le d_{\rm sync}$, the first bound and
|
| 677 |
+
Markov's inequality charge fewer than $q_{\rm bad}/4$ of the cones for
|
| 678 |
+
any internal routed read deviating more than $\omega_{\rm in}$ from its
|
| 679 |
+
base mean. Choose grouped budgets with positive slack, so that this
|
| 680 |
+
charge, the ambiguity charge, and the $\gamma_g$ external charge sum
|
| 681 |
+
to less than $q_{\rm bad}$.
|
| 682 |
+
|
| 683 |
+
Now fix a positive rational $\beta\le\beta_0$ such that
|
| 684 |
+
$t_\beta\le1$ and $4\beta B_1/\kappa<d_{\rm sync}/2$.
|
| 685 |
+
Finally choose positive rational $\eps_g,\delta_g$ with
|
| 686 |
+
\begin{gather}
|
| 687 |
+
\eps_g<\min\{1/100,\omega_{\rm in}/1000\},\qquad
|
| 688 |
+
\delta_g/c_{\rm sel}<\upsilon/4,
|
| 689 |
+
\label{ig:last-small}\\
|
| 690 |
+
\frac{4\beta B_1+2C_{\rm ar}\eps_g+6\sqrt{\delta_g}}
|
| 691 |
+
{\kappa}<d_{\rm sync},\qquad
|
| 692 |
+
2C_{\rm ar}\eps_g+6\sqrt{\delta_g}
|
| 693 |
+
<\beta c_*\kappa/10.
|
| 694 |
+
\label{ig:epsilon-delta}
|
| 695 |
+
\end{gather}
|
| 696 |
+
All inequalities can hold because each right side has positive slack
|
| 697 |
+
when the later constants are decreased. None of these choices uses the
|
| 698 |
+
subsequently supplied external margin $\omega>0$. That margin imposes
|
| 699 |
+
only the additional restriction $\eps<\omega/1000$ on the actual gate
|
| 700 |
+
tolerance, alongside $\eps\le\eps_g$.
|
| 701 |
+
|
| 702 |
+
Fix any assignment of values in $[0,1]$ to all nodes with at most
|
| 703 |
+
$\delta_gG_0$ failed invocation gates. Assume that at most
|
| 704 |
+
$\gamma_gG_0$ of the external comparison occurrences are spoiled:
|
| 705 |
+
every other occurrence lies on the side of $\xi$ prescribed by the
|
| 706 |
+
fixed word $y_i$, with physical gap greater than $\omega$.
|
| 707 |
+
Different occurrences are not required to have equal physical values.
|
| 708 |
+
A direct cone is called failed if any of its own gates fails. Since its
|
| 709 |
+
gates are disjoint from those of other direct cones, their failed fraction
|
| 710 |
+
is at most $\delta_g$.
|
| 711 |
+
|
| 712 |
+
\paragraph{Coarse synchronization.}
|
| 713 |
+
First obtain synchronization without assuming any correct estimator
|
| 714 |
+
answer. Apply~\eqref{ig:coarse-direct} on the unfailed cones and the
|
| 715 |
+
physical range bound on the others. The triangle inequality, the
|
| 716 |
+
factor-four norm normalization, and~\eqref{ig:replica-gap} give
|
| 717 |
+
\begin{equation}\label{ig:coarse-sync}
|
| 718 |
+
\kappa\|X-\bar X\|_{\rm rep}
|
| 719 |
+
\le\|X-AX\|_{\rm rep}
|
| 720 |
+
\le4\beta B_1+2C_{\rm ar}\eps+6\sqrt{\delta_g}
|
| 721 |
+
<\kappa d_{\rm sync}.
|
| 722 |
+
\end{equation}
|
| 723 |
+
For the first inequality write $D=X-\bar X$ and use
|
| 724 |
+
$\|D\|\le\|D-AD\|+\|AD\|$. Mark as unstable a cone with an
|
| 725 |
+
ambiguous internal comparison at these fixed means, an excessive routed
|
| 726 |
+
internal deviation, or any spoiled external occurrence. The fraction of
|
| 727 |
+
unstable cones is less than $q_{\rm bad}$ by the choices above. An
|
| 728 |
+
external spoiled occurrence charges only its own cone; no repeated-value
|
| 729 |
+
consistency was used.
|
| 730 |
+
|
| 731 |
+
\paragraph{Fine residual and endpoint proximity.}
|
| 732 |
+
Suppose for a contradiction that
|
| 733 |
+
$\dist(\bar X,\mathcal E)>10\tau$. In a stable, unfailed cone,
|
| 734 |
+
each internal comparison has physical mean gap greater than
|
| 735 |
+
$4\omega_{\rm in}$ and input deviation at most $\omega_{\rm in}$.
|
| 736 |
+
Its transformed $x$ gap is therefore at least $\omega_{\rm in}$.
|
| 737 |
+
The Constant error and the strict Less tolerance are dominated by
|
| 738 |
+
$\eps\le\eps_g<\omega_{\rm in}/1000$, forcing the ideal near-bit.
|
| 739 |
+
Every external comparison likewise has $x$ gap greater than $\omega/3$;
|
| 740 |
+
its Constant and Less errors are dominated by $\eps<\omega/1000$.
|
| 741 |
+
Thus~\eqref{ig:fine-direct} applies with the empirical ideal estimator
|
| 742 |
+
on $(\bar X,y)$. On unstable but unfailed cones,
|
| 743 |
+
\eqref{ig:coarse-direct} and $\|v\|_\infty\le B_1$ give discrepancy
|
| 744 |
+
at most $3\beta B_1+C_{\rm ar}\eps$ from the clipped mean-field
|
| 745 |
+
update at $AX$. On failed cones that discrepancy is at most three.
|
| 746 |
+
Using~\eqref{ig:empirical-error}, obtain
|
| 747 |
+
\begin{align}
|
| 748 |
+
E_{\rm in}
|
| 749 |
+
&:=\bigl\|X-\clip_{\mathcal B}
|
| 750 |
+
(AX+\beta v(\bar X))\bigr\|_{\rm rep}\notag\\
|
| 751 |
+
&\le\beta\bigl(c_*\kappa/20+6B_1\sqrt{q_{\rm bad}}\bigr)
|
| 752 |
+
+2C_{\rm ar}\eps+6\sqrt{\delta_g}
|
| 753 |
+
<\beta c_*\kappa/2.
|
| 754 |
+
\label{ig:refined-error}
|
| 755 |
+
\end{align}
|
| 756 |
+
The notation $\clip_{\mathcal B}$ here means coordinatewise clipping
|
| 757 |
+
on every replica, with $v(\bar X)$ repeated over replicas.
|
| 758 |
+
|
| 759 |
+
We keep the clipping inside the contraction argument. Put
|
| 760 |
+
\[
|
| 761 |
+
F=\clip_{\mathcal B}(AX+\beta v(\bar X)),\qquad
|
| 762 |
+
C_0=\clip_{\mathcal B}(\bar X+\beta v(\bar X)),
|
| 763 |
+
\]
|
| 764 |
+
where $C_0$ is constant on replicas. Nonexpansiveness and
|
| 765 |
+
\eqref{ig:replica-gap} show
|
| 766 |
+
\[
|
| 767 |
+
\|F-C_0\|_{\rm rep}\le(1-\kappa)\|X-\bar X\|_{\rm rep},
|
| 768 |
+
\qquad
|
| 769 |
+
\|F-\bar F\|_{\rm rep}\le(1-\kappa)\|X-\bar X\|_{\rm rep}.
|
| 770 |
+
\]
|
| 771 |
+
Projecting $X-F$ onto deviations now gives
|
| 772 |
+
$\|X-\bar X\|_{\rm rep}\le E_{\rm in}/\kappa$.
|
| 773 |
+
Projecting onto means and comparing $\bar F$ with $C_0$ gives
|
| 774 |
+
\begin{align*}
|
| 775 |
+
\|\bar X-C_0\|_{\rm b}
|
| 776 |
+
&\le E_{\rm in}+(1-\kappa)\|X-\bar X\|_{\rm rep}\\
|
| 777 |
+
&\le E_{\rm in}/\kappa<c_*\beta.
|
| 778 |
+
\end{align*}
|
| 779 |
+
This contradicts~\eqref{ig:geometric-bound}. No commutation of clipping
|
| 780 |
+
with taking means was asserted. Hence
|
| 781 |
+
$\dist(\bar X,\mathcal E)\le10\tau$, and its first block has
|
| 782 |
+
mean squared distance at most $(10\tau)^2$ from the sink word.
|
| 783 |
+
|
| 784 |
+
\paragraph{Designated outputs.}
|
| 785 |
+
It remains to account for adversarial concentration on designated
|
| 786 |
+
outputs. Among all $G_0$ replica indices, discard those in the first
|
| 787 |
+
block with mean discrepancy at least $1/4$ from the corresponding sink
|
| 788 |
+
bit, and those with replica deviation greater than $1/8$. The squared
|
| 789 |
+
bounds just proved and~\eqref{ig:coarse-sync} bound their respective
|
| 790 |
+
counts, with harmless slack for normalization, by
|
| 791 |
+
\[
|
| 792 |
+
16(10\tau)^2G_0\quad\text{and}\quad64d_{\rm sync}^2G_0.
|
| 793 |
+
\]
|
| 794 |
+
At each remaining selected position, the physical replica differs by
|
| 795 |
+
less than $3/8$ from the bit $f(s)$, so its distance from the physical
|
| 796 |
+
threshold $1/2$ is greater than $1/8$. In $x$ coordinates the gap is
|
| 797 |
+
greater than $1/24$. Since $\eps\le\eps_g<1/100$, a satisfied
|
| 798 |
+
extraction pair returns the correct near-bit. Every extraction pair has
|
| 799 |
+
its own two gates, so at most $\delta_gG_0$ designated outputs are
|
| 800 |
+
charged for their own failed gates, even if every failed gate is
|
| 801 |
+
concentrated there. By~\eqref{ig:gate-count}, the incorrect fraction is
|
| 802 |
+
at most
|
| 803 |
+
\begin{equation}\label{ig:extraction-loss}
|
| 804 |
+
\frac{16(10\tau)^2+64d_{\rm sync}^2+\delta_g}{c_{\rm sel}}
|
| 805 |
+
<\upsilon.
|
| 806 |
+
\end{equation}
|
| 807 |
+
The choice of $\tau$, synchronization radius, and failure budget reserved
|
| 808 |
+
this divisor explicitly.
|
| 809 |
+
|
| 810 |
+
We have proved the assertion for every assignment satisfying the stated
|
| 811 |
+
failure and spoil budgets, with all failed gates otherwise arbitrary.
|
| 812 |
+
Taking $c_g=c_{\rm sel}$, together with
|
| 813 |
+
Proposition~\ref{prop:dummy-port},~\eqref{ig:external-load}, and
|
| 814 |
+
\eqref{ig:gate-count}, gives every assertion of
|
| 815 |
+
Theorem~\ref{thm:port-gadget}. The proof uses no part of the outer
|
| 816 |
+
circuitization: its only remaining independent input is the geometric
|
| 817 |
+
lemma proved next.
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/10-geometry.tex
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|
| 1 |
+
\section{Encoded paths and finite local displacement procedures}
|
| 2 |
+
\label{sec:geometry}
|
| 3 |
+
|
| 4 |
+
The encoded-path and displacement-field method follows the construction
|
| 5 |
+
in Rubinstein~\cite[Sections~3.1--3.2]{Rubinstein2016Settling}: current and successor
|
| 6 |
+
blocks trace a copy--toggle polygon, and radial interpolation moves from
|
| 7 |
+
the tangent through the inward and reverse-tangent directions to a fixed
|
| 8 |
+
vertical direction. Here we prove the geometric interface at the normalized
|
| 9 |
+
codeword scale, including rounded corners, displacement after clipping,
|
| 10 |
+
and finite local access with average errors. This section is independent
|
| 11 |
+
of both circuit realizations. Its hypotheses concern entire binary words and local access
|
| 12 |
+
to their bits; they do not depend on the algebraic interpretation of an
|
| 13 |
+
individual coordinate. In particular, in the inner application the graph
|
| 14 |
+
is the path for the fixed true input tuple, and the distinguished source
|
| 15 |
+
is accessed through the virtual procedures of Section~\ref{sec:inner-gadget}.
|
| 16 |
+
|
| 17 |
+
\subsection{The geometric statement and its parameters}
|
| 18 |
+
\label{geo:setup}
|
| 19 |
+
|
| 20 |
+
Let $G$ be a finite directed graph of indegree and outdegree at most one,
|
| 21 |
+
with no self-edge and no isolated vertex. Fix a source $w_*$ with an actual
|
| 22 |
+
successor. All other vertices missing an incoming or an outgoing edge are
|
| 23 |
+
called desired endpoints. Suppose that distinct vertices have encodings
|
| 24 |
+
$E_w\in\{0,1\}^m$ satisfying
|
| 25 |
+
\begin{equation}\label{geo:distance}
|
| 26 |
+
\norm{E_u-E_v}_{\rm b}\ge d_*>0\qquad(u\ne v).
|
| 27 |
+
\end{equation}
|
| 28 |
+
We decrease $d_*$ to a positive rational at most one. On any number of
|
| 29 |
+
blocks of length $m$ use the inner product and norm
|
| 30 |
+
\begin{equation}\label{geo:norm}
|
| 31 |
+
\langle U,V\rangle_{\rm b}=m^{-1}\sum_j U_jV_j,
|
| 32 |
+
\qquad \norm{U}_{\rm b}^2=m^{-1}\sum_j U_j^2.
|
| 33 |
+
\end{equation}
|
| 34 |
+
An unqualified norm in this section means this norm. The infinity norm
|
| 35 |
+
is unnormalized. Write $\mathcal B=[-1,2]^{4m}$, and let
|
| 36 |
+
$\clip_{\mathcal B}$ denote coordinatewise clipping to this cube.
|
| 37 |
+
Clipping is nonexpansive for~\eqref{geo:norm}. Scalars occupying a block
|
| 38 |
+
mean constant repetitions.
|
| 39 |
+
|
| 40 |
+
\begin{theorem}[Encoded-path geometry]\label{thm:geometry}
|
| 41 |
+
Under these hypotheses, there is a union $\mathcal L\subset\mathcal B$
|
| 42 |
+
of directed, rounded paths and cycles, with desired endpoint set
|
| 43 |
+
$\mathcal E$, having the following properties. For every sufficiently
|
| 44 |
+
small positive rational $\tau$, there are a positive integer $B_1$ and
|
| 45 |
+
positive rational constants $c_*,\beta_0$, depending only on $d_*$ and
|
| 46 |
+
$\tau$, and a field $v:\mathcal B\to\mathbb R^{4m}$ such that
|
| 47 |
+
\begin{align}
|
| 48 |
+
\norm{v(X)}_\infty&\le B_1-1,\label{geo:bounded-field}\\
|
| 49 |
+
\norm{\clip_{\mathcal B}(X+\beta v(X))-X}
|
| 50 |
+
&\ge c_*\beta
|
| 51 |
+
\quad\text{if }\dist(X,\mathcal E)>10\tau,
|
| 52 |
+
\quad 0<\beta\le\beta_0.\label{geo:displacement}
|
| 53 |
+
\end{align}
|
| 54 |
+
The field is continuous on the relative open set
|
| 55 |
+
$\{X\in\mathcal B:\dist(X,\mathcal E)>10\tau\}$.
|
| 56 |
+
Every $P\in\mathcal E$ has first block exactly $E_w$ for a desired
|
| 57 |
+
endpoint $w$. Consequently, if $\norm{X-P}\le10\tau$, rounding $X_1$
|
| 58 |
+
at $1/2$ gives relative Hamming distance at most $4(10\tau)^2$ from
|
| 59 |
+
$E_w$. The exceptional top of the distinguished vertical is excluded
|
| 60 |
+
from $\mathcal E$ and has field $-\mathbf e$, where
|
| 61 |
+
$\mathbf e=(0,0,0,1)$.
|
| 62 |
+
|
| 63 |
+
The initial choice of $\tau$ may impose any further fixed positive upper
|
| 64 |
+
bounds, including validation and global-recovery radii. All these choices,
|
| 65 |
+
and $B_1,c_*,\beta_0$, precede every numerical accuracy choice and the
|
| 66 |
+
choice of a step size $\beta$.
|
| 67 |
+
\end{theorem}
|
| 68 |
+
|
| 69 |
+
We prove the theorem before formulating the precise access contract for
|
| 70 |
+
its finite numerical implementation. In particular no global regularity
|
| 71 |
+
claim at desired endpoints will be needed.
|
| 72 |
+
|
| 73 |
+
\subsection{Polygons, fillets, and local projection}
|
| 74 |
+
\label{geo:curves}
|
| 75 |
+
|
| 76 |
+
For an edge $u\to v$, draw, with fourth block zero,
|
| 77 |
+
\begin{equation}\label{geo:polygon}
|
| 78 |
+
\begin{aligned}
|
| 79 |
+
&(E_u,E_u,0)\xrightarrow{\;2\;}(E_u,E_v,0)
|
| 80 |
+
\xrightarrow{\;3\uparrow\;}(E_u,E_v,1)\\
|
| 81 |
+
&\qquad\xrightarrow{\;1\;}(E_v,E_v,1)
|
| 82 |
+
\xrightarrow{\;3\downarrow\;}(E_v,E_v,0).
|
| 83 |
+
\end{aligned}
|
| 84 |
+
\end{equation}
|
| 85 |
+
An arrow label names the changing block; the up and down arrows record
|
| 86 |
+
the direction of the third block. This is a schematic of block changes,
|
| 87 |
+
not a distance-preserving planar drawing.
|
| 88 |
+
Concatenate these polygons at graph-vertex junctions. Put
|
| 89 |
+
$H_*=(E_{w_*},E_{w_*},0)$ and prepend the segment
|
| 90 |
+
$(H_*,2)\longrightarrow(H_*,0)$ to the path out of $w_*$.
|
| 91 |
+
We call the four segment types in~\eqref{geo:polygon} \emph{horizontal},
|
| 92 |
+
meaning that their fourth block is zero; this includes the two third-block
|
| 93 |
+
toggles. Every horizontal segment has length in $[d_*,1]$, and consecutive unit
|
| 94 |
+
directions are orthogonal: the successive varying blocks in a polygon
|
| 95 |
+
are $2,3,1,3$, a graph junction changes from block $3$ to block $2$,
|
| 96 |
+
and the special bottom changes from block $4$ to block $2$.
|
| 97 |
+
|
| 98 |
+
\begin{lemma}[Separation of original segments]\label{geo:separation}
|
| 99 |
+
There is $d_{\rm sep}>0$, depending only on $d_*$, such that distinct
|
| 100 |
+
nonconsecutive original segments are at distance at least $d_{\rm sep}$.
|
| 101 |
+
Their adjacency graph, with adjacency meaning consecutiveness, has no
|
| 102 |
+
triangle.
|
| 103 |
+
\end{lemma}
|
| 104 |
+
\begin{proof}
|
| 105 |
+
For binary words $a,b,c$ and $0\le s\le1$,
|
| 106 |
+
\begin{equation}\label{geo:binary-chord}
|
| 107 |
+
\norm{(1-s)a+sb-c}\ge\min(s,1-s)\norm{a-b}.
|
| 108 |
+
\end{equation}
|
| 109 |
+
Indeed on a coordinate where $a,b$ differ, the chord coordinate is $s$
|
| 110 |
+
or $1-s$, whose distance from a binary coordinate is at least
|
| 111 |
+
$\min(s,1-s)$. Summing squares proves the claim. In particular, a
|
| 112 |
+
point on this chord within distance $z$ of a binary word is within
|
| 113 |
+
distance $z$ of one of the chord endpoints.
|
| 114 |
+
|
| 115 |
+
Consider first segments varying the same block. If their distance is
|
| 116 |
+
less than $d_*$, all fixed encoding blocks and repeated binary levels
|
| 117 |
+
agree. For block $2$, the tail agrees and determines the outgoing
|
| 118 |
+
edge. For block $1$, the head agrees and determines the incoming edge.
|
| 119 |
+
For block $3$, an upward segment has a fixed unequal pair $(E_u,E_v)$,
|
| 120 |
+
whereas a downward segment has an equal pair $(E_v,E_v)$; the two types
|
| 121 |
+
cannot have the same fixed pair. Within either type that pair determines
|
| 122 |
+
the segment, using uniqueness of the incoming edge for the downward
|
| 123 |
+
type. There is only one block-$4$ segment.
|
| 124 |
+
|
| 125 |
+
For two segments varying different blocks, choose points at distance
|
| 126 |
+
$z$. Each varying block of a horizontal segment is within distance $z$
|
| 127 |
+
of a fixed binary block of the other. By~\eqref{geo:binary-chord}, its
|
| 128 |
+
point is within distance $z$ of an endpoint of its original segment.
|
| 129 |
+
For the special vertical, its distance from a horizontal segment forces
|
| 130 |
+
its height to be at most $z$, so it is within $z$ of its bottom. The
|
| 131 |
+
two selected endpoints are therefore within $3z$. Distinct original
|
| 132 |
+
endpoints are separated by at least $d_*$: one of their encoding blocks,
|
| 133 |
+
binary third levels, or vertical levels differs. Taking $3z<d_*$ forces
|
| 134 |
+
the endpoints to coincide.
|
| 135 |
+
|
| 136 |
+
An unequal ordered pair $(E_u,E_v)$ occurs at the two internal toggle
|
| 137 |
+
corners of its own edge only, with the third level distinguishing them.
|
| 138 |
+
An endpoint $(E_v,E_v,1,0)$ belongs to the last internal corner of the
|
| 139 |
+
unique incoming edge. An endpoint $(E_v,E_v,0,0)$ belongs to at most
|
| 140 |
+
the incoming final segment and the outgoing first segment. If both
|
| 141 |
+
exist, they are consecutive. At $w_*$ there is no incoming graph edge,
|
| 142 |
+
and the special bottom takes exactly that role. The top belongs only
|
| 143 |
+
to the special vertical. Thus equality of endpoints of distinct
|
| 144 |
+
segments implies consecutiveness. For example $d_{\rm sep}=d_*/4$
|
| 145 |
+
is sufficient for the asserted strict-distance argument. The adjacency
|
| 146 |
+
components are paths and cycles; any cycle contains at least eight
|
| 147 |
+
segments because the graph has no self-edge. Adding a segment at a
|
| 148 |
+
path beginning creates no triangle.
|
| 149 |
+
\end{proof}
|
| 150 |
+
|
| 151 |
+
Choose a positive rational $a_0$ such that
|
| 152 |
+
\begin{equation}\label{geo:trim-choice}
|
| 153 |
+
2a_0<d_{\rm sep}/2,\qquad4a_0<d_*,\qquad a_0<1/10.
|
| 154 |
+
\end{equation}
|
| 155 |
+
Trim arclength $a_0$ from both ends of every horizontal segment, whether
|
| 156 |
+
or not its outer graph junction is present. At a shared corner $C$ with
|
| 157 |
+
incoming and outgoing unit directions $u_0,v_0$, join the trim points by
|
| 158 |
+
\begin{align}
|
| 159 |
+
Z(s)&=C-a_0u_0+a_0v_0
|
| 160 |
+
+a_0(\sin s\,u_0-\cos s\,v_0),
|
| 161 |
+
&0\le s\le\pi/2,\label{geo:fillet}\\
|
| 162 |
+
T(s)&=\cos s\,u_0+\sin s\,v_0.\label{geo:fillet-tangent}
|
| 163 |
+
\end{align}
|
| 164 |
+
The arc has speed $a_0$ in the parameter $s$, and $T$ is its directed
|
| 165 |
+
unit tangent. Figure~\ref{fig:geo-fillet} shows this replacement in the
|
| 166 |
+
plane of its two orthogonal directions. Use the same fillet at the special
|
| 167 |
+
bottom, trimming the vertical there only. Its top is not trimmed. Unmatched horizontal trim
|
| 168 |
+
points remain endpoints. Let $\mathcal L$ be the resulting compact union
|
| 169 |
+
and set
|
| 170 |
+
\begin{equation}\label{geo:endpoint-set}
|
| 171 |
+
\mathcal E=\{\text{unmatched endpoints of }\mathcal L\}
|
| 172 |
+
\setminus\{(H_*,2)\}.
|
| 173 |
+
\end{equation}
|
| 174 |
+
|
| 175 |
+
The first three blocks stay in $[0,1]$: on a fillet the separate varied
|
| 176 |
+
block coordinates stay in the intervals traversed by their original
|
| 177 |
+
segments. The fourth block is zero except on the vertical and its bottom
|
| 178 |
+
fillet; on that fillet it is a repeated scalar in $[0,a_0]$.
|
| 179 |
+
Consequently $\langle T,\mathbf e\rangle\le0$ everywhere. Fix an
|
| 180 |
+
integer $C_t\ge2/d_*$. For arclength $\lambda$,
|
| 181 |
+
\begin{equation}\label{geo:tangent-bounds}
|
| 182 |
+
\norm T_\infty\le C_t,\qquad
|
| 183 |
+
\norm{dT/d\lambda}\le1/a_0,\qquad
|
| 184 |
+
\norm{dT/d\lambda}_\infty\le2C_t/a_0.
|
| 185 |
+
\end{equation}
|
| 186 |
+
These derivative bounds hold on piece interiors and give the same
|
| 187 |
+
Lipschitz bounds across joins because the tangent is continuous there.
|
| 188 |
+
|
| 189 |
+
\begin{figure}[htbp]
|
| 190 |
+
\centering
|
| 191 |
+
\setlength{\unitlength}{1pt}
|
| 192 |
+
\begin{picture}(290,160)
|
| 193 |
+
\thinlines
|
| 194 |
+
\multiput(180,30)(-5,0){10}{\line(-1,0){2}}
|
| 195 |
+
\multiput(180,30)(0,5){10}{\line(0,1){2}}
|
| 196 |
+
\put(180,30){\circle*{3}}
|
| 197 |
+
\put(187,24){\makebox(0,0)[l]{$C$}}
|
| 198 |
+
\put(130,80){\circle*{3}}
|
| 199 |
+
\put(122,87){\makebox(0,0)[r]{$O$}}
|
| 200 |
+
\thicklines
|
| 201 |
+
\put(20,30){\line(1,0){110}}
|
| 202 |
+
\put(62,30){\vector(1,0){25}}
|
| 203 |
+
\put(74,18){\makebox(0,0)[t]{$u_0$}}
|
| 204 |
+
\qbezier(130,30)(139.946,30)(149.134,33.806)
|
| 205 |
+
\qbezier(149.134,33.806)(158.323,37.612)(165.355,44.645)
|
| 206 |
+
\qbezier(165.355,44.645)(172.388,51.677)(176.194,60.866)
|
| 207 |
+
\qbezier(176.194,60.866)(180,70.054)(180,80)
|
| 208 |
+
\put(180,80){\line(0,1){65}}
|
| 209 |
+
\put(180,103){\vector(0,1){24}}
|
| 210 |
+
\put(170,116){\makebox(0,0)[r]{$v_0$}}
|
| 211 |
+
\put(130,30){\circle*{3}}
|
| 212 |
+
\put(180,80){\circle*{3}}
|
| 213 |
+
\put(130,9){\makebox(0,0)[t]{$C-a_0u_0$}}
|
| 214 |
+
\put(188,80){\makebox(0,0)[l]{$C+a_0v_0$}}
|
| 215 |
+
\end{picture}
|
| 216 |
+
\caption{Rounding one orthogonal corner. The dashed legs are removed;
|
| 217 |
+
the directed path follows the retained straight portions and the fillet
|
| 218 |
+
from $C-a_0u_0$ to $C+a_0v_0$. Its center is
|
| 219 |
+
$O=C-a_0u_0+a_0v_0$ and its radius is $a_0$. This local geometry lies
|
| 220 |
+
in the orthonormal $(u_0,v_0)$ plane.}
|
| 221 |
+
\label{fig:geo-fillet}
|
| 222 |
+
\end{figure}
|
| 223 |
+
|
| 224 |
+
The numerical procedure will choose a curve point by minimizing estimated
|
| 225 |
+
distances. We therefore need more than a unique projection: a curve point
|
| 226 |
+
with small squared-distance excess must be close to the true projection,
|
| 227 |
+
and its tangent close to the projection's tangent, in every coordinate.
|
| 228 |
+
The next lemma gives these bounds before any candidate is selected.
|
| 229 |
+
|
| 230 |
+
\begin{lemma}[Local chains and strong excess]\label{geo:projection}
|
| 231 |
+
There is $\rho_{\rm loc}>0$, depending only on $d_*,a_0$, such that
|
| 232 |
+
two points $Z,Z'\in\mathcal L$ with $\norm{Z-Z'}<\rho_{\rm loc}$
|
| 233 |
+
are joined along one local straight or single-corner chain. Its length
|
| 234 |
+
$\Delta$ satisfies $\Delta\le\sqrt2\norm{Z-Z'}$.
|
| 235 |
+
For every sufficiently small $\tau>0$, if
|
| 236 |
+
\begin{equation}\label{geo:tube-hypothesis}
|
| 237 |
+
r=\dist(X,\mathcal L)\le4\tau,\qquad
|
| 238 |
+
\dist(X,\mathcal E\cup\{(H_*,2)\})>10\tau,
|
| 239 |
+
\end{equation}
|
| 240 |
+
there is a unique closest point $Z$, which is interior and satisfies
|
| 241 |
+
$\langle X-Z,T(Z)\rangle=0$. If $Z'\in\mathcal L$ has squared excess
|
| 242 |
+
$g=\norm{X-Z'}^2-r^2\le\tau^2$ and signed arclength difference $s'$
|
| 243 |
+
from $Z$ on that chain, then
|
| 244 |
+
\begin{equation}\label{geo:strong-excess}
|
| 245 |
+
g\ge (s')^2/2.
|
| 246 |
+
\end{equation}
|
| 247 |
+
In particular,
|
| 248 |
+
\begin{align}
|
| 249 |
+
\norm{Z'-Z}&\le\sqrt{2g},&
|
| 250 |
+
\norm{Z'-Z}_\infty&\le C_t\sqrt{2g},\label{geo:point-error}\\
|
| 251 |
+
\norm{T(Z')-T(Z)}&\le\sqrt{2g}/a_0,&
|
| 252 |
+
\norm{T(Z')-T(Z)}_\infty&\le2C_t\sqrt{2g}/a_0.
|
| 253 |
+
\label{geo:tangent-error}
|
| 254 |
+
\end{align}
|
| 255 |
+
The tangent at an endpoint competitor is its one-sided tangent.
|
| 256 |
+
\end{lemma}
|
| 257 |
+
\begin{proof}
|
| 258 |
+
Support a straight point by its original segment, and an arc point by
|
| 259 |
+
the two segments of its corner. An arc point is within $a_0$ of each
|
| 260 |
+
supporting segment. Choose $\rho_{\rm loc}+2a_0<d_{\rm sep}$.
|
| 261 |
+
Every across-point pair of supports is then identical or consecutive.
|
| 262 |
+
Each point's support set is itself a clique, so their union is a clique
|
| 263 |
+
and contains at most two segments by Lemma~\ref{geo:separation}. In the
|
| 264 |
+
one-segment case both points lie on its retained straight. In the
|
| 265 |
+
two-segment case they lie on the two retained straights and their
|
| 266 |
+
shared fillet. Opposite-end trims are disjoint by~\eqref{geo:trim-choice}.
|
| 267 |
+
This also rules out unintended identifications or intersections.
|
| 268 |
+
|
| 269 |
+
Along a two-direction chain, all tangent coefficients in its orthogonal
|
| 270 |
+
directions $u_0,v_0$ are nonnegative, and
|
| 271 |
+
$\langle T,u_0+v_0\rangle\ge1$. Integrating in the directed order gives
|
| 272 |
+
$\Delta\le\langle Z'-Z,u_0+v_0\rangle\le\sqrt2\norm{Z'-Z}$.
|
| 273 |
+
Reverse the order if necessary. A straight chain has equality between
|
| 274 |
+
length and endpoint distance.
|
| 275 |
+
|
| 276 |
+
Compactness gives a minimizer. The endpoint assumption makes every
|
| 277 |
+
minimizer interior, so differentiating squared distance along its
|
| 278 |
+
$C^1$ path gives the asserted perpendicularity. A competitor of the
|
| 279 |
+
stated excess satisfies
|
| 280 |
+
\[
|
| 281 |
+
\norm{Z'-Z}\le4\tau+\sqrt{17}\tau<9\tau.
|
| 282 |
+
\]
|
| 283 |
+
Require $9\tau<\rho_{\rm loc}$. The local chain then has
|
| 284 |
+
$|s'|<13\tau$, and integration of~\eqref{geo:tangent-bounds} gives
|
| 285 |
+
\[
|
| 286 |
+
Z'-Z=s'T(Z)+R,\qquad \norm R\le(s')^2/(2a_0).
|
| 287 |
+
\]
|
| 288 |
+
For $|s'|/(2a_0)<1$, expansion of squared distance and perpendicularity
|
| 289 |
+
therefore imply
|
| 290 |
+
\begin{align*}
|
| 291 |
+
g&=\norm{Z'-Z}^2-2\langle X-Z,Z'-Z\rangle\\
|
| 292 |
+
&\ge(s')^2\left[
|
| 293 |
+
\left(1-\frac{|s'|}{2a_0}\right)^2-\frac r{a_0}\right]
|
| 294 |
+
\ge(s')^2/2,
|
| 295 |
+
\end{align*}
|
| 296 |
+
where, for example, $\tau/a_0\le1/64$ makes the last inequality hold.
|
| 297 |
+
Applying this to a second minimizer proves uniqueness. Integrating the
|
| 298 |
+
unit tangent, its infinity bound, and its two Lipschitz bounds over
|
| 299 |
+
length $|s'|\le\sqrt{2g}$ proves~\eqref{geo:point-error} and
|
| 300 |
+
\eqref{geo:tangent-error}. All estimates are independent of $m$.
|
| 301 |
+
\end{proof}
|
| 302 |
+
|
| 303 |
+
At an unmatched beginning, the trimmed segment varies only block $2$;
|
| 304 |
+
at an unmatched ending it varies only block $3$. Their first blocks
|
| 305 |
+
are therefore exactly the encoding of the missing-neighbor vertex.
|
| 306 |
+
There are no isolated vertices requiring a separate convention. The
|
| 307 |
+
source's horizontal beginning is joined to the special vertical and
|
| 308 |
+
is not an endpoint of $\mathcal L$. This proves the endpoint assertion
|
| 309 |
+
in Theorem~\ref{thm:geometry}. If $P\in\mathcal E$ and $\norm{X-P}\le10\tau$, every wrongly
|
| 310 |
+
rounded first coordinate costs at least $1/4$ in squared error, proving
|
| 311 |
+
the Hamming bound in that theorem.
|
| 312 |
+
|
| 313 |
+
\begin{remark}[Local Lipschitz continuity of projection]
|
| 314 |
+
\label{geo:projection-lipschitz}
|
| 315 |
+
Suppose both $X$ and $Y$ satisfy~\eqref{geo:tube-hypothesis}, and
|
| 316 |
+
$\norm{X-Y}\le\tau/20$. Write $P,Q$ for their respective projections
|
| 317 |
+
onto $\mathcal L$ and $r_X,r_Y$ for their distances to $\mathcal L$.
|
| 318 |
+
With the same sufficiently small choice of $\tau$, one has
|
| 319 |
+
\begin{equation}\label{geo:projection-lipschitz-bound}
|
| 320 |
+
\left(1-\frac{r_X+r_Y}{a_0}\right)\norm{P-Q}^2
|
| 321 |
+
\le \langle X-Y,P-Q\rangle
|
| 322 |
+
\le \norm{X-Y}\norm{P-Q}.
|
| 323 |
+
\end{equation}
|
| 324 |
+
In particular, the projection is locally $2$-Lipschitz on this tube.
|
| 325 |
+
This is a local assertion away from the specified endpoints.
|
| 326 |
+
|
| 327 |
+
Indeed, the conclusion is immediate if $P=Q$. Otherwise,
|
| 328 |
+
$\norm{P-Q}\le r_X+\norm{X-Y}+r_Y\le(8+1/20)\tau<\rho_{\rm loc}$.
|
| 329 |
+
Lemma~\ref{geo:projection} therefore puts $P,Q$ on one local chain,
|
| 330 |
+
whose arclength $s$ satisfies $s^2\le2\norm{P-Q}^2$.
|
| 331 |
+
Integrating~\eqref{geo:tangent-bounds} from either end expresses its
|
| 332 |
+
chord as the signed length times the tangent there, with remainder
|
| 333 |
+
of norm at most $s^2/(2a_0)$. Perpendicularity at $P$ and $Q$ gives
|
| 334 |
+
\[
|
| 335 |
+
\big|\langle X-P,P-Q\rangle\big|
|
| 336 |
+
\le\frac{r_Xs^2}{2a_0},\qquad
|
| 337 |
+
\big|\langle Y-Q,P-Q\rangle\big|
|
| 338 |
+
\le\frac{r_Ys^2}{2a_0}.
|
| 339 |
+
\]
|
| 340 |
+
Expanding $X-Y=(P-Q)+(X-P)-(Y-Q)$ proves the first inequality
|
| 341 |
+
in~\eqref{geo:projection-lipschitz-bound}; Cauchy--Schwarz proves
|
| 342 |
+
the second. Finally $r_X+r_Y\le8\tau$ and $\tau/a_0\le1/64$
|
| 343 |
+
make its left coefficient at least $7/8$, and in particular at least
|
| 344 |
+
$1/2$, proving the stated factor $2$.
|
| 345 |
+
\end{remark}
|
| 346 |
+
|
| 347 |
+
\subsection{A field with uniform displacement after clipping}
|
| 348 |
+
|
| 349 |
+
For the inside prescription, away from the desired endpoint neighborhood,
|
| 350 |
+
successive radial intervals interpolate from the directed tangent through
|
| 351 |
+
the inward normal and reverse tangent to the fixed fourth-block direction.
|
| 352 |
+
The four directional stages in~\eqref{geo:Phi} parallel
|
| 353 |
+
\cite[Equation~(1)]{Rubinstein2016Settling}; the projection and clipping estimates
|
| 354 |
+
below establish the bounds needed for the present curve.
|
| 355 |
+
A separate prescription above fourth-block mean level $1/2$ handles the
|
| 356 |
+
distinguished vertical. We check that the prescriptions agree and that
|
| 357 |
+
clipping preserves positive displacement away from the desired endpoints.
|
| 358 |
+
The normalized tube bound permits individual coordinates of $X$ to be
|
| 359 |
+
far from the curve, so raw field length alone does not prove this last
|
| 360 |
+
claim. We will bound the fraction of coordinates where clipping can
|
| 361 |
+
remove motion, and then handle the upper face separately.
|
| 362 |
+
\label{geo:field}
|
| 363 |
+
|
| 364 |
+
Fix $\tau$ satisfying Lemma~\ref{geo:projection}, and impose also
|
| 365 |
+
\begin{equation}\label{geo:tau-choice}
|
| 366 |
+
\tau<1/100,\qquad6(C_t+1)\tau\le1/4.
|
| 367 |
+
\end{equation}
|
| 368 |
+
All further fixed validation or recovery upper bounds on $\tau$ are
|
| 369 |
+
imposed now. For $X=(X_1,X_2,X_3,X_4)$ put
|
| 370 |
+
$\mu=m^{-1}\sum_j(X_4)_j$. For a point $Z$ and a unit tangent $T$ let
|
| 371 |
+
$r=\norm{X-Z}$ and define
|
| 372 |
+
\begin{equation}\label{geo:Phi}
|
| 373 |
+
\Phi(X;Z,T)=
|
| 374 |
+
\begin{cases}
|
| 375 |
+
(1-r/\tau)T+(Z-X)/\tau,&0\le r\le\tau,\\[2pt]
|
| 376 |
+
-(r/\tau-1)T+\dfrac{2\tau-r}{\tau r}(Z-X),
|
| 377 |
+
&\tau\le r\le2\tau,\\[5pt]
|
| 378 |
+
-\dfrac{3\tau-r}{\tau}T+\dfrac{r-2\tau}{\tau}\mathbf e,
|
| 379 |
+
&2\tau\le r\le3\tau,\\[5pt]
|
| 380 |
+
\mathbf e,&r\ge3\tau.
|
| 381 |
+
\end{cases}
|
| 382 |
+
\end{equation}
|
| 383 |
+
The values at shared boundaries agree. There is no reciprocal radius
|
| 384 |
+
in the formula used near zero.
|
| 385 |
+
|
| 386 |
+
For $\mu\le1/2$ and $\dist(X,\mathcal E)>10\tau$, use
|
| 387 |
+
$v(X)=\Phi(X;Z,T(Z))$ when $\dist(X,\mathcal L)\le3\tau$, and
|
| 388 |
+
$v(X)=\mathbf e$ otherwise. The top is at distance at least $3/2$
|
| 389 |
+
from this region, by the difference of fourth-block means; hence the
|
| 390 |
+
projection lemma applies. At the remaining inside points put $v(X)=0$.
|
| 391 |
+
For $\mu\ge1/2$, the default upward motion can be lost at the upper
|
| 392 |
+
face. We add motion toward the distinguished vertical, with coefficient
|
| 393 |
+
zero at the mean interface. Close to that vertical the tangent direction
|
| 394 |
+
is downward, including at its top. Set
|
| 395 |
+
\begin{equation}\label{geo:outside}
|
| 396 |
+
\begin{aligned}
|
| 397 |
+
Z_\mu&=(H_*,\mu),\qquad r_\mu=\norm{X-Z_\mu},\qquad
|
| 398 |
+
h_\mu=\min\{1,2(\mu-1/2)\},\\
|
| 399 |
+
v(X)&=\Phi(X;Z_\mu,-\mathbf e)+h_\mu(Z_\mu-X).
|
| 400 |
+
\end{aligned}
|
| 401 |
+
\end{equation}
|
| 402 |
+
|
| 403 |
+
\begin{lemma}[Agreement at the mean interface]\label{geo:interface}
|
| 404 |
+
In $2/5<\mu<3/5$, the inside prescription extended to this slab equals
|
| 405 |
+
$\Phi(X;Z_\mu,-\mathbf e)$. The outside extension, using
|
| 406 |
+
$h_\mu=\max\{0,\min\{1,2(\mu-1/2)\}\}$, differs from it in norm by
|
| 407 |
+
at most $12|\mu-1/2|$ and in each component by at most $6|\mu-1/2|$.
|
| 408 |
+
Thus the definitions agree at $\mu=1/2$.
|
| 409 |
+
\end{lemma}
|
| 410 |
+
\begin{proof}
|
| 411 |
+
Every nonvertical piece, including the bottom fillet, has fourth height
|
| 412 |
+
at most $a_0<1/10$. Its distance to a point in the slab exceeds $3/10$,
|
| 413 |
+
by the mean inequality $\norm{X_4-z\mathbf1}\ge|\mu-z|$.
|
| 414 |
+
It cannot be in the $4\tau$ tube. The retained vertical contains all
|
| 415 |
+
heights of this slab, and
|
| 416 |
+
\[
|
| 417 |
+
m^{-1}\sum_j((X_4)_j-t)^2
|
| 418 |
+
=m^{-1}\sum_j((X_4)_j-\mu)^2+(t-\mu)^2
|
| 419 |
+
\]
|
| 420 |
+
shows that its nearest line point is $Z_\mu$. For $T=-\mathbf e$,
|
| 421 |
+
the last annulus of~\eqref{geo:Phi} is already identically
|
| 422 |
+
$\mathbf e$ at every $r\ge2\tau$. Consequently the same equality
|
| 423 |
+
holds even where the closest curve piece is far away and the inside
|
| 424 |
+
field is default. The desired endpoints have fourth height zero and
|
| 425 |
+
the top has height two, so neither endpoint exception occurs in the
|
| 426 |
+
slab. Each coordinate of $Z_\mu-X$ has magnitude at most three and
|
| 427 |
+
its norm is at most six. Multiplication by
|
| 428 |
+
$h_\mu\le2|\mu-1/2|$ proves both bounds.
|
| 429 |
+
\end{proof}
|
| 430 |
+
|
| 431 |
+
The projection is continuous wherever it is unique in the tube:
|
| 432 |
+
if $X_n\to X$, compactness makes every subsequential limit of their
|
| 433 |
+
projections a minimizer for $X$, hence the unique minimizer. Its tangent
|
| 434 |
+
is continuous along the local chains. Formula~\eqref{geo:Phi} matches
|
| 435 |
+
the default at $3\tau$, and Lemma~\ref{geo:interface} matches the mean
|
| 436 |
+
interface. This proves precisely the continuity claimed in
|
| 437 |
+
Theorem~\ref{thm:geometry}.
|
| 438 |
+
|
| 439 |
+
\begin{proof}[Proof of the displacement assertion in Theorem~\ref{thm:geometry}]
|
| 440 |
+
Choose $\beta_0>0$ satisfying all the upper bounds on $\beta$ used below.
|
| 441 |
+
\paragraph{Inside the tube and in the inside default region.}
|
| 442 |
+
First suppose $\mu\le1/2$ and $r=\dist(X,\mathcal L)\le3\tau$.
|
| 443 |
+
For $r\le\tau$ the raw field is the convex combination of $T$ and
|
| 444 |
+
the inward unit normal with coefficients $1-r/\tau,r/\tau$.
|
| 445 |
+
For $\tau\le r\le2\tau$ it is the convex combination of $-T$ and
|
| 446 |
+
the inward unit normal with coefficients $r/\tau-1,2-r/\tau$.
|
| 447 |
+
The two directions in each combination are orthogonal. At $r=0$
|
| 448 |
+
the field is $T$. In the third annulus the two unit directions are
|
| 449 |
+
$-T,\mathbf e$, whose inner product is nonnegative. Therefore in all
|
| 450 |
+
three annuli $\norm{v(X)}\ge1/\sqrt2$.
|
| 451 |
+
|
| 452 |
+
Write $v=b+w(Z-X)$, where $\norm b_\infty\le C_t+1$ and
|
| 453 |
+
$0\le w\le1/\tau$. All coordinates of $Z$ lie in $[0,1]$: for a
|
| 454 |
+
vertical projection its height is at most $\mu+3\tau<1$, and all
|
| 455 |
+
other pieces already have this property. Require
|
| 456 |
+
$\beta/\tau\le1/2$ and $\beta(C_t+1)\le1/4$.
|
| 457 |
+
The preliminary point $Y=X+\beta w(Z-X)$ lies in the box. If
|
| 458 |
+
$|X_i-Z_i|<1/2$, then $-1/2<Y_i<3/2$, and the additional displacement
|
| 459 |
+
$\beta b_i$ causes no clipping. The number of remaining coordinates,
|
| 460 |
+
divided by $m$, is at most $4r^2\le36\tau^2$. At each, the clipping
|
| 461 |
+
loss is at most $\beta(C_t+1)$ because $Y$ was in the box. The norm of
|
| 462 |
+
all loss is at most $6\tau\beta(C_t+1)\le\beta/4$. Subtracting it
|
| 463 |
+
from the raw displacement leaves at least $\beta/4$.
|
| 464 |
+
|
| 465 |
+
In the inside default case, let $p$ be the fraction of fourth coordinates
|
| 466 |
+
at most $7/4$. Since all entries are at least $-1$,
|
| 467 |
+
\[
|
| 468 |
+
1/2\ge\mu\ge-p+(7/4)(1-p),\qquad p\ge5/11.
|
| 469 |
+
\]
|
| 470 |
+
For $\beta\le1/4$ these coordinates retain the full upward displacement,
|
| 471 |
+
giving norm at least $\beta\sqrt{5/11}$.
|
| 472 |
+
|
| 473 |
+
\paragraph{Above the mean interface.}
|
| 474 |
+
Now suppose $\mu\ge1/2$, and abbreviate $Z=Z_\mu$, $r=r_\mu$.
|
| 475 |
+
The fourth coordinates of $Z-X$ have mean zero, so they are orthogonal
|
| 476 |
+
to $\mathbf e$. Write $v=b\mathbf e+w(Z-X)$, with the scalar table
|
| 477 |
+
\begin{equation}\label{geo:outside-coefficients}
|
| 478 |
+
\begin{array}{c|cc}
|
| 479 |
+
\text{radius}&b&w\\\hline
|
| 480 |
+
0\le r\le\tau&-1+r/\tau&1/\tau+h_\mu\\
|
| 481 |
+
\tau\le r\le2\tau&r/\tau-1&2/r-1/\tau+h_\mu\\
|
| 482 |
+
r\ge2\tau&1&h_\mu
|
| 483 |
+
\end{array}
|
| 484 |
+
\end{equation}
|
| 485 |
+
and hence
|
| 486 |
+
\begin{equation}\label{geo:outside-norm}
|
| 487 |
+
|b|\le1,\quad0\le w\le w_{\max}:=1/\tau+1,
|
| 488 |
+
\quad b^2+w^2r^2\ge1/2.
|
| 489 |
+
\end{equation}
|
| 490 |
+
The last assertion follows from the two orthogonal components of the
|
| 491 |
+
first two radial regimes; adding $h_\mu$ increases the nonnegative
|
| 492 |
+
normal coefficient. In the last regime $b=1$. Require
|
| 493 |
+
$\beta w_{\max}\le1/2$. The move toward $Z$ is a convex move inside
|
| 494 |
+
the box, and horizontal coordinates undergo no further move or clipping.
|
| 495 |
+
|
| 496 |
+
If $b<0$, then $r<\tau$. The subsequent downward step cannot clip at
|
| 497 |
+
the upper boundary. Where $|(X_4)_j-\mu|<1/2$, the preliminary fourth
|
| 498 |
+
coordinate is nonnegative since $\mu\ge1/2$, and the following step
|
| 499 |
+
is at least $-\beta\ge-1$. Thus lower clipping can occur only on a
|
| 500 |
+
fraction at most $4\tau^2$ of the fourth coordinates. Its loss on each
|
| 501 |
+
is at most $\beta$, giving norm loss at most $2\tau\beta$. By
|
| 502 |
+
\eqref{geo:outside-norm} this leaves at least $\beta/4$.
|
| 503 |
+
|
| 504 |
+
It remains to treat $b\ge0$. Set
|
| 505 |
+
\[
|
| 506 |
+
\sigma^2=m^{-1}\sum_j((X_4)_j-\mu)^2,\qquad
|
| 507 |
+
H=\norm{(X-Z)_{1,2,3}},\qquad r^2=H^2+\sigma^2,
|
| 508 |
+
\]
|
| 509 |
+
and choose a positive rational
|
| 510 |
+
\begin{equation}\label{geo:eta-choice}
|
| 511 |
+
\eta\le\min\left\{\frac\tau2,\frac1{4w_{\max}},
|
| 512 |
+
\frac12\min\left(\frac12,\frac1{4w_{\max}}\right)\right\}.
|
| 513 |
+
\end{equation}
|
| 514 |
+
If $\sigma\ge\eta$, a uniform fourth coordinate satisfies
|
| 515 |
+
\[
|
| 516 |
+
\sigma^2\le3\E|(X_4)_j-\mu|
|
| 517 |
+
=6\E(\mu-(X_4)_j)_+.
|
| 518 |
+
\]
|
| 519 |
+
Put $c=\eta^2/12$. Since the positive part is at most three,
|
| 520 |
+
$\E(\mu-(X_4)_j)_+\ge\eta^2/6$ implies that a fraction at least
|
| 521 |
+
$\eta^2/36$ have $\mu-(X_4)_j\ge c$: otherwise its expectation
|
| 522 |
+
would be less than $c+3\eta^2/36=\eta^2/6$.
|
| 523 |
+
On those coordinates the room to the upper boundary is at least $c$.
|
| 524 |
+
Also $b+wc\ge c/12$. Indeed~\eqref{geo:outside-norm} and $r\le6$
|
| 525 |
+
imply that either $b\ge1/2$ or $w\ge1/12$; $c<1$ handles the first
|
| 526 |
+
alternative. For $\beta\le1$, clipping therefore retains displacement
|
| 527 |
+
at least $\beta c/12$ on that fraction. Its norm is at least
|
| 528 |
+
$\beta\eta^3/864$.
|
| 529 |
+
|
| 530 |
+
Suppose instead $\sigma<\eta$. If $wH\ge\tau/4$, the horizontal
|
| 531 |
+
displacement, which is not clipped, is at least $\beta\tau/4$.
|
| 532 |
+
Otherwise~\eqref{geo:outside-norm} gives
|
| 533 |
+
\[
|
| 534 |
+
b^2\ge\frac12-w^2H^2-w^2\sigma^2
|
| 535 |
+
\ge\frac12-\frac{\tau^2}{16}-w_{\max}^2\eta^2
|
| 536 |
+
\ge\frac38,
|
| 537 |
+
\]
|
| 538 |
+
so $b\ge1/2$. If $\mu\le1$, let
|
| 539 |
+
$d_0=\min\{1/2,1/(4w_{\max})\}$. By~\eqref{geo:eta-choice}, at
|
| 540 |
+
least three quarters of the fourth coordinates have deviation from
|
| 541 |
+
$\mu$ at most $d_0$. Their upper room is at least $1/2$, and their
|
| 542 |
+
velocity is at least $b-w_{\max}d_0\ge1/4$. They retain at least
|
| 543 |
+
$\beta/4$ for $\beta\le1$, giving norm at least
|
| 544 |
+
$\sqrt3\beta/8>\beta/8$. If $\mu>1$, then $h_\mu=1$, $w\ge1$,
|
| 545 |
+
and $b\ge0$ in~\eqref{geo:outside-coefficients} requires $r\ge\tau$.
|
| 546 |
+
It follows that
|
| 547 |
+
\[
|
| 548 |
+
wH\ge H\ge\sqrt{\tau^2-\eta^2}\ge\sqrt3\tau/2,
|
| 549 |
+
\]
|
| 550 |
+
contrary to the remaining case assumption. This exhausts all outside
|
| 551 |
+
points, including the upper face. At $(H_*,2)$, $r=0$ and the formula
|
| 552 |
+
gives $v=-\mathbf e$ exactly.
|
| 553 |
+
|
| 554 |
+
Take positive rational
|
| 555 |
+
$c_*\le\min\{1/8,\tau/4,\eta^3/864\}$ and positive rational
|
| 556 |
+
$\beta_0$ satisfying all restrictions just made. All coordinate
|
| 557 |
+
differences used in the formulas have magnitude at most three, so any
|
| 558 |
+
integer $B_1\ge C_t+6+3/\tau$ satisfies~\eqref{geo:bounded-field},
|
| 559 |
+
including the zero convention near inside endpoints. These choices
|
| 560 |
+
depend only on the previously fixed geometric constants. This completes
|
| 561 |
+
the proof of Theorem~\ref{thm:geometry}.
|
| 562 |
+
\end{proof}
|
| 563 |
+
|
| 564 |
+
\subsection{The local-access contract}
|
| 565 |
+
\label{geo:access}
|
| 566 |
+
|
| 567 |
+
We next state the information needed to approximate this particular
|
| 568 |
+
field. All probability statements below are for a fixed physical vector
|
| 569 |
+
$X$, averaged over a uniform physical component $I\in[4m]$ and the
|
| 570 |
+
public trial randomness. Write $J=1+((I-1)\bmod m)$ for its word
|
| 571 |
+
coordinate. Fix a common threshold $\xi\in[2/5,3/5]$ and round the
|
| 572 |
+
first two blocks at $\xi$. The two resulting binary words $y_1,y_2$
|
| 573 |
+
are fixed, although the procedures only read requested coordinates.
|
| 574 |
+
Any scalar-quantization offset may also be fixed throughout the following
|
| 575 |
+
contract and accuracy analysis.
|
| 576 |
+
|
| 577 |
+
\begin{definition}[Admissible local access]\label{geo:access-contract}
|
| 578 |
+
An \emph{oracle access implementation} satisfies parts (a)--(c) below
|
| 579 |
+
and the following operational condition. At its declared oracle level,
|
| 580 |
+
each supplied bit or decision routine uses a bounded tree of completed
|
| 581 |
+
Boolean answers, apart from public index computations. Every input,
|
| 582 |
+
including an input outside a correctness promise, gives Boolean answers
|
| 583 |
+
or public defaults. After its requested accuracies are fixed, the
|
| 584 |
+
oracle tree and its symbolic query roles are bounded independently of
|
| 585 |
+
$m$ and remain fixed under refinement of threshold-offset grids.
|
| 586 |
+
These conditions impose no constant bound on the physical circuit
|
| 587 |
+
realizing a completed oracle answer. Part (d) is an additional
|
| 588 |
+
\emph{physical-read hypothesis}, required only when a conclusion about
|
| 589 |
+
the fully expanded physical reads is explicitly invoked. All constants
|
| 590 |
+
are uniform in $m$, $X$, and admissible fixed offsets. Geometric and
|
| 591 |
+
validation radii and the reference rule below are fixed before
|
| 592 |
+
reliability and numerical accuracy choices. Operational, sample,
|
| 593 |
+
repetition, and read-density bounds may depend on the requested fixed
|
| 594 |
+
accuracies as well as the encoding construction.
|
| 595 |
+
\begin{enumerate}[label=\textup{(\alph*)},leftmargin=*]
|
| 596 |
+
\item\label{geo:access-validation}
|
| 597 |
+
Each seed has a validation decision whose failure probability can be
|
| 598 |
+
made any prescribed fixed positive number. For fixed $y_s$ there is
|
| 599 |
+
either no valid reference or a single fixed vertex $u_s$ such that, off
|
| 600 |
+
the validation failure event, acceptance identifies $u_s$. This
|
| 601 |
+
reference is independent of the actual random acceptance decision.
|
| 602 |
+
It is also independent of requested confidence and numerical accuracy.
|
| 603 |
+
If $\norm{X_s-E_u}\le5\tau$, off that failure event the seed is
|
| 604 |
+
accepted with reference $u$. Intermediate seeds with a proper reference
|
| 605 |
+
may be accepted or rejected. An accepted seed is used only through
|
| 606 |
+
local routines, not through a globally decoded vertex name.
|
| 607 |
+
\item\label{geo:access-bits}
|
| 608 |
+
For any accepted reference, incident-edge flags can be supplied with
|
| 609 |
+
arbitrarily small fixed error, and bits of its own and its actual
|
| 610 |
+
immediate neighbors' encodings can be supplied with any prescribed
|
| 611 |
+
fixed average error. The same bit guarantee holds for $E_{w_*}$ and
|
| 612 |
+
the encoding of its actual successor, even if neither seed is accepted.
|
| 613 |
+
These special words may be public or virtual.
|
| 614 |
+
|
| 615 |
+
The bit guarantee is unconditioned for each fixed relevant symbolic
|
| 616 |
+
role and branch: a request at a whole-word coordinate with density at
|
| 617 |
+
most a fixed constant times $1/m$ has the asserted error under its
|
| 618 |
+
given request law. It is not a guarantee conditional on selecting that
|
| 619 |
+
branch. Requests to different word operands may use the same complete
|
| 620 |
+
coordinate. The guarantee is required for the matching coordinate $J$
|
| 621 |
+
and for all preallocated statistical coordinates below. A finite union
|
| 622 |
+
of role or fixed block-type alternatives is allowed.
|
| 623 |
+
\item\label{geo:access-statistics}
|
| 624 |
+
For every finite family of bounded functions $f:[m]\to\mathbb R$
|
| 625 |
+
fixed by $X$, the rounded seeds' possible actual references, and their
|
| 626 |
+
actual candidate data, one can choose fixed sample counts so that each
|
| 627 |
+
sample average estimates $m^{-1}\sum_jf(j)$ to any prescribed fixed
|
| 628 |
+
additive tolerance with any prescribed fixed failure probability.
|
| 629 |
+
The law is again unconditioned under $(I,\text{trial})$, for each fixed
|
| 630 |
+
relevant role alternative. Every individual sampled word coordinate has
|
| 631 |
+
uniform marginal, or the prescribed bounded-density marginal supported
|
| 632 |
+
by the same bit-access guarantee. Corresponding word operands and
|
| 633 |
+
physical blocks are evaluated at matching coordinates.
|
| 634 |
+
|
| 635 |
+
Independent uniform samples satisfy this requirement. Other sample
|
| 636 |
+
schemes are permitted if their concentration statement holds for the
|
| 637 |
+
fixed underlying functions in this sense; samples and different batches
|
| 638 |
+
need not be independent after averaging over $I$.
|
| 639 |
+
\item\label{geo:access-finite}
|
| 640 |
+
\emph{Additional physical-read hypothesis.} After a fixed accuracy has
|
| 641 |
+
been specified, every supplied routine has a realization with a bounded
|
| 642 |
+
number of primitive physical read answers and bounded Boolean
|
| 643 |
+
processing, apart from public index computations. The bound is
|
| 644 |
+
independent of $m$. On every fixed branch of its complete physical
|
| 645 |
+
answer tree, including branches with wrong earlier answers, the
|
| 646 |
+
unconditioned marginal of each raw address in a physical domain of
|
| 647 |
+
size $M$ is at most $C/M$, with a fixed $C$. A branch that uses public
|
| 648 |
+
data need not make a physical read. These bounds hold
|
| 649 |
+
uniformly in admissible offsets, whose refinement changes comparison
|
| 650 |
+
constants and not address primitives or numbers of hidden-answer slots.
|
| 651 |
+
On each fixed symbolic answer branch, the address rule itself is
|
| 652 |
+
independent of the numerical values of these offsets.
|
| 653 |
+
\end{enumerate}
|
| 654 |
+
\end{definition}
|
| 655 |
+
|
| 656 |
+
Part~\ref{geo:access-bits} controls accuracy of a completed logical call
|
| 657 |
+
on a fixed valid reference. The optional
|
| 658 |
+
part~\ref{geo:access-finite} additionally controls physical reads on
|
| 659 |
+
every wired branch, whether or not it is accurate or executed. The
|
| 660 |
+
inner implementation of Section~\ref{sec:inner-gadget} satisfies this
|
| 661 |
+
additional hypothesis. The outer construction invokes only the oracle
|
| 662 |
+
contract: its ideal functional answers are subsequently replaced by
|
| 663 |
+
gadgets of polynomial size in the port length. Its fixed direct-read
|
| 664 |
+
count $H_{\rm out}$ and functional-invocation count $B_{\rm out}$,
|
| 665 |
+
followed by Theorem~\ref{thm:port-gadget} and
|
| 666 |
+
Lemma~\ref{out:routing}, account separately for that physical
|
| 667 |
+
substitution. We do not assert a size-independent physical read count
|
| 668 |
+
for the expanded outer construction. Neither application requires
|
| 669 |
+
per-coordinate correctness.
|
| 670 |
+
|
| 671 |
+
The physical completeness condition in part~\ref{geo:access-validation}
|
| 672 |
+
is obtained from a binary completeness radius $\rho_{\rm comp}>0$ by
|
| 673 |
+
the initial choice
|
| 674 |
+
\begin{equation}\label{geo:rounding-radius}
|
| 675 |
+
\frac{(5\tau)^2}{(2/5)^2}<\rho_{\rm comp}.
|
| 676 |
+
\end{equation}
|
| 677 |
+
Indeed a rounded error relative to a binary coordinate costs squared
|
| 678 |
+
physical error at least $(2/5)^2$ for every allowed $\xi$. An
|
| 679 |
+
acceptance radius smaller than half the encoding's relative Hamming
|
| 680 |
+
distance makes its reference unique. In the inner application this
|
| 681 |
+
reference must lie on the path for the fixed true input tuple, exactly
|
| 682 |
+
as established by the validation in Section~\ref{sec:inner-gadget}.
|
| 683 |
+
|
| 684 |
+
\begin{remark}[Whole-word coordinates in the inner application]
|
| 685 |
+
A matching target is a whole encoding coordinate. In a product block
|
| 686 |
+
called $Z$, that coordinate includes both internal labels of the product.
|
| 687 |
+
Using the same whole coordinate in $E_u$ and $E_v$ preserves the supplied
|
| 688 |
+
joint request law; it does not replace the two internal labels of either
|
| 689 |
+
word by a diagonal pair.
|
| 690 |
+
|
| 691 |
+
For mixed public and variable products in the virtual source, the joint
|
| 692 |
+
density bound gives the marginal bound
|
| 693 |
+
\[
|
| 694 |
+
p(x,y)\le\frac{C}{|A||B|}
|
| 695 |
+
\quad\Longrightarrow\quad
|
| 696 |
+
\sum_{y\in B}p(x,y)\le\frac C{|A|}.
|
| 697 |
+
\]
|
| 698 |
+
The product becomes an additive form on the variable operand. That form
|
| 699 |
+
may depend on the public operand and the discarded coordinate, but it
|
| 700 |
+
does not use that coordinate to select a new variable address.
|
| 701 |
+
Same-positive-tag products retain the whole pair, as required by
|
| 702 |
+
Lemma~\ref{lem:inner-binary-interface}. Lemma~\ref{ig:virtual-source}
|
| 703 |
+
proves this transport from the actual source and first successor to the
|
| 704 |
+
fixed dummy ports. Thus their virtual supply has exactly the
|
| 705 |
+
whole-coordinate access required by the contract.
|
| 706 |
+
\end{remark}
|
| 707 |
+
|
| 708 |
+
\begin{lemma}[Geometric procedures]\label{lem:geometric-procedures}
|
| 709 |
+
Fix the geometric constants of Theorem~\ref{thm:geometry} and an
|
| 710 |
+
oracle access implementation satisfying parts (a)--(c) and the
|
| 711 |
+
operational condition of Definition~\ref{geo:access-contract}.
|
| 712 |
+
For every fixed $a>0$ there is a finite local numerical schema with
|
| 713 |
+
properties (i)--(iii) below. Property (iv) additionally assumes the
|
| 714 |
+
physical-read hypothesis~\ref{geo:access-finite}.
|
| 715 |
+
\begin{enumerate}[label=\textup{(\roman*)},leftmargin=*]
|
| 716 |
+
\item It returns a signed value $\widehat v_I(X)$ on a fixed dyadic grid
|
| 717 |
+
inside $[-B_1,B_1]$. It terminates and is bounded on every input and
|
| 718 |
+
every trial. For every fixed $X$ with $\dist(X,\mathcal E)>10\tau$,
|
| 719 |
+
and conditional on each fixed admissible binary threshold and
|
| 720 |
+
scalar-quantization offset,
|
| 721 |
+
\begin{equation}\label{geo:average-accuracy}
|
| 722 |
+
4\E_{I,\,\mathrm{trial}}
|
| 723 |
+
|\widehat v_I(X)-v_I(X)|^2\le a^2.
|
| 724 |
+
\end{equation}
|
| 725 |
+
\item At fixed rounded seeds, correct decisions refer to at most eight
|
| 726 |
+
true-word roles and 32 actual piece roles. Meshes, scalar tolerances,
|
| 727 |
+
sample counts, and all statistical and final matching bit requests
|
| 728 |
+
are fixed before choosing the smaller bit-error budgets, and all final
|
| 729 |
+
matching requests are allocated before numerical minimization.
|
| 730 |
+
\item Apart from the supplied routines and public index computations,
|
| 731 |
+
the schema uses finitely many scalar comparisons and bounded Boolean
|
| 732 |
+
lookup. Its only word-coordinate address primitives are the matching
|
| 733 |
+
coordinate and the preallocated statistical coordinates. This remains
|
| 734 |
+
true on every hypothetical wrong or default branch.
|
| 735 |
+
If the oracle-level public spaces, probabilities, routine descriptions,
|
| 736 |
+
and address computations are uniformly enumerable with polynomial
|
| 737 |
+
support, time, and rational-probability bit complexity in a caller's
|
| 738 |
+
size parameter, the composed oracle-level schema has those properties
|
| 739 |
+
as well. This does not include physical expansion of an oracle call.
|
| 740 |
+
\item If in addition the physical-read
|
| 741 |
+
hypothesis~\ref{geo:access-finite} holds, then, once all accuracies and
|
| 742 |
+
implementation counts have been fixed, the fully unfolded physical
|
| 743 |
+
primitive tree has a fixed number $H$ of possible read slots. For each
|
| 744 |
+
physical domain of size $M$, its unconditioned
|
| 745 |
+
expected occurrence count at any fixed position, averaged over $I$
|
| 746 |
+
and public trials, is at most $C/M$, for a fixed sum $C$ of slot
|
| 747 |
+
density bounds. Both $H,C$ remain fixed under subsequent refinement
|
| 748 |
+
of threshold-offset grids. Under the corresponding polynomial
|
| 749 |
+
enumerability premise for these physical realizations, the fully
|
| 750 |
+
expanded physical schema also has the enumerability properties in
|
| 751 |
+
part (iii).
|
| 752 |
+
\end{enumerate}
|
| 753 |
+
Every choice concerns the unscaled field. In particular none depends
|
| 754 |
+
on a subsequently chosen $0<\beta\le\beta_0$.
|
| 755 |
+
\end{lemma}
|
| 756 |
+
|
| 757 |
+
\subsection{A finite list covering every close piece}
|
| 758 |
+
\label{geo:candidates}
|
| 759 |
+
|
| 760 |
+
From a seed reference $u$, reserve the encoding roles for $u$, its
|
| 761 |
+
predecessor, and its successor. Reserve its two possible incident edge
|
| 762 |
+
roles. For each actual incident edge list the four retained straight
|
| 763 |
+
segments and its three internal fillets. The trim convention uses the
|
| 764 |
+
same $a_0$ at both outer ends regardless of whether those ends are
|
| 765 |
+
shared, so these seven pieces need only their two endpoint words.
|
| 766 |
+
When both graph edges at $u$ exist, also list the graph-junction fillet
|
| 767 |
+
at $u$. The incoming direction there is the fixed downward third-block
|
| 768 |
+
direction, so the junction needs only $E_u$, the outgoing neighbor,
|
| 769 |
+
and the two flags. Apply this procedure to both seeds.
|
| 770 |
+
|
| 771 |
+
Always add the special retained vertical and its bottom fillet using
|
| 772 |
+
the distinguished source and its actual successor. These two pieces
|
| 773 |
+
are present even on a trial with no accepted seed. The ordinary
|
| 774 |
+
junction rule requires both graph edges and therefore never invents
|
| 775 |
+
another junction at the source, which has no graph predecessor.
|
| 776 |
+
There is no need to recognize the source by comparing hidden names.
|
| 777 |
+
|
| 778 |
+
This is the following explicit reservation schedule; duplicate roles
|
| 779 |
+
do no harm.
|
| 780 |
+
\begin{center}
|
| 781 |
+
\begin{tabular}{@{}lrr@{}}
|
| 782 |
+
\toprule
|
| 783 |
+
Reserved roles&Word roles&Piece roles\\
|
| 784 |
+
\midrule
|
| 785 |
+
Self, predecessor, successor for two seeds&6&0\\
|
| 786 |
+
Four incident edges, seven pieces each&0&28\\
|
| 787 |
+
Two ordinary junctions&0&2\\
|
| 788 |
+
Distinguished source and actual successor&2&0\\
|
| 789 |
+
Special vertical and bottom fillet&0&2\\
|
| 790 |
+
\midrule
|
| 791 |
+
Total upper bound&8&32\\
|
| 792 |
+
\bottomrule
|
| 793 |
+
\end{tabular}
|
| 794 |
+
\end{center}
|
| 795 |
+
On good validation and flag answers, the admitted roles are actual
|
| 796 |
+
pieces. A gray acceptance merely chooses whether to include one fixed
|
| 797 |
+
reference's list. For fixed $X,\xi$, all possible underlying actual
|
| 798 |
+
words and pieces in the table are fixed independently of later accuracy
|
| 799 |
+
choices and numerical decisions.
|
| 800 |
+
|
| 801 |
+
\begin{lemma}[Two-seed coverage]\label{geo:coverage}
|
| 802 |
+
Every non-special piece has either its first or its second block fixed
|
| 803 |
+
to an encoding of a vertex whose seed generates it. Consequently,
|
| 804 |
+
on the strong-completeness and flag good event, every piece at distance
|
| 805 |
+
at most $4\tau$ from $X$ is included in the reserved candidate list.
|
| 806 |
+
\end{lemma}
|
| 807 |
+
\begin{proof}
|
| 808 |
+
For $u\to v$, its first segment, first fillet, and upward toggle have
|
| 809 |
+
first block $E_u$. The fillet from that toggle to the block-$1$
|
| 810 |
+
segment, the block-$1$ segment, and its fillet to the downward toggle
|
| 811 |
+
have second block $E_v$. The downward toggle has both blocks $E_v$.
|
| 812 |
+
An ordinary graph-junction fillet at $u$ changes only blocks $3$ and
|
| 813 |
+
$2$, so its first block is $E_u$. In each case the stated vertex
|
| 814 |
+
generates the piece from its incident data. If the piece is within
|
| 815 |
+
$4\tau$ of $X$, its fixed block is within $4\tau$ of the corresponding
|
| 816 |
+
physical block. Part~\ref{geo:access-validation} of the contract
|
| 817 |
+
therefore accepts that seed with its true reference. Correct flags
|
| 818 |
+
include the piece. The two special pieces are included unconditionally.
|
| 819 |
+
Gray acceptance cannot remove a piece required by this argument; it
|
| 820 |
+
can only add or remove other actual pieces.
|
| 821 |
+
\end{proof}
|
| 822 |
+
|
| 823 |
+
\subsection{Numerical data and the order of their estimation}
|
| 824 |
+
\label{geo:numerical}
|
| 825 |
+
|
| 826 |
+
Put a finite parameter mesh, including endpoints, on each straight
|
| 827 |
+
piece and each angle interval $[0,\pi/2]$ of a fillet. All original
|
| 828 |
+
lengths are at most two, so a sufficiently fine fixed mesh gives
|
| 829 |
+
maximum arclength spacing at most any prescribed fixed $D>0$.
|
| 830 |
+
For the proof, a mesh entry means its exact point $Z'$ and its exact
|
| 831 |
+
tangent on its underlying actual piece. The implementation computes
|
| 832 |
+
approximations to these entries.
|
| 833 |
+
|
| 834 |
+
At most five endpoint-word distance statistics are needed: the four
|
| 835 |
+
ordinary edge roles and the special edge. Each estimates
|
| 836 |
+
\begin{equation}\label{geo:length-statistic}
|
| 837 |
+
\ell_{uv}^2=m^{-1}\sum_{j=1}^m(E_u(j)-E_v(j))^2.
|
| 838 |
+
\end{equation}
|
| 839 |
+
Use the same coordinate in the two words. The true nonconstant
|
| 840 |
+
lengths are in $[d_*,1]$; clamp their estimated square roots to
|
| 841 |
+
$[d_*/2,2]$. The formulas for trim points, straight tangents, and
|
| 842 |
+
\eqref{geo:fillet}--\eqref{geo:fillet-tangent} then have only bounded
|
| 843 |
+
denominators separated from zero. Their coordinates are uniformly
|
| 844 |
+
continuous functions of the endpoint bits at that coordinate, the
|
| 845 |
+
lengths, and the finitely many fixed trigonometric mesh constants.
|
| 846 |
+
Thus correct endpoint bits and sufficiently accurate length and public
|
| 847 |
+
constant approximations give any desired component error, uniformly
|
| 848 |
+
in the coordinate and in $m$. A component error at most $z$ everywhere
|
| 849 |
+
gives full-vector norm error at most $2z$.
|
| 850 |
+
|
| 851 |
+
Also estimate the fourth-block mean $\mu$. For each of the at most
|
| 852 |
+
32 meshed roles, estimate each exact mesh point's squared distance by
|
| 853 |
+
the sum of its four block means,
|
| 854 |
+
\begin{equation}\label{geo:mesh-statistic}
|
| 855 |
+
\norm{X-Z'}^2
|
| 856 |
+
=\sum_{b=1}^4m^{-1}\sum_j(X_b(j)-Z'_b(j))^2.
|
| 857 |
+
\end{equation}
|
| 858 |
+
Finally reserve the corresponding outside-radius statistic for the
|
| 859 |
+
exact point $Z_\mu$. Physical samples and endpoint-bit samples in a
|
| 860 |
+
summand use the same $j$. One may use separate batches for every
|
| 861 |
+
statistic and alternative role. Before a numerical winner is selected,
|
| 862 |
+
reserve the final matching-coordinate requests for all eight word
|
| 863 |
+
roles, as well as the matching physical coordinate. Inactive requests
|
| 864 |
+
may later be omitted or use public defaults.
|
| 865 |
+
|
| 866 |
+
These data define the numerical estimator. Use the estimated mean to
|
| 867 |
+
choose the inside or outside prescription, with a fixed rule at equality.
|
| 868 |
+
For the inside prescription, select an admitted mesh entry with minimum
|
| 869 |
+
estimated squared distance, again with a fixed rule for ties. Clamp that
|
| 870 |
+
estimate at zero and take its square root. Substitute this scalar radius,
|
| 871 |
+
the computed tangent component, and the computed component of $Z'-X$
|
| 872 |
+
into the component formula~\eqref{geo:Phi}; its last regime gives the
|
| 873 |
+
default value. The radius is supplied by the statistic, not by a
|
| 874 |
+
full-vector norm computation. For the outside prescription, clamp the
|
| 875 |
+
outside squared-radius estimate at zero and take its square root. Use
|
| 876 |
+
this radius, the estimated mean, and the special matching bits in
|
| 877 |
+
\eqref{geo:outside}. Bounded clamping and final dyadic rounding
|
| 878 |
+
will make this a bounded procedure on every trial. We next prove that
|
| 879 |
+
the estimates are accurate and that the resulting component is stable
|
| 880 |
+
under approximate minimization and side selection.
|
| 881 |
+
|
| 882 |
+
Here is a precise reason that estimates based on earlier approximate
|
| 883 |
+
lengths still satisfy the required concentration statement. Fix $X$, the
|
| 884 |
+
rounded seeds, and one possible actual reference assignment. The exact
|
| 885 |
+
functions in~\eqref{geo:length-statistic}, $\mu$,
|
| 886 |
+
\eqref{geo:mesh-statistic}, and the outside-radius statistic are fixed
|
| 887 |
+
functions of the sample index; they do not depend on an estimated
|
| 888 |
+
length or a numerical winner. They have bounded ranges: a squared
|
| 889 |
+
physical difference is at most nine, and the sum of four such terms
|
| 890 |
+
is at most 36. Apply part~\ref{geo:access-statistics} to these exact
|
| 891 |
+
functions. On the event of correct sampled bits, earlier good length
|
| 892 |
+
estimates and good numerical constants perturb every implemented
|
| 893 |
+
summand by a uniformly small amount. For example if $|z-z'|\le t$
|
| 894 |
+
and $x,z,z'\in[-2,3]$, then
|
| 895 |
+
\[
|
| 896 |
+
|(x-z)^2-(x-z')^2|
|
| 897 |
+
=|z-z'||2x-z-z'|\le10t.
|
| 898 |
+
\]
|
| 899 |
+
Clamps keep all approximations in one such fixed range. The analogous
|
| 900 |
+
bound for replacing a physical read by its quantized representative
|
| 901 |
+
is the same. For the outside point, a good mean estimate changes all
|
| 902 |
+
fourth coordinates by at most its scalar error; the other coordinates
|
| 903 |
+
use special-word bits. It follows that concentration of the exact
|
| 904 |
+
statistics yields accuracy of all implemented statistics after these
|
| 905 |
+
small deterministic perturbations. No assertion conditioned on the
|
| 906 |
+
earlier estimates is being used.
|
| 907 |
+
|
| 908 |
+
For independent uniform sampling, this concentration needs no external
|
| 909 |
+
input. If $|f|\le M$, independence gives
|
| 910 |
+
$\operatorname{Var}(q^{-1}\sum_{j=1}^q f(K_j))\le M^2/q$.
|
| 911 |
+
Chebyshev's inequality gives failure probability at most
|
| 912 |
+
$M^2/(qz^2)$ at tolerance $z$; a union bound handles the fixed finite
|
| 913 |
+
list. In the outer application the batches are instead stationary
|
| 914 |
+
under the output-coordinate average. The concentration calculation in
|
| 915 |
+
Section~\ref{sec:outer-composition} supplies the same required small
|
| 916 |
+
failure probabilities for these fixed functions. The geometry uses
|
| 917 |
+
that conclusion, and does not condition on a gray acceptance pattern,
|
| 918 |
+
a realized mesh winner, or a particular output coordinate.
|
| 919 |
+
|
| 920 |
+
\begin{lemma}[Uniform component stability]\label{geo:stability}
|
| 921 |
+
Fix a positive desired component error $e$. Mesh resolution,
|
| 922 |
+
quantization width, scalar tolerances, and precision of public constants
|
| 923 |
+
can be chosen so that, whenever all relevant decisions, exact scalar
|
| 924 |
+
statistics, and requested bits are good, the local procedure's component
|
| 925 |
+
error is at most $e$ at every $X$ outside the endpoint neighborhood.
|
| 926 |
+
The bound holds for every output coordinate, even if the approximate
|
| 927 |
+
winner depends on that coordinate. It also holds with arbitrary tie
|
| 928 |
+
choices between numerically minimizing entries.
|
| 929 |
+
\end{lemma}
|
| 930 |
+
\begin{proof}
|
| 931 |
+
For the inside prescription, consider the selected mesh entry.
|
| 932 |
+
Let $z>0$ bound every squared-distance error, including the parameter,
|
| 933 |
+
bit, quantization, and scalar-statistic errors just discussed. Suppose
|
| 934 |
+
first that $r=\dist(X,\mathcal L)\le3\tau$. By
|
| 935 |
+
Lemma~\ref{geo:coverage}, a minimizing piece is present. A mesh point
|
| 936 |
+
at arclength at most $D$ from its projection has squared excess at most
|
| 937 |
+
$2rD+D^2$. Every admitted exact entry is on the actual curve, so none
|
| 938 |
+
has negative excess. The exact point $Z'$ underlying the approximate
|
| 939 |
+
winner therefore has
|
| 940 |
+
\begin{equation}\label{geo:winner-excess}
|
| 941 |
+
0\le g=\norm{X-Z'}^2-r^2\le2rD+D^2+2z.
|
| 942 |
+
\end{equation}
|
| 943 |
+
Choose $D,z$ first small enough that the right side is at most
|
| 944 |
+
$\tau^2$, and then still smaller as required. Equations
|
| 945 |
+
\eqref{geo:point-error}--\eqref{geo:tangent-error} show that both its
|
| 946 |
+
point and tangent approach those of the true projection in infinity
|
| 947 |
+
norm, uniformly. Correct endpoint bits at the final matching coordinate
|
| 948 |
+
also make its computed point and tangent close to their exact values.
|
| 949 |
+
Clamping a squared-radius estimate at zero and taking square root is
|
| 950 |
+
uniformly continuous on the fixed bounded interval. Consequently its
|
| 951 |
+
estimated radius approaches $r$.
|
| 952 |
+
|
| 953 |
+
Each component of~\eqref{geo:Phi} is a bounded continuous expression
|
| 954 |
+
in that radius, the tangent component, and the components of $Z-X$.
|
| 955 |
+
The formulas match at $\tau,2\tau,3\tau$, and the only reciprocal
|
| 956 |
+
radius is protected by $r\ge\tau$ in its regime. Safe clamping can be
|
| 957 |
+
used at approximate regime boundaries. Uniform continuity on these
|
| 958 |
+
fixed compact ranges proves the desired component error. Crucially,
|
| 959 |
+
the infinity-norm bounds hold for every good candidate satisfying
|
| 960 |
+
\eqref{geo:winner-excess}; they therefore also hold when the chosen
|
| 961 |
+
candidate is correlated with the requested coordinate.
|
| 962 |
+
|
| 963 |
+
If the true inside radius is $r>3\tau$, the true field is default.
|
| 964 |
+
Every actual candidate entry has distance at least $r$. Good squared
|
| 965 |
+
distance estimates can yield a nondefault computed expression only
|
| 966 |
+
arbitrarily near the $3\tau$ cutoff as $z$ tends to zero. Near that
|
| 967 |
+
cutoff the coefficient of $T$ tends to zero and the coefficient of
|
| 968 |
+
$\mathbf e$ tends to one, uniformly on the clamped coordinate ranges.
|
| 969 |
+
Thus the computed value approaches default. If its radius estimate is
|
| 970 |
+
at least $3\tau$, it is already default. Coverage far from the curve
|
| 971 |
+
is not needed in either case.
|
| 972 |
+
|
| 973 |
+
For the outside prescription, use the special bits, the estimated mean
|
| 974 |
+
and outside squared radius in~\eqref{geo:outside}. Correct special
|
| 975 |
+
matching bits and good statistics make all its scalar and coordinate
|
| 976 |
+
arguments close to their exact values. The same protected denominators
|
| 977 |
+
and compact-range continuity apply, and $h_\mu$ is continuous. This
|
| 978 |
+
includes the special top, where the exact value is $-\mathbf e$.
|
| 979 |
+
|
| 980 |
+
Finally consider the choice between the inside and outside computations.
|
| 981 |
+
If it differs from the side of the true mean, a good
|
| 982 |
+
estimate forces $|\mu-1/2|$ to be small. In the interface slab all
|
| 983 |
+
endpoints remain far, and the only possible close piece is the always
|
| 984 |
+
included vertical. The inside computation is therefore valid for the
|
| 985 |
+
inside prescription extended to that slab. The outside computation is
|
| 986 |
+
valid for its extension using the clamped $h_\mu$. By
|
| 987 |
+
Lemma~\ref{geo:interface}, the two target values differ componentwise
|
| 988 |
+
by at most $6|\mu-1/2|$. Adding that error proves stability even with
|
| 989 |
+
the wrong side choice. These cases include exact mean, radius, and
|
| 990 |
+
minimum ties, without requiring a reliable hidden-real comparison at
|
| 991 |
+
zero gap.
|
| 992 |
+
\end{proof}
|
| 993 |
+
|
| 994 |
+
\subsection{Average accuracy and finite answer trees}
|
| 995 |
+
\label{geo:finite-schema}
|
| 996 |
+
|
| 997 |
+
\begin{proof}[Proof of Lemma~\ref{lem:geometric-procedures}]
|
| 998 |
+
\paragraph{Oracle accuracy with fixed references.}
|
| 999 |
+
Fix a desired $a>0$. Choose a component error $e>0$ and failure budget
|
| 1000 |
+
$p>0$ so that
|
| 1001 |
+
\begin{equation}\label{geo:accuracy-budget}
|
| 1002 |
+
4e^2+16B_1^2p<a^2.
|
| 1003 |
+
\end{equation}
|
| 1004 |
+
First choose the mesh, scalar tolerances, quantization width, and public
|
| 1005 |
+
numerical precision for Lemma~\ref{geo:stability}, with slack for final
|
| 1006 |
+
output rounding. Fix scalar sample counts that give its concentration
|
| 1007 |
+
events a total failure probability below a chosen part of $p$.
|
| 1008 |
+
The eight word roles, 32 piece roles, five possible length statistics,
|
| 1009 |
+
mean, mesh-distance statistics, and outside-radius statistic now
|
| 1010 |
+
determine a fixed number $N_{\rm call}$ of high-level completed calls. This count
|
| 1011 |
+
includes all sampled bit requests and all matching final bit requests
|
| 1012 |
+
over the possible relevant true references and flag alternatives.
|
| 1013 |
+
|
| 1014 |
+
Make validation and edge-flag errors small enough for their total budget.
|
| 1015 |
+
For every remaining high-level bit call require average error smaller
|
| 1016 |
+
than the allocated part of $p/N_{\rm call}$. Analyze each call on its possible
|
| 1017 |
+
fixed reference before conditioning on acceptance or on the numerical
|
| 1018 |
+
winner. Parts~\ref{geo:access-validation}--\ref{geo:access-statistics}
|
| 1019 |
+
of the access contract and a union bound then charge the event of
|
| 1020 |
+
\emph{any} required bit, decision, or statistical error by at most
|
| 1021 |
+
$p$. Independence of these events is unnecessary. A fixed reference
|
| 1022 |
+
does not have to be selected on every good trial; the unconditioned
|
| 1023 |
+
analysis simply pays for its possible calls in advance. Validation
|
| 1024 |
+
failures, including any acceptance with no proper reference, are
|
| 1025 |
+
charged separately. The two special-word roles are charged in exactly
|
| 1026 |
+
the same way when their supply is virtual.
|
| 1027 |
+
|
| 1028 |
+
On the complement of the charged failure event, component error is
|
| 1029 |
+
at most $e$ by Lemma~\ref{geo:stability} and the planned final rounding.
|
| 1030 |
+
On every outcome clamp the numerical answer to $[-B_1,B_1]$ and round
|
| 1031 |
+
to a sufficiently fine fixed dyadic grid there. Detected invalid
|
| 1032 |
+
numerical inputs may return any fixed bounded default. Undetected
|
| 1033 |
+
incorrect choices are already included in the failure event. The true
|
| 1034 |
+
field satisfies~\eqref{geo:bounded-field}, so the component error on
|
| 1035 |
+
an arbitrary outcome is at most $2B_1$. Hence
|
| 1036 |
+
\[
|
| 1037 |
+
4\E|\widehat v_I(X)-v_I(X)|^2
|
| 1038 |
+
\le4e^2+16B_1^2p<a^2.
|
| 1039 |
+
\]
|
| 1040 |
+
This proves~\eqref{geo:average-accuracy} unconditionally over the
|
| 1041 |
+
output-coordinate and trial law. It does not assert correctness
|
| 1042 |
+
conditioned on a rare selected coordinate or branch. The proof began
|
| 1043 |
+
with arbitrary fixed admissible offsets, so it applies to each such
|
| 1044 |
+
pair, and therefore also after averaging any chosen laws on them.
|
| 1045 |
+
|
| 1046 |
+
\paragraph{Finite oracle implementation.}
|
| 1047 |
+
Here are the finite implementation and raw-address details. Fix a small
|
| 1048 |
+
rational bin width $h>0$ and compare each physical scalar read to
|
| 1049 |
+
thresholds $a+kh+\zeta$ on a fixed interval larger than $[-1,2]$,
|
| 1050 |
+
where $\zeta$ is an offset modulo $h$. Clamp at the endpoints.
|
| 1051 |
+
Representatives can depend just on the bin number, on a fixed rational
|
| 1052 |
+
grid, and are within $O(h)$ of the input for every $\zeta$. This
|
| 1053 |
+
error was included in the earlier tolerance choice. Comparisons whose
|
| 1054 |
+
answers are forced by the allowed physical range can be public.
|
| 1055 |
+
Seed bits use the common threshold $\xi$. Each offset may eventually
|
| 1056 |
+
range over a fine finite rational grid. No numerical assertion above
|
| 1057 |
+
requires a continuous offset distribution.
|
| 1058 |
+
|
| 1059 |
+
There are now only finitely many bits and bin indices in the geometric
|
| 1060 |
+
computation. Public rational approximations to the fixed mesh sine and
|
| 1061 |
+
cosine values, protected length normalizations, clamped square roots,
|
| 1062 |
+
and all other numerical expressions can be tabulated to the chosen
|
| 1063 |
+
precision. Bounded Boolean lookup implements the resulting answer
|
| 1064 |
+
function. In particular neither an exact curve minimum nor an
|
| 1065 |
+
unbounded hidden vertex name or transcript is processed by the local
|
| 1066 |
+
Boolean computation. Public index arithmetic and any caller-specific
|
| 1067 |
+
field or interpolation calculations are performed when constructing
|
| 1068 |
+
the corresponding fixed branch and its wiring.
|
| 1069 |
+
|
| 1070 |
+
Wrong validation, flag, or type answers can invoke a reserved symbolic
|
| 1071 |
+
routine on an unsuitable seed or select another reserved role. Wrong
|
| 1072 |
+
length, radius, side, or minimum answers select a fixed mesh or lookup
|
| 1073 |
+
case. None of these answers supplies a new word-coordinate address:
|
| 1074 |
+
statistical coordinates remain the preallocated coordinates and final
|
| 1075 |
+
data remain at $J$. Inactive or nonsensical roles may use public-zero
|
| 1076 |
+
defaults, which require no query to a distinguished physical position.
|
| 1077 |
+
Consequently direct scalar reads have the matching or prescribed
|
| 1078 |
+
statistical marginals on every fixed hypothetical oracle branch. This
|
| 1079 |
+
proves the structural assertion of part (iii), without inspecting the
|
| 1080 |
+
physical realization of a supplied oracle answer. A constant number
|
| 1081 |
+
of choices from polynomially enumerable oracle-level public spaces
|
| 1082 |
+
has polynomial support; a constant product of rational probabilities
|
| 1083 |
+
of polynomial bit complexity has polynomial bit complexity. Public
|
| 1084 |
+
indices, oracle descriptions, and bounded answer tables retain the
|
| 1085 |
+
same polynomial construction bound. This proves the oracle-level
|
| 1086 |
+
enumerability assertion of part (iii).
|
| 1087 |
+
|
| 1088 |
+
\paragraph{Physical read load under the additional hypothesis.}
|
| 1089 |
+
For part (iv), now assume the additional physical-read
|
| 1090 |
+
hypothesis~\ref{geo:access-finite}. The supplied routines then have
|
| 1091 |
+
its all-branch primitive bounds, even on unsuitable seeds.
|
| 1092 |
+
|
| 1093 |
+
Only at this point, after all requested accuracies and the repetitions
|
| 1094 |
+
implementing them have been fixed, unfold the full lower-level answer
|
| 1095 |
+
tree. Give unused possible nodes their prescribed public random choices
|
| 1096 |
+
as well. It has a fixed finite number $H$ of potential primitive slots.
|
| 1097 |
+
For a domain of size $M$, let $C_\ell/M$ bound the probability that
|
| 1098 |
+
slot $\ell$ reads any specified position, for its fixed symbolic branch
|
| 1099 |
+
under the unconditioned public law. A slot not using this domain has
|
| 1100 |
+
$C_\ell=0$. Summing gives
|
| 1101 |
+
\begin{equation}\label{geo:raw-load}
|
| 1102 |
+
\E_{I,\,\mathrm{trial}}
|
| 1103 |
+
[\text{number of potential reads of position }j]
|
| 1104 |
+
\le\frac{\sum_{\ell=1}^H C_\ell}{M}
|
| 1105 |
+
=\frac C M.
|
| 1106 |
+
\end{equation}
|
| 1107 |
+
This counts all wired possibilities rather than conditioning on the
|
| 1108 |
+
executed path. Omitting an inactive occurrence only reduces its
|
| 1109 |
+
unconditioned mass. In particular this argument does not require
|
| 1110 |
+
accuracy on wrong branches. The high-level count $N_{\rm call}$ used for the
|
| 1111 |
+
correctness union bound preceded amplification; the larger count $H$
|
| 1112 |
+
is used for raw load and subsequent gate-failure accounting. It is
|
| 1113 |
+
not fed back into the choice of the accuracy that determines $H$.
|
| 1114 |
+
|
| 1115 |
+
Refining offset grids changes the values of thresholds for a fixed
|
| 1116 |
+
finite set of comparisons. It changes neither the bin width and bin
|
| 1117 |
+
count, nor the mesh, nor the symbolic answer-tree slots, nor a
|
| 1118 |
+
fixed branch's address primitive. Thus $H$ and $C$ remain uniform
|
| 1119 |
+
under that refinement. Under the stated polynomial enumerability
|
| 1120 |
+
premise for the physical routines, a constant number of their public
|
| 1121 |
+
choices, also at unused tree nodes, again has polynomial support and
|
| 1122 |
+
rational-probability bit complexity. Their public addresses and bounded
|
| 1123 |
+
answer tables are constructed in polynomial time. This proves the
|
| 1124 |
+
physical enumerability assertion of part (iv) and completes the proof.
|
| 1125 |
+
\end{proof}
|
| 1126 |
+
|
| 1127 |
+
\begin{remark}[Late margins under physical realization]\label{geo:late-margins}
|
| 1128 |
+
Assume the additional physical-read
|
| 1129 |
+
hypothesis~\ref{geo:access-finite}. Its grid uniformity explains the
|
| 1130 |
+
margin order for the fully expanded physical schema in part (iv).
|
| 1131 |
+
Once the full number of physical comparison slots is fixed, a
|
| 1132 |
+
uniform $K$-point threshold grid on an interval of length $L_0>0$
|
| 1133 |
+
satisfies, for every fixed scalar $x$,
|
| 1134 |
+
\[
|
| 1135 |
+
\Pr(|x-\xi|\le d)\le2/K+4d/L_0.
|
| 1136 |
+
\]
|
| 1137 |
+
For an offset grid modulo $h$, the probability of lying within $d$
|
| 1138 |
+
of any bin boundary is at most $4/K+8d/h$. To see these bounds,
|
| 1139 |
+
intersect the relevant interval of length $2d$ with the equally spaced
|
| 1140 |
+
grid; each interval contains at most its length divided by the mesh
|
| 1141 |
+
spacing plus two points. Modulo $h$ there are at most two intervals
|
| 1142 |
+
after wraparound. These enlarged constants cover the endpoints.
|
| 1143 |
+
|
| 1144 |
+
Fix an output coordinate and all nonthreshold public choices on every
|
| 1145 |
+
hypothetical branch. Each possible raw address is then fixed under
|
| 1146 |
+
the address contract, regardless of the eventual branch. A union bound
|
| 1147 |
+
over their fixed finite list, first choosing the offset grids fine
|
| 1148 |
+
enough and then a positive rational margin small enough, makes the
|
| 1149 |
+
probability of any small-gap comparison as small as prescribed,
|
| 1150 |
+
uniformly in $X$. No search over offsets or enlargement of the
|
| 1151 |
+
hidden-answer tree is involved. These margin losses are separate from
|
| 1152 |
+
\eqref{geo:average-accuracy}; the latter already holds for each fixed
|
| 1153 |
+
admissible offset. Occurrence-dependent perturbations within the margin
|
| 1154 |
+
are allowed because the full list was charged before following any
|
| 1155 |
+
branch. For an application using only the oracle contract, this
|
| 1156 |
+
argument does not account for physical comparisons inside substituted
|
| 1157 |
+
oracle gadgets. The outer construction uses its own direct-read and
|
| 1158 |
+
functional-boundary margin analysis in
|
| 1159 |
+
Section~\ref{sec:outer-composition}, together with the port theorem
|
| 1160 |
+
and its separate physical substitution count.
|
| 1161 |
+
\end{remark}
|
| 1162 |
+
|
| 1163 |
+
The geometric procedures are now proved independently of both circuit
|
| 1164 |
+
constructions. Together with the port construction in
|
| 1165 |
+
Section~\ref{sec:inner-gadget}, they establish the two interfaces used in
|
| 1166 |
+
Section~\ref{sec:outer-composition}, completing the proof of
|
| 1167 |
+
Theorem~\ref{thm:main}.
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/11-weak-nash.tex
ADDED
|
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|
| 1 |
+
\section{Consequences for games and markets}\label{sec:weak-nash}
|
| 2 |
+
|
| 3 |
+
Theorem~\ref{thm:main} supplies the positive failed-gate premise in
|
| 4 |
+
the cited reductions to equilibrium problems. We first put its
|
| 5 |
+
circuits into the forms those reductions use. This preparation, together
|
| 6 |
+
with the finite-witness checks below, makes the transfers precise for
|
| 7 |
+
our gate conventions and complete binary encodings. The applications
|
| 8 |
+
then concern weak and relative Nash equilibria, allocation and market
|
| 9 |
+
equilibria, and stationary equilibria in discounted games. Their
|
| 10 |
+
approximation requirements differ, so we specify each target relation
|
| 11 |
+
before stating its consequence.
|
| 12 |
+
|
| 13 |
+
\subsection{Circuit preparation for the applications}
|
| 14 |
+
|
| 15 |
+
The Boolean tolerance in Definition~\ref{def:gcircuit} is nonmonotone.
|
| 16 |
+
We therefore remove Boolean gates before reducing numerical tolerances
|
| 17 |
+
or controlling fan-out. The two stages of the following lemma are used
|
| 18 |
+
separately below.
|
| 19 |
+
|
| 20 |
+
\begin{lemma}[Common circuit interfaces]\label{lem:application-circuits}
|
| 21 |
+
There are fixed positive rational constants $\eta,\gamma,\tau,\gamma_2$
|
| 22 |
+
and deterministic polynomial-time constructions which, from any
|
| 23 |
+
End-of-Line instance $I$, produce circuits $G_{\rm nb}$ and $G_2$
|
| 24 |
+
using only Constant, Scale, Copy, Add, Subtract, and Less. Their parameters
|
| 25 |
+
lie in $[0,1]$, and every used node has a defining gate. The circuit
|
| 26 |
+
$G_2$ has fan-out at most two.
|
| 27 |
+
|
| 28 |
+
Every assignment of $G_{\rm nb}$ satisfying all but a $\gamma$
|
| 29 |
+
fraction of its gates at tolerance $\eta$, and every assignment of
|
| 30 |
+
$G_2$ satisfying all but a $\gamma_2$ fraction at tolerance $\tau$,
|
| 31 |
+
can be converted to an assignment of $R(I)$ meeting the tolerances of
|
| 32 |
+
Theorem~\ref{thm:main}. For rational assignments the conversion and the
|
| 33 |
+
resulting End-of-Line decoder take time polynomial in the input length
|
| 34 |
+
plus the total assignment encoding length.
|
| 35 |
+
\end{lemma}
|
| 36 |
+
|
| 37 |
+
\begin{proof}
|
| 38 |
+
Let $\eps_c,\delta_c$ be the constants in Theorem~\ref{thm:main}, and
|
| 39 |
+
let $G=(V,T)=R(I)$.
|
| 40 |
+
|
| 41 |
+
\paragraph{Removing Boolean gates.}
|
| 42 |
+
First give every used node a defining gate, if necessary. A node used as
|
| 43 |
+
an input but not defined by a gate can be given the self-copy gate
|
| 44 |
+
$\mathrm{Copy}(v;v)$, which every assignment satisfies. There are at
|
| 45 |
+
most $2|T|$ such nodes, because the original gates have at most $2|T|$
|
| 46 |
+
input positions. Thus the new gate count is at most $3|T|$; reducing
|
| 47 |
+
the permitted failed-gate fraction by a factor three compensates.
|
| 48 |
+
Unused nodes may be omitted and later assigned zero.
|
| 49 |
+
|
| 50 |
+
On this gate list, use the strong-Boolean relation of Schuldenzucker
|
| 51 |
+
and Seuken at the same tolerance $\eps_c$. Their Proposition~2 shows
|
| 52 |
+
gatewise that a strong-Boolean $\eps_c$ solution satisfies the
|
| 53 |
+
weak-Boolean relations in Definition~\ref{def:gcircuit}, since
|
| 54 |
+
$\eps_c<1/10<1/4$. Their Lemma~1 replaces each Boolean gate by a
|
| 55 |
+
constant-size gadget with no Boolean gates, such that an
|
| 56 |
+
$\eps_c/2$ solution restricts to a strong-Boolean $\eps_c$ solution.
|
| 57 |
+
Their Section~6 records the same reduction with a positive failed-gate
|
| 58 |
+
fraction: the constant-size gadgets lose only a constant factor in
|
| 59 |
+
that fraction~\cite[Proposition~2, Lemma~1, and Section~6]{SchuldenzuckerSeuken2019}.
|
| 60 |
+
The comparison gate in that paper has the opposite orientation from
|
| 61 |
+
$\mathrm{Less}$ here, so we swap its two inputs. The new parameters
|
| 62 |
+
remain bounded rationals.
|
| 63 |
+
|
| 64 |
+
Consequently there are fixed positive rationals
|
| 65 |
+
$\eta=\eps_c/2$ and $\gamma$ and a polynomial-time constructed circuit
|
| 66 |
+
$G_{\rm nb}$ using only Constant, Scale, Copy, Add, Subtract, and Less
|
| 67 |
+
such that any assignment satisfying its gates at tolerance $\eta$ with
|
| 68 |
+
at most a $\gamma$ fraction of failures yields an assignment of $G$
|
| 69 |
+
satisfying the original $\eps_c,\delta_c$ bounds. All scale factors
|
| 70 |
+
are at most one. This no-Boolean relation is monotone in its numerical
|
| 71 |
+
tolerance. We use that monotonicity only after this conversion; at no
|
| 72 |
+
point is a weak-Boolean gate reclassified at a larger tolerance.
|
| 73 |
+
|
| 74 |
+
\paragraph{Fan-out reduction with fixed slack.}
|
| 75 |
+
We spell out the precision and failure accounting in the fan-out
|
| 76 |
+
steps of~\cite[proof of Theorem~2, pp.~4--5]{BPR2016}.
|
| 77 |
+
Suppose $G_{\rm nb}$ has $m$ gates, put
|
| 78 |
+
$\gamma_0=\min\{\gamma,1/4\}$, and set
|
| 79 |
+
\[
|
| 80 |
+
D=\lceil 8/\gamma_0\rceil,\qquad
|
| 81 |
+
\eta_1=\eta/3,\qquad \gamma_1=\gamma_0/4.
|
| 82 |
+
\]
|
| 83 |
+
There are at most $2m$ outgoing wire occurrences in total, hence at
|
| 84 |
+
most $\gamma_0m/4$ gates with fan-out at least $D$. Delete those gates.
|
| 85 |
+
For each wire from a deleted output into a retained gate, supply an
|
| 86 |
+
independent $\mathrm{Constant}(0)$ gate. The resulting circuit has
|
| 87 |
+
at most $3m$ gates and fan-out less than $D$.
|
| 88 |
+
|
| 89 |
+
Given an assignment to this circuit, restore each deleted output as
|
| 90 |
+
zero. A failed new constant can spoil only its one receiving gate. A
|
| 91 |
+
new constant satisfied at tolerance $\eta_1$ changes its receiving
|
| 92 |
+
input by at most $\eta_1$ under restoration. For a retained arithmetic
|
| 93 |
+
gate satisfied at tolerance $\eta_1$, the residual after changing its
|
| 94 |
+
two inputs increases by at most $2\eta_1$; this uses the scale bound
|
| 95 |
+
one. For Less, an original input gap greater than $3\eta_1$ remains
|
| 96 |
+
greater than $\eta_1$ after those two changes, so its required output
|
| 97 |
+
also remains valid at tolerance $3\eta_1=\eta$. Therefore, if $f_1$
|
| 98 |
+
gates failed before restoration, at most
|
| 99 |
+
$\gamma_0m/4+f_1$ original gates can fail at tolerance $\eta$.
|
| 100 |
+
The bound $f_1\leq\gamma_1(3m)$ makes this at most $\gamma_0m$.
|
| 101 |
+
This also shows why a smaller numerical tolerance is used when the
|
| 102 |
+
replacement constants are made exact. The large-multiplier step in
|
| 103 |
+
the cited construction is unnecessary for our bounded scale factors.
|
| 104 |
+
|
| 105 |
+
Next route the $d>2$ outgoing wires of each remaining gate through
|
| 106 |
+
a balanced binary tree of Copy gates. One may use at most $2d$ new
|
| 107 |
+
gates and depth at most
|
| 108 |
+
\[
|
| 109 |
+
h=\lceil\log_2 D\rceil+1.
|
| 110 |
+
\]
|
| 111 |
+
If the preceding circuit has $m_1$ gates, there are at most $2m_1$
|
| 112 |
+
wire occurrences, so the new fan-out-two circuit has at most $5m_1$
|
| 113 |
+
gates. Use the fixed parameters
|
| 114 |
+
\[
|
| 115 |
+
\tau=\frac{\eta_1}{2(2h+1)},\qquad
|
| 116 |
+
\gamma_2=\frac{\gamma_1}{5D}.
|
| 117 |
+
\]
|
| 118 |
+
When every Copy gate on a route is $\tau$-satisfied, its leaf differs
|
| 119 |
+
from the root by at most $h\tau$. The same arithmetic and comparison
|
| 120 |
+
check shows that a retained gate satisfied at tolerance $\tau$
|
| 121 |
+
becomes satisfied at tolerance at most $(2h+1)\tau<\eta_1$ when its
|
| 122 |
+
inputs are restored to the roots. A failed Copy gate has fewer than
|
| 123 |
+
$D$ descendant receiving gates. Charging these receivers, and charging
|
| 124 |
+
each failed retained gate to itself, loses at most $D$ retained gates
|
| 125 |
+
per failed gate. Thus at most a $\gamma_2$ fraction of failures in
|
| 126 |
+
the new circuit produces at most a $\gamma_1$ fraction in the preceding
|
| 127 |
+
one. All depths, blowups, and tolerance losses are fixed independently
|
| 128 |
+
of $I$.
|
| 129 |
+
|
| 130 |
+
Denote the final fan-out-two circuit by $G_2$. All instance maps have
|
| 131 |
+
polynomial bit cost: they copy bounded rational parameters and introduce
|
| 132 |
+
only fixed rational constants. Their solution maps restrict assignments,
|
| 133 |
+
restore zero values, or copy existing coordinates, so they also have
|
| 134 |
+
polynomial bit cost on rational inputs.
|
| 135 |
+
|
| 136 |
+
The resulting assignment of $G$ need not obey the particular witness
|
| 137 |
+
polynomial $p(M)$ in Definition~\ref{def:gcircuit}. This causes no
|
| 138 |
+
restriction on the decoder. The argument after
|
| 139 |
+
\eqref{out:endpoint-proximity} proves soundness for every real assignment
|
| 140 |
+
meeting the gate-failure budget, and gives a deterministic decoder for
|
| 141 |
+
rational assignments in time polynomial in $N$ plus their total encoding
|
| 142 |
+
length. Applying it proves the stated interface.
|
| 143 |
+
\end{proof}
|
| 144 |
+
|
| 145 |
+
\subsection{Weak approximate Nash equilibria}
|
| 146 |
+
|
| 147 |
+
Babichenko, Papadimitriou, and Rubinstein reduce positive-gap generalized
|
| 148 |
+
circuits to weak approximate Nash search, where a fixed fraction of
|
| 149 |
+
players may have deviation gain larger than a fixed positive
|
| 150 |
+
error~\cite[Definition~4 and Theorem~2]{BPR2016}.
|
| 151 |
+
Lemma~\ref{lem:application-circuits} supplies the required circuit
|
| 152 |
+
interface. We retain the normalization and finite-witness details of the
|
| 153 |
+
transfer.
|
| 154 |
+
|
| 155 |
+
An $n$-player two-action polymatrix game is specified by an undirected
|
| 156 |
+
interaction graph and, for each edge, a pair of rational $2$-by-$2$
|
| 157 |
+
payoff matrices. Each player chooses action $0$ or $1$ and receives the
|
| 158 |
+
sum of its payoffs on incident edges. We use matrices with entries in
|
| 159 |
+
$[0,1/3]$ and graphs of maximum degree at most three, so every total
|
| 160 |
+
payoff lies in $[0,1]$. The encoding explicitly lists all players,
|
| 161 |
+
edges, and matrices, so its length is at least $n$. For a product
|
| 162 |
+
mixed-strategy profile $\sigma$,
|
| 163 |
+
write
|
| 164 |
+
\[
|
| 165 |
+
\operatorname{reg}_i(\sigma)
|
| 166 |
+
=\max_{a\in\{0,1\}}u_i(a,\sigma_{-i})-u_i(\sigma)
|
| 167 |
+
\]
|
| 168 |
+
for player $i$'s possible gain from deviation. A rational profile is
|
| 169 |
+
encoded by the binary rational probabilities $\sigma_i(1)\in[0,1]$.
|
| 170 |
+
|
| 171 |
+
\begin{corollary}[Fixed-gap weak approximate Nash hardness]
|
| 172 |
+
\label{cor:weak-nash}
|
| 173 |
+
There are fixed positive rational constants $\eps_{\rm w},\delta_{\rm w}$
|
| 174 |
+
and a fixed polynomial $p_{\rm w}$ for which the following search problem
|
| 175 |
+
is PPAD-hard under deterministic polynomial-time many-one search
|
| 176 |
+
reductions. Given an explicitly encoded rational two-action polymatrix
|
| 177 |
+
game of maximum degree at most three with the normalization above and
|
| 178 |
+
complete binary length $L$, find a rational product profile of total
|
| 179 |
+
encoding length at most $p_{\rm w}(L)$ such that
|
| 180 |
+
\begin{equation}\label{eq:weak-nash}
|
| 181 |
+
\bigl|\{i:\operatorname{reg}_i(\sigma)>\eps_{\rm w}\}\bigr|
|
| 182 |
+
\leq \lfloor\delta_{\rm w}n\rfloor .
|
| 183 |
+
\end{equation}
|
| 184 |
+
No further regret bound is imposed on the players counted on the left.
|
| 185 |
+
\end{corollary}
|
| 186 |
+
|
| 187 |
+
\begin{proof}
|
| 188 |
+
Use the fan-out-two circuit of Lemma~\ref{lem:application-circuits},
|
| 189 |
+
with numerical tolerance $\tau$ and failure allowance $\gamma_2$.
|
| 190 |
+
|
| 191 |
+
\paragraph{The game reduction.}
|
| 192 |
+
For a fan-out-two generalized circuit, the gate construction in
|
| 193 |
+
Rubinstein~\cite[Section~7]{Rubinstein2018}, used in
|
| 194 |
+
the forward reduction of~\cite[Theorem~2]{BPR2016}, has two actions per
|
| 195 |
+
player and maximum degree at most three. If the players of a gate
|
| 196 |
+
gadget use only actions within $\xi_0$ of a best response, their node
|
| 197 |
+
probabilities satisfy that gate at tolerance $2\xi_0$. Choose a fixed
|
| 198 |
+
positive rational $\xi_0<\tau/2$. These bounds imply our no-Boolean
|
| 199 |
+
gate relations at tolerance $\tau$: an antecedent for Less at
|
| 200 |
+
tolerance $\tau$ is also an antecedent at tolerance $2\xi_0$, and
|
| 201 |
+
the arithmetic and output bounds are stronger. The scale gadget's
|
| 202 |
+
output $\min\{\alpha x,1\}$ equals $\alpha x$ here because $\alpha\leq1$.
|
| 203 |
+
Each gate uses a fixed number of players, and a player belongs to only
|
| 204 |
+
a fixed number of gate gadgets.
|
| 205 |
+
Hence there are fixed integers $C_1,C_2$ such that the game has at most
|
| 206 |
+
$C_1$ times as many players as circuit gates and each player not
|
| 207 |
+
meeting the well-supported condition can spoil at most $C_2$ gates.
|
| 208 |
+
Choose a fixed positive rational
|
| 209 |
+
\[
|
| 210 |
+
\delta_{\rm w}\leq\frac{\gamma_2}{C_1C_2}.
|
| 211 |
+
\]
|
| 212 |
+
The decoded circuit assignment then meets its failure budget whenever
|
| 213 |
+
all but a $\delta_{\rm w}$ fraction of players meet that condition.
|
| 214 |
+
|
| 215 |
+
The gadget matrices have rational entries bounded in absolute value
|
| 216 |
+
by a fixed rational $B\geq1$: their variable scale parameters lie in
|
| 217 |
+
$[0,1]$, and all other gadget constants are fixed. Replacing every
|
| 218 |
+
payoff entry $a$ by $(a+B)/(6B)$ puts the entries in $[0,1/3]$.
|
| 219 |
+
For each player this adds an action-independent constant and scales
|
| 220 |
+
every deviation gain by $\lambda=1/(6B)$. Put $\xi=\lambda\xi_0$.
|
| 221 |
+
Thus the needed well-supported tolerance in the normalized game is
|
| 222 |
+
the fixed positive rational $\xi$.
|
| 223 |
+
|
| 224 |
+
Choose a fixed rational $t>0$ such that
|
| 225 |
+
$t(t+13)<\xi$, and put $\eps_{\rm w}=t^2$. We use the local pruning
|
| 226 |
+
argument of Rubinstein~\cite[Lemma~5]{Rubinstein2018}; this is the lemma
|
| 227 |
+
cited with an earlier number in the proof of BPR's Theorem~2. For every
|
| 228 |
+
player whose regret is at most $t^2$, remove actions whose payoff is
|
| 229 |
+
more than $(1+1/t)t^2$ below its best response and renormalize.
|
| 230 |
+
Leave the other players unchanged. The regret bound ensures that the
|
| 231 |
+
removed probability is less than one. The lemma's calculation, with
|
| 232 |
+
incoming degree at most three and total payoffs in $[0,1]$, shows that
|
| 233 |
+
every retained action of each formerly happy player is within
|
| 234 |
+
\[
|
| 235 |
+
t(t+1+4\cdot3)=t(t+13)<\xi
|
| 236 |
+
\]
|
| 237 |
+
of a best response after all these changes. Unchanged unhappy
|
| 238 |
+
neighbors contribute no change to that calculation. The fraction of
|
| 239 |
+
players not meeting the well-supported condition therefore does not
|
| 240 |
+
increase. This gives the required circuit assignment from any profile
|
| 241 |
+
satisfying~\eqref{eq:weak-nash}.
|
| 242 |
+
|
| 243 |
+
\paragraph{Rational witnesses and decoding.}
|
| 244 |
+
All instance maps above have polynomial bit cost. The auxiliary
|
| 245 |
+
constants are fixed rationals, and the game matrices copy bounded
|
| 246 |
+
rational gate parameters through fixed-size gadgets. For a rational
|
| 247 |
+
profile, its regrets require only a fixed number of rational operations
|
| 248 |
+
per player. The pruning threshold is rational, so exact comparisons,
|
| 249 |
+
deletion of actions, and renormalization have polynomial bit cost.
|
| 250 |
+
The extracted node probabilities, restrictions, and restored zero
|
| 251 |
+
values consequently form a rational assignment of polynomial total
|
| 252 |
+
encoding length.
|
| 253 |
+
|
| 254 |
+
Lemma~\ref{lem:application-circuits} decodes this assignment in its
|
| 255 |
+
total encoding length, so the particular witness polynomial $p(M)$ of
|
| 256 |
+
Definition~\ref{def:gcircuit} imposes no additional condition here.
|
| 257 |
+
|
| 258 |
+
Finally, the finite target search relation has a polynomial witness
|
| 259 |
+
bound. Round the probabilities of a mixed Nash equilibrium to a grid
|
| 260 |
+
of denominator $q$, where the fixed integer $q$ is greater than
|
| 261 |
+
$3/\eps_{\rm w}$. With entries in $[0,1/3]$ and degree at most three,
|
| 262 |
+
each pure-action payoff changes by at most $1/q$ when the neighboring
|
| 263 |
+
probabilities are rounded. Changing the player's own probability
|
| 264 |
+
changes its payoff by at most another $1/q$. Its resulting regret is
|
| 265 |
+
therefore at most $3/q<\eps_{\rm w}$. A fixed polynomial $p_{\rm w}$
|
| 266 |
+
can encode these $n$ rational probabilities. Satisfaction of
|
| 267 |
+
\eqref{eq:weak-nash} is checked by rational arithmetic in polynomial
|
| 268 |
+
time. The composed instance map and solution decoder establish the
|
| 269 |
+
stated search reduction.
|
| 270 |
+
\end{proof}
|
| 271 |
+
|
| 272 |
+
|
| 273 |
+
\subsection{Relative approximate bimatrix equilibria}
|
| 274 |
+
|
| 275 |
+
For a rational bimatrix game $(A,B)$ with $A\geq0$ and $B\leq0$
|
| 276 |
+
entrywise, a pair of mixed strategies $(x,y)$ is a relative
|
| 277 |
+
$\eps_{\rm r}$-approximate Nash equilibrium if
|
| 278 |
+
\begin{equation}\label{eq:relative-nash}
|
| 279 |
+
x^{\mathsf T}Ay\geq(1-\eps_{\rm r})\max_i(Ay)_i,
|
| 280 |
+
\qquad
|
| 281 |
+
x^{\mathsf T}By\geq(1+\eps_{\rm r})\max_j(x^{\mathsf T}B)_j.
|
| 282 |
+
\end{equation}
|
| 283 |
+
The plus sign in the second inequality reflects the column player's
|
| 284 |
+
nonpositive payoffs: each player's loss is at most $\eps_{\rm r}$
|
| 285 |
+
times the absolute value of its best-response payoff. These are
|
| 286 |
+
conditions on expected payoffs, not on every action in the support.
|
| 287 |
+
|
| 288 |
+
\begin{corollary}[Relative approximate Nash hardness]
|
| 289 |
+
\label{cor:relative-nash}
|
| 290 |
+
There are a fixed rational $0<\eps_{\rm r}<1$ and a fixed polynomial
|
| 291 |
+
$p_{\rm r}$ such that the following search problem is PPAD-complete
|
| 292 |
+
under deterministic polynomial-time many-one search reductions.
|
| 293 |
+
Given an explicitly encoded rational bimatrix game $(A,B)$ with
|
| 294 |
+
$A\geq0$, $B\leq0$, and complete binary length $L$, find a rational
|
| 295 |
+
mixed-strategy profile of total encoding length at most $p_{\rm r}(L)$
|
| 296 |
+
satisfying~\eqref{eq:relative-nash}.
|
| 297 |
+
\end{corollary}
|
| 298 |
+
|
| 299 |
+
\begin{proof}
|
| 300 |
+
Apply the implication from Conjecture~2 to Theorem~3 in
|
| 301 |
+
\cite[Section~4]{BPR2016}. This published chain passes through a
|
| 302 |
+
bipartite degree-three family of weak approximate Nash instances.
|
| 303 |
+
Theorem~\ref{thm:main} supplies its fixed-tolerance circuit premise on
|
| 304 |
+
a bounded-rational subclass, and Lemma~\ref{lem:application-circuits}
|
| 305 |
+
makes the gate-basis and fan-out preparation explicit. No change of
|
| 306 |
+
weak-Boolean tolerance is needed. The remaining polynomial reduction
|
| 307 |
+
gives hardness for a fixed positive relative error;
|
| 308 |
+
choosing a smaller positive rational error only strengthens the
|
| 309 |
+
requirements. Its marginal and conditional-probability decoder uses
|
| 310 |
+
polynomial-time rational arithmetic. Composing with the circuit
|
| 311 |
+
decoder after~\eqref{out:endpoint-proximity}, which is polynomial in
|
| 312 |
+
the total rational assignment length, gives the required search
|
| 313 |
+
reduction.
|
| 314 |
+
|
| 315 |
+
For membership, an exact Nash equilibrium of the same game satisfies
|
| 316 |
+
\eqref{eq:relative-nash}. Exact rational bimatrix Nash belongs to
|
| 317 |
+
PPAD, and every rational bimatrix game has an exact equilibrium of
|
| 318 |
+
polynomial encoding length~\cite[Theorem~1.1 and Section~2]{CDT2007Preprint}.
|
| 319 |
+
Choose $p_{\rm r}$ to accommodate that bound. The displayed inequalities
|
| 320 |
+
are checked by polynomial-time rational arithmetic, so the stated
|
| 321 |
+
finite search problem is total and belongs to PPAD.
|
| 322 |
+
\end{proof}
|
| 323 |
+
|
| 324 |
+
|
| 325 |
+
\subsection{Indivisible course allocation}
|
| 326 |
+
|
| 327 |
+
We also apply the course-allocation implication of Babichenko,
|
| 328 |
+
Papadimitriou, and Rubinstein~\cite[Theorem~4 and Appendix~B]{BPR2016}.
|
| 329 |
+
There are $M\geq1$ courses with nonnegative integer capacities $q_j$
|
| 330 |
+
and $N\geq1$ students. Each student's acceptable bundles are explicitly
|
| 331 |
+
listed in strict preference order, with the empty bundle as a final,
|
| 332 |
+
always-available choice; let $k$ be the maximum bundle size.
|
| 333 |
+
At prices $p_j\geq0$ and budgets $b_i>0$, each student receives its
|
| 334 |
+
most-preferred bundle $x_i\in\{0,1\}^M$ satisfying $p\cdot x_i\leq b_i$.
|
| 335 |
+
Budish's clearing convention and guaranteed threshold are
|
| 336 |
+
\cite[Definition~1 and Theorem~1]{Budish2011}
|
| 337 |
+
\[
|
| 338 |
+
z_j=\begin{cases}
|
| 339 |
+
\sum_i x_{ij}-q_j,&p_j>0,\\
|
| 340 |
+
\max\{\sum_i x_{ij}-q_j,0\},&p_j=0,
|
| 341 |
+
\end{cases}
|
| 342 |
+
\qquad
|
| 343 |
+
\alpha_* = \frac{\sqrt{M\min\{2k,M\}}}{2}.
|
| 344 |
+
\]
|
| 345 |
+
For positive budgets, their Gini coefficient is
|
| 346 |
+
\[
|
| 347 |
+
\operatorname{Gini}(b)
|
| 348 |
+
=\frac{\sum_{i,h}|b_i-b_h|}{2N\sum_i b_i}.
|
| 349 |
+
\]
|
| 350 |
+
|
| 351 |
+
\begin{corollary}[Low-Gini course-allocation hardness]
|
| 352 |
+
\label{cor:course-allocation}
|
| 353 |
+
There are a fixed rational $0<\gamma_{\rm c}<1/2$ and a fixed
|
| 354 |
+
polynomial $p_{\rm c}$ such that the following search problem is
|
| 355 |
+
PPAD-complete under deterministic polynomial-time many-one search
|
| 356 |
+
reductions. Given the explicit lists and capacities above, of total
|
| 357 |
+
binary length $L$, find rational prices and positive rational budgets,
|
| 358 |
+
together with the demanded bundles, of total encoding length at most
|
| 359 |
+
$p_{\rm c}(L)$, satisfying
|
| 360 |
+
\[
|
| 361 |
+
\norm{z}_2\leq\alpha_*,\qquad
|
| 362 |
+
\operatorname{Gini}(b)\leq\gamma_{\rm c}.
|
| 363 |
+
\]
|
| 364 |
+
\end{corollary}
|
| 365 |
+
|
| 366 |
+
\begin{proof}
|
| 367 |
+
Use the no-Boolean, fan-out-two circuits of
|
| 368 |
+
Lemma~\ref{lem:application-circuits}, with their fixed positive numerical
|
| 369 |
+
and failed-gate tolerances. The published reduction in
|
| 370 |
+
\cite[Appendix~B.2--B.3]{BPR2016} applies to this bounded-rational
|
| 371 |
+
subclass: after common normalization of prices and budgets, any
|
| 372 |
+
invalid circuit decoding forces the Gini coefficient to be at least a fixed
|
| 373 |
+
positive constant. Choose $\gamma_{\rm c}$ strictly below that
|
| 374 |
+
bound. Median normalization and price extraction have polynomial bit
|
| 375 |
+
cost on rational outputs. Composing with the circuit decoder after
|
| 376 |
+
\eqref{out:endpoint-proximity} therefore gives the hardness reduction,
|
| 377 |
+
with time polynomial in the input and total witness length.
|
| 378 |
+
|
| 379 |
+
For membership, Othman, Papadimitriou, and
|
| 380 |
+
Rubinstein~\cite[Appendix~A, Remarks~1--2]{OPR2014} prove that computing
|
| 381 |
+
an allocation at this clearing threshold with budgets in
|
| 382 |
+
$[1,1+\beta]$ belongs to PPAD in the explicit-list model, for every
|
| 383 |
+
fixed rational $\beta>0$. Choose a rational $0<\beta<\gamma_{\rm c}$.
|
| 384 |
+
Such budgets have Gini coefficient at most $\beta/2<\gamma_{\rm c}$;
|
| 385 |
+
existence is guaranteed by~\cite[Theorem~1]{Budish2011}.
|
| 386 |
+
The budget interval selects solutions for membership and is not an
|
| 387 |
+
additional requirement of the target problem.
|
| 388 |
+
|
| 389 |
+
Polynomial-size rational witnesses can also be seen directly.
|
| 390 |
+
Fix such an allocation and its zero-price pattern, and cap prices at
|
| 391 |
+
$2+\beta$ without changing demands. Keep the budget interval, these
|
| 392 |
+
price bounds and affordability of the chosen bundles. Introduce a
|
| 393 |
+
common slack $s\in[0,1]$ for the unaffordability of every strictly
|
| 394 |
+
preferred listed bundle and for the positivity of every positive
|
| 395 |
+
price. Maximizing $s$ over the resulting bounded rational polytope
|
| 396 |
+
has a positive optimum and a rational vertex optimum of polynomial
|
| 397 |
+
bit length. Demands and the price-sign pattern, hence clearing error,
|
| 398 |
+
are preserved. All target conditions are checked by rational
|
| 399 |
+
arithmetic and enumeration of the explicit lists; the clearing test
|
| 400 |
+
is equivalently $4\sum_jz_j^2\leq M\min\{2k,M\}$.
|
| 401 |
+
\end{proof}
|
| 402 |
+
|
| 403 |
+
|
| 404 |
+
\subsection{Markets with approximately optimal bundles}
|
| 405 |
+
|
| 406 |
+
The market reduction of Deligkas, Fearnley, Hollender, and
|
| 407 |
+
Melissourgos~\cite{Fisher2026} uses a ternary circuit intermediary.
|
| 408 |
+
We record it first; it will also supply the input to the single-controller
|
| 409 |
+
game reduction below.
|
| 410 |
+
|
| 411 |
+
A Pure-Circuit instance consists of explicit finite lists of nodes and
|
| 412 |
+
gates. An assignment $z$ gives each node a value in $\{0,1,\bot\}$.
|
| 413 |
+
A gate $\mathrm{NAND}(u,v;w)$ requires $z_w=0$ if $z_u=z_v=1$,
|
| 414 |
+
and $z_w=1$ if either input is zero; otherwise it imposes no condition.
|
| 415 |
+
A gate $\mathrm{PURIFY}(u;v,w)$ requires at least one of $z_v,z_w$
|
| 416 |
+
to lie in $\{0,1\}$, and requires $z_v=z_w=z_u$ whenever
|
| 417 |
+
$z_u\in\{0,1\}$.
|
| 418 |
+
Each gate uses three distinct nodes, and each node is the output of
|
| 419 |
+
exactly one gate. We use the version in which each node is also an input
|
| 420 |
+
to exactly one gate~\cite[Section~2.2.1]{Fisher2026}.
|
| 421 |
+
|
| 422 |
+
\begin{lemma}[The input-once Pure-Circuit interface]
|
| 423 |
+
\label{lem:application-pure-circuit}
|
| 424 |
+
There are a fixed positive rational $\delta_F$ and a deterministic
|
| 425 |
+
polynomial-time reduction from End-of-Line to NAND/PURIFY circuits of
|
| 426 |
+
the form just defined. Every ternary assignment satisfying all but a
|
| 427 |
+
$\delta_F$ fraction of the gates yields an End-of-Line solution in
|
| 428 |
+
polynomial time.
|
| 429 |
+
\end{lemma}
|
| 430 |
+
\begin{proof}
|
| 431 |
+
Apply \cite[Theorem~2.2 and Lemma~A.2]{Fisher2026} to the
|
| 432 |
+
no-Boolean, fan-out-two circuits of
|
| 433 |
+
Lemma~\ref{lem:application-circuits}. The published bridge gives a fixed positive failure allowance and makes
|
| 434 |
+
every node an input to exactly one gate. Its solution decoder returns
|
| 435 |
+
rational unary-count values, to which the decoder in
|
| 436 |
+
Lemma~\ref{lem:application-circuits} applies. All comparisons and
|
| 437 |
+
arithmetic have polynomial bit cost. No change of tolerance for a
|
| 438 |
+
weak-Boolean gate is required.
|
| 439 |
+
\end{proof}
|
| 440 |
+
|
| 441 |
+
We now define the simple market families used in the reduction.
|
| 442 |
+
There is one unit of each good, and utilities have the separable form
|
| 443 |
+
\[
|
| 444 |
+
u_i(x_i)=\sum_j\min\{a_{ij}x_{ij},b_{ij}\},
|
| 445 |
+
\qquad a_{ij}\geq0,\quad b_{ij}\in[0,\infty].
|
| 446 |
+
\]
|
| 447 |
+
All finite data are rational and explicitly encoded. Each buyer has
|
| 448 |
+
nonzero utility for only a bounded number of goods, each good has
|
| 449 |
+
nonzero utility for only a bounded number of buyers, and the ratio of
|
| 450 |
+
nonzero slopes for each buyer is bounded. These bounds are constants
|
| 451 |
+
for the family. Every buyer has at least one uncapped term of positive
|
| 452 |
+
slope. Fisher buyers have budget one. In the exchange version, every
|
| 453 |
+
buyer initially owns $1/|B|$ units of every good, where $B$ is the set
|
| 454 |
+
of buyers; in particular the endowments are identical and the economy
|
| 455 |
+
is strongly connected.
|
| 456 |
+
|
| 457 |
+
For errors $\eps_{\rm m},\delta_{\rm m}>0$, an approximate equilibrium
|
| 458 |
+
consists of prices $p_j\geq0$ and bundles $x_{ij}\geq0$. Each bundle
|
| 459 |
+
must be affordable and give its buyer at least $1-\delta_{\rm m}$
|
| 460 |
+
times the maximum utility attainable within that budget; each good
|
| 461 |
+
satisfies $\abs{\sum_i x_{ij}-1}\leq\eps_{\rm m}$. In the exchange
|
| 462 |
+
case the budget is the value of the buyer's endowment at $p$.
|
| 463 |
+
Affordability is exact. Outputs are rational prices and bundles of
|
| 464 |
+
polynomial encoding length; the rational-witness formulation is
|
| 465 |
+
discussed in~\cite[Section~2.1]{Fisher2026}.
|
| 466 |
+
|
| 467 |
+
\begin{corollary}[Approximate market equilibrium hardness]
|
| 468 |
+
\label{cor:market-hardness}
|
| 469 |
+
For every fixed $0<\eps_{\rm m}<1/9$, there is a fixed
|
| 470 |
+
rational $0<\delta_{\rm m}<1$ such that finding an
|
| 471 |
+
$(\eps_{\rm m},\delta_{\rm m})$-approximate equilibrium in the simple
|
| 472 |
+
Fisher markets above is PPAD-hard under deterministic polynomial-time
|
| 473 |
+
many-one search reductions. The same holds for their exchange-market
|
| 474 |
+
versions with identical endowments and strongly connected economies.
|
| 475 |
+
\end{corollary}
|
| 476 |
+
|
| 477 |
+
\begin{proof}
|
| 478 |
+
Use the circuits of Lemma~\ref{lem:application-pure-circuit}.
|
| 479 |
+
For each fixed $\eps_{\rm m}<1/9$,
|
| 480 |
+
\cite[Proposition~4.4]{Fisher2026} supplies a fixed positive $\delta_{\rm m}$ and a polynomial-time
|
| 481 |
+
reduction to the stated Fisher markets. Composing its solution decoder
|
| 482 |
+
with the circuit decoders proves the Fisher assertion of
|
| 483 |
+
\cite[Theorem~4.1]{Fisher2026} without its conjectural premise.
|
| 484 |
+
For rational $\eps_{\rm m}$, the other constants may be chosen rational
|
| 485 |
+
within the reduction's strict margins. For a nonrational fixed
|
| 486 |
+
$\eps_{\rm m}$, choose a rational clearing tolerance strictly between
|
| 487 |
+
$\eps_{\rm m}$ and $1/9$ and use its reduction: every solution with
|
| 488 |
+
the smaller clearing error also satisfies the larger one.
|
| 489 |
+
The Pure-Circuit bridge returns rational unary-count values;
|
| 490 |
+
for rational market witnesses, all comparisons and decoding have
|
| 491 |
+
polynomial bit cost. The decoder after~\eqref{out:endpoint-proximity}
|
| 492 |
+
applies in the total length of the resulting rational assignment,
|
| 493 |
+
without requiring the particular bound $p(M)$ in
|
| 494 |
+
Definition~\ref{def:gcircuit}.
|
| 495 |
+
|
| 496 |
+
For the exchange markets, normalize prices so that
|
| 497 |
+
$\sum_jp_j=|B|$. Every buyer's endowment then has value one, so the
|
| 498 |
+
same prices and bundles give a Fisher equilibrium with precisely the
|
| 499 |
+
same two errors. The positive-slope uncapped terms ensure that the
|
| 500 |
+
price sum is nonzero at any approximate equilibrium. This is the
|
| 501 |
+
transfer in~\cite[Appendix~B and Theorem~B.1]{Fisher2026}; normalization
|
| 502 |
+
also preserves polynomial rational encoding length.
|
| 503 |
+
\end{proof}
|
| 504 |
+
|
| 505 |
+
\subsection{Stationary equilibria in discounted games}
|
| 506 |
+
|
| 507 |
+
Daskalakis, Golowich, and Zhang~\cite{DGZ2023} obtain conditional
|
| 508 |
+
hardness for stationary equilibria whose incentive constraints are
|
| 509 |
+
averaged over an initial distribution. Their premise also follows
|
| 510 |
+
from Theorem~\ref{thm:main}.
|
| 511 |
+
|
| 512 |
+
A finite two-player discounted stochastic game has explicitly encoded
|
| 513 |
+
rational transition probabilities, rewards, and initial distribution
|
| 514 |
+
$\mu$. A stationary joint policy $\pi$ assigns a distribution on action
|
| 515 |
+
pairs to each state, sampled afresh at every visit. Write $\pi_{-i}$
|
| 516 |
+
for the other player's marginal policy and use normalized values
|
| 517 |
+
\[
|
| 518 |
+
V_i^\pi(\mu)=(1-\gamma)\E_{\mu,\pi}
|
| 519 |
+
\sum_{t\geq0}\gamma^t r_i(s_t,a_t).
|
| 520 |
+
\]
|
| 521 |
+
The policy is an $\eps$-stationary Markov coarse correlated equilibrium
|
| 522 |
+
(CCE) when
|
| 523 |
+
\[
|
| 524 |
+
\sup_{\sigma_i}
|
| 525 |
+
\bigl(V_i^{\sigma_i\times\pi_{-i}}(\mu)-V_i^\pi(\mu)\bigr)
|
| 526 |
+
\leq\eps\qquad(i=1,2),
|
| 527 |
+
\]
|
| 528 |
+
where $\sigma_i$ ranges over stationary policies chosen independently
|
| 529 |
+
of any action recommendation. These constraints use the supplied
|
| 530 |
+
$\mu$, rather than requiring the bound at every state. An
|
| 531 |
+
$\eps$-stationary Nash equilibrium has the same supplied-$\mu$
|
| 532 |
+
incentive bound and additionally requires $\pi$ to be a product policy.
|
| 533 |
+
|
| 534 |
+
\begin{corollary}[Stationary stochastic-game hardness]
|
| 535 |
+
\label{cor:stationary-game-hardness}
|
| 536 |
+
For some fixed rational $\eps_{\rm s}>0$, finding an
|
| 537 |
+
$\eps_{\rm s}$-stationary Markov CCE is PPAD-hard under deterministic
|
| 538 |
+
polynomial-time many-one search reductions, even for two-player
|
| 539 |
+
turn-based general-sum games with discount $\gamma=1/2$, rewards in
|
| 540 |
+
$[-1,1]$, and at most two actions for the active player at each state.
|
| 541 |
+
The inactive player's action affects neither rewards nor transitions.
|
| 542 |
+
The same hardness holds for $\eps_{\rm s}$-stationary Nash equilibria
|
| 543 |
+
with the same supplied-initial-distribution convention. Outputs are
|
| 544 |
+
rational policy tables of polynomial encoding length.
|
| 545 |
+
\end{corollary}
|
| 546 |
+
|
| 547 |
+
\begin{proof}
|
| 548 |
+
Use the no-Boolean circuit $G_{\rm nb}$ of
|
| 549 |
+
Lemma~\ref{lem:application-circuits}, with its fixed positive rational
|
| 550 |
+
tolerance $\eta$ and failure allowance $\delta_{\rm nb}$ (the constant
|
| 551 |
+
$\gamma$ of that lemma). The target basis in
|
| 552 |
+
\cite[Definition~8 and Appendix~D]{DGZ2023} consists of exact zero/one
|
| 553 |
+
constants, clipped linear gates, and comparison gates. For Scale and
|
| 554 |
+
Copy, repeat the input with coefficient pairs $(\alpha/2,\alpha/2)$
|
| 555 |
+
and $(1/2,1/2)$, respectively; Add and Subtract use $(1,1)$ and
|
| 556 |
+
$(1,-1)$. A Constant$(\alpha)$ uses its own exact-one node followed
|
| 557 |
+
by the scaled linear gate. Retain Less: each strict source comparison
|
| 558 |
+
antecedent implies the corresponding weak target antecedent, and the
|
| 559 |
+
target output error is smaller. Choose a positive rational target
|
| 560 |
+
tolerance below $\min\{\eta,1/12\}$. Each original gate uses at most
|
| 561 |
+
two target gates, and each failed target gate can spoil only its own
|
| 562 |
+
original gate. A target failure fraction at most $\delta_{\rm nb}/2$ therefore
|
| 563 |
+
suffices. This proves the positive-gap premise in
|
| 564 |
+
\cite[Conjecture~10]{DGZ2023}; no weak-Boolean tolerance is changed.
|
| 565 |
+
|
| 566 |
+
Apply the second assertion of~\cite[Theorem~4]{DGZ2023}. Its turn-based
|
| 567 |
+
construction has the stated discount, reward bounds and binary
|
| 568 |
+
choices. Taking statewise marginals of a joint policy in such a game
|
| 569 |
+
gives a product policy with the same values and unilateral deviation
|
| 570 |
+
gains, so its approximate stationary CCE decodes to an approximate
|
| 571 |
+
stationary Nash equilibrium with the same error. Choose a smaller
|
| 572 |
+
positive rational error if needed.
|
| 573 |
+
The fixed reduction parameters can be chosen rational with slack.
|
| 574 |
+
For rational policy tables, policy evaluation solves rational linear
|
| 575 |
+
systems, and the gate decoder and restrictions have polynomial bit
|
| 576 |
+
cost. The decoder after~\eqref{out:endpoint-proximity} then applies in
|
| 577 |
+
the total rational assignment length. Polynomial-size rational
|
| 578 |
+
approximate policy tables exist by rounding stationary Nash policies
|
| 579 |
+
at this fixed discount, as in~\cite[Section~2.5]{DGZ2023}.
|
| 580 |
+
\end{proof}
|
| 581 |
+
|
| 582 |
+
\subsection{Restricted stationary-game families}
|
| 583 |
+
|
| 584 |
+
The preceding consequence also supplies the input for the triangular
|
| 585 |
+
zero-sum construction of Park, Zhang, and Ozdaglar~\cite{PZO2025}.
|
| 586 |
+
Here the interaction graph concerns the whole auxiliary function,
|
| 587 |
+
not just immediate rewards: for every $V:S\to\mathbb R$, each
|
| 588 |
+
\[
|
| 589 |
+
Q_i^V(s,a)=r_i(s,a)+\gamma\sum_{s'}P(s'\mid s,a)V(s')
|
| 590 |
+
\]
|
| 591 |
+
must be a sum of functions of $(s,a_i,a_j)$ over neighbors $j$ of $i$.
|
| 592 |
+
This is the Q-function separability of~\cite[Definition~1]{PZO2025}.
|
| 593 |
+
Use the same normalized values and supplied-initial-distribution CCE
|
| 594 |
+
inequalities as above, now for all three players, with $\pi_{-i}$ the
|
| 595 |
+
joint marginal of the other two players.
|
| 596 |
+
|
| 597 |
+
\begin{corollary}[Triangular zero-sum stationary-game hardness]
|
| 598 |
+
\label{cor:triangle-stationary-hardness}
|
| 599 |
+
For some fixed rational $\eps_{\triangle}>0$, finding an
|
| 600 |
+
$\eps_{\triangle}$-stationary Markov CCE is PPAD-hard under deterministic
|
| 601 |
+
polynomial-time many-one search reductions even for rational three-player
|
| 602 |
+
zero-sum games with Q-function-separable interactions on the fixed
|
| 603 |
+
triangle $K_3$, discount $1/2$, and each player's stage reward in $[-1,1]$.
|
| 604 |
+
The hard games are turn-based, with at most two actions for the active
|
| 605 |
+
player and a third player with only one action. Outputs are rational
|
| 606 |
+
joint-policy tables of polynomial encoding length; incentives are
|
| 607 |
+
required only from the supplied rational initial distribution.
|
| 608 |
+
\end{corollary}
|
| 609 |
+
|
| 610 |
+
\begin{proof}
|
| 611 |
+
Apply the triangle construction in~\cite[Appendix~C, Case~1]{PZO2025}
|
| 612 |
+
to Corollary~\ref{cor:stationary-game-hardness}.
|
| 613 |
+
Write $c(s)\in\{1,2\}$ for the state controller and suppress inactive
|
| 614 |
+
actions. Add a one-action third player and retain states, transitions
|
| 615 |
+
and initial distribution. Specify oriented edge rewards before scaling by
|
| 616 |
+
\[
|
| 617 |
+
(b_{12},b_{13},b_{23})=
|
| 618 |
+
\begin{cases}
|
| 619 |
+
(-r_2,r_1+r_2,0),&c(s)=1,\\
|
| 620 |
+
(r_1,0,r_1+r_2),&c(s)=2,
|
| 621 |
+
\end{cases}
|
| 622 |
+
\qquad b_{ji}=-b_{ij}.
|
| 623 |
+
\]
|
| 624 |
+
Each term depends only on the actions at its edge. Divide every edge
|
| 625 |
+
reward by two. The resulting total rewards are
|
| 626 |
+
$(r_1/2,r_2/2,-(r_1+r_2)/2)$, lie in $[-1,1]$, and sum to zero.
|
| 627 |
+
For every test function $V$, the continuation term in $Q_i^V$ depends
|
| 628 |
+
only on $a_{c(s)}$. Allocate it to edge $\{i,c(s)\}$ when $i\ne c(s)$,
|
| 629 |
+
and to any incident edge when $i=c(s)$. This proves the required
|
| 630 |
+
separability on $K_3$ for every player and every $V$.
|
| 631 |
+
|
| 632 |
+
The state process of any new-game policy agrees with that of its
|
| 633 |
+
first-two-player restriction in the original game. Each original
|
| 634 |
+
player's normalized value and deviation gain in the new game is half
|
| 635 |
+
the corresponding quantity in the original game; the dummy has no
|
| 636 |
+
deviation. Thus error
|
| 637 |
+
$\eps_{\triangle}=\eps_{\rm s}/2$ suffices at the unchanged initial
|
| 638 |
+
distribution. The primary source uses unnormalized values, which are
|
| 639 |
+
twice our normalized values at discount $1/2$; the stated error
|
| 640 |
+
calculation uses our convention throughout. All new data use only
|
| 641 |
+
rational addition and halving, and restriction has polynomial bit cost.
|
| 642 |
+
Polynomial-size rational witnesses follow by the same fixed-discount
|
| 643 |
+
rounding argument as above.
|
| 644 |
+
\end{proof}
|
| 645 |
+
|
| 646 |
+
The single-controller construction of Farina, Kontogiannis, Panageas,
|
| 647 |
+
and Pollatos~\cite{FKPP2026} gives a different restricted family.
|
| 648 |
+
One player controls transitions at every state, while both players'
|
| 649 |
+
actions may affect rewards. Joint policies need not be product policies.
|
| 650 |
+
|
| 651 |
+
\begin{corollary}[Single-controller stationary-game hardness]
|
| 652 |
+
\label{cor:single-controller-hardness}
|
| 653 |
+
For some fixed rational $\eps_{\rm sc}>0$, finding an
|
| 654 |
+
$\eps_{\rm sc}$-stationary Markov CCE is PPAD-hard under deterministic
|
| 655 |
+
polynomial-time many-one search reductions for rational two-player
|
| 656 |
+
single-controller games with discount $1/16$, rewards in $[0,1]$,
|
| 657 |
+
and at most two actions per player per state. In the hard instances,
|
| 658 |
+
the initial law is uniform on the circuit-output variable states of
|
| 659 |
+
the cited construction and gives no mass to its absorbing sinks.
|
| 660 |
+
Outputs are rational joint-policy tables of polynomial encoding length.
|
| 661 |
+
The same assertion, with the same error, holds for every fixed rational
|
| 662 |
+
$\gamma\in[1/16,1)$.
|
| 663 |
+
\end{corollary}
|
| 664 |
+
|
| 665 |
+
\begin{proof}
|
| 666 |
+
Lemma~\ref{lem:application-pure-circuit} supplies input-once
|
| 667 |
+
NAND/PURIFY circuits with a fixed positive failed-gate allowance
|
| 668 |
+
$\delta_F$. Convert each NAND$(u,v;w)$ to
|
| 669 |
+
\[
|
| 670 |
+
\mathrm{NOT}(u;a),\qquad \mathrm{NOT}(v;b),\qquad
|
| 671 |
+
\mathrm{OR}(a,b;w),
|
| 672 |
+
\]
|
| 673 |
+
using fresh private nodes $a,b$, and keep PURIFY unchanged.
|
| 674 |
+
These are the ternary relations on $\{0,1,\bot\}$
|
| 675 |
+
of~\cite[Definition~2.6]{FKPP2026}: if $u=v=1$, the NOT outputs are
|
| 676 |
+
both zero and OR forces $w=0$; if either input is zero, its NOT output
|
| 677 |
+
is one and OR forces $w=1$, even when the other input is $\bot$.
|
| 678 |
+
In all other cases NAND imposes no condition. PURIFY has the same
|
| 679 |
+
relation in both bases.
|
| 680 |
+
Every node remains the input of exactly one gate, and outputs remain
|
| 681 |
+
uniquely defined. An original failed gate charges a failure in its own
|
| 682 |
+
disjoint replacement block. Since $m$ original gates give at most $3m$
|
| 683 |
+
new gates, a failed-gate allowance $\delta_F/3$ suffices. No numerical
|
| 684 |
+
tolerance of a weak-Boolean gate is changed.
|
| 685 |
+
|
| 686 |
+
This establishes the premise of~\cite[Conjecture~1]{FKPP2026}.
|
| 687 |
+
Apply its Theorem~5.5, choosing the fixed reduction parameters and a
|
| 688 |
+
positive rational equilibrium error within the strict bounds in its
|
| 689 |
+
equations~(23)--(24). Its states consist of circuit-variable states
|
| 690 |
+
and constantly many absorbing sinks; the initial law is uniform
|
| 691 |
+
precisely on the output-variable states. For a rational joint policy,
|
| 692 |
+
equation~(8) of that paper decodes a node from the reward player's
|
| 693 |
+
marginal $p$: output zero for $p\leq1/4$, one for $p\geq3/4$, and
|
| 694 |
+
$\bot$ otherwise. Marginalization, comparison and restriction have
|
| 695 |
+
polynomial bit cost. Follow these by the Fisher unary-count decoder
|
| 696 |
+
and the decoder after~\eqref{out:endpoint-proximity}.
|
| 697 |
+
At fixed discount, rounding stationary equilibrium policies with
|
| 698 |
+
slack gives polynomial-size rational witnesses; policy evaluation and
|
| 699 |
+
best-response optimization are rational finite-state discounted MDP
|
| 700 |
+
computations. No collapse of correlated policies to Nash policies is
|
| 701 |
+
used in this reduction.
|
| 702 |
+
|
| 703 |
+
Finally, the extension in~\cite[Remark~5.7]{FKPP2026} preserves the
|
| 704 |
+
normalized incentive inequalities exactly. Put $\beta=1/16$ and, for
|
| 705 |
+
a fixed rational $\gamma\in[\beta,1)$, set
|
| 706 |
+
\[
|
| 707 |
+
\tau=\frac{\beta(1-\gamma)}{\gamma(1-\beta)},\qquad
|
| 708 |
+
\widetilde P=(1-\tau)I+\tau P.
|
| 709 |
+
\]
|
| 710 |
+
For every stationary joint or unilaterally deviated policy $\pi$,
|
| 711 |
+
\[
|
| 712 |
+
I-\gamma\widetilde P^\pi
|
| 713 |
+
=\frac{1-\gamma}{1-\beta}(I-\beta P^\pi).
|
| 714 |
+
\]
|
| 715 |
+
Thus $(1-\gamma)(I-\gamma\widetilde P^\pi)^{-1}r_i^\pi$
|
| 716 |
+
equals $(1-\beta)(I-\beta P^\pi)^{-1}r_i^\pi$.
|
| 717 |
+
Rewards, actions and initial law are unchanged, and the lazy transition
|
| 718 |
+
remains rational and single-controller with polynomial encoding length.
|
| 719 |
+
\end{proof}
|
| 720 |
+
|
| 721 |
+
\subsection{Hylland--Zeckhauser equilibria}
|
| 722 |
+
|
| 723 |
+
The reduction of Braverman, Liu, Xue, and Zhou~\cite{HZ2026}
|
| 724 |
+
also yields constant-error hardness for one-sided allocation with
|
| 725 |
+
unit demand. An instance has $n$ agents, $n$ unit-supply goods, and
|
| 726 |
+
an explicitly encoded rational utility matrix $u\in[0,1]^{n\times n}$.
|
| 727 |
+
In their approximate Hylland--Zeckhauser (HZ) equilibrium
|
| 728 |
+
\cite[Definition~2.1]{HZ2026}, an allocation $x\geq0$ and prices
|
| 729 |
+
$p\geq0$ satisfy
|
| 730 |
+
\[
|
| 731 |
+
\sum_i x_{ij}=1,\qquad \sum_j x_{ij}=1,\qquad \min_jp_j=0,
|
| 732 |
+
\]
|
| 733 |
+
and, for each agent $i$,
|
| 734 |
+
\[
|
| 735 |
+
p\cdot x_i\leq1+\eps,\qquad
|
| 736 |
+
u_i\cdot x_i\geq
|
| 737 |
+
\max\{u_i\cdot y:y\geq0,\ \sum_jy_j=1,\ p\cdot y\leq1\}-\eps.
|
| 738 |
+
\]
|
| 739 |
+
Thus clearing and unit demand are exact; the additive errors concern
|
| 740 |
+
expenditure and utility, with comparison budget one.
|
| 741 |
+
|
| 742 |
+
\begin{corollary}[Approximate HZ equilibrium hardness]
|
| 743 |
+
\label{cor:hz-hardness}
|
| 744 |
+
There are a fixed rational $\eps_{\rm h}>0$ and a fixed polynomial
|
| 745 |
+
$p_{\rm h}$ such that finding an $\eps_{\rm h}$-HZ equilibrium with
|
| 746 |
+
rational prices and allocation of total encoding length at most
|
| 747 |
+
$p_{\rm h}(L)$ is PPAD-hard under deterministic polynomial-time
|
| 748 |
+
many-one search reductions, where $L$ is the input encoding length.
|
| 749 |
+
\end{corollary}
|
| 750 |
+
|
| 751 |
+
\begin{proof}
|
| 752 |
+
Use the fan-out-two circuit of Lemma~\ref{lem:application-circuits},
|
| 753 |
+
with its fixed positive numerical tolerance $\tau$ and failure
|
| 754 |
+
allowance $\gamma_2$. Its no-Boolean gate relations agree with
|
| 755 |
+
\cite[Table~1]{HZ2026}, so no Boolean tolerance is changed.
|
| 756 |
+
The reduction underlying~\cite[Theorem~3.2]{HZ2026} has two stages:
|
| 757 |
+
Lemma~3.4 of that paper converts these circuits to bounded-degree
|
| 758 |
+
threshold games, and Lemma~3.25 converts those games to HZ instances.
|
| 759 |
+
The construction uses a fixed integer $m$ and rational market data,
|
| 760 |
+
with HZ error $m^{-40}$. In that construction, each threshold-game
|
| 761 |
+
vertex $v$ has an associated group $G_{v,1}$ of goods. The first
|
| 762 |
+
decoder assigns $v$ the value $\min\{1,m^2p(G_{v,1})\}$, where
|
| 763 |
+
$p(G_{v,1})$ is the minimum price in that group. This decoder, the
|
| 764 |
+
threshold-game-to-circuit decoder, and the subsequent circuit decoders
|
| 765 |
+
have polynomial bit cost on rational witnesses. Composing
|
| 766 |
+
with the decoder after~\eqref{out:endpoint-proximity} therefore gives
|
| 767 |
+
an End-of-Line solution in time polynomial in the input and total
|
| 768 |
+
rational witness length.
|
| 769 |
+
|
| 770 |
+
For completeness, polynomial-size rational HZ witnesses preserve the
|
| 771 |
+
exact equalities above. Start from a normalized exact equilibrium
|
| 772 |
+
$(x,p)$, as in~\cite[Lemma~B.2]{HZ2026}; summing budgets and column
|
| 773 |
+
sums gives $\sum_jp_j\leq n$.
|
| 774 |
+
Round prices upward on a rational grid of mesh at most
|
| 775 |
+
$\eps_{\rm h}/4$, retaining zero prices. Express $x$ as a convex
|
| 776 |
+
combination of at most $n^2$ permutation matrices and round its
|
| 777 |
+
weights, preserving nonnegativity and total weight one, so each row
|
| 778 |
+
changes in $\ell_1$ norm by at most $\eps_{\rm h}/[4(n+1)]$.
|
| 779 |
+
A denominator of order $n^3/\eps_{\rm h}$ suffices. Row and column
|
| 780 |
+
sums remain exact, expenditures increase by less than $\eps_{\rm h}$,
|
| 781 |
+
and utilities decrease by less than $\eps_{\rm h}$. Since prices only
|
| 782 |
+
increase, the comparison optimum cannot increase. These rational
|
| 783 |
+
witnesses have a fixed polynomial encoding bound; their utility
|
| 784 |
+
conditions are checked by rational linear programming.
|
| 785 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/build/sections/12-extensions.tex
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|
| 1 |
+
\section{Further algebraic and binary representations}
|
| 2 |
+
\label{sec:extensions}
|
| 3 |
+
|
| 4 |
+
The constructions above use separate algebraic representations at the
|
| 5 |
+
outer and inner scales, and retain only the binary products needed for
|
| 6 |
+
functional evaluation. We record two extensions of these representations.
|
| 7 |
+
The first applies the inner algebraic charts directly to the End-of-Line
|
| 8 |
+
macrograph. The second allows unrestricted binary products and checks
|
| 9 |
+
proposed moves. These extensions are independent of the proof of
|
| 10 |
+
Theorem~\ref{thm:main} and the consequences in Section~\ref{sec:weak-nash}.
|
| 11 |
+
|
| 12 |
+
\subsection{A polynomial chart representation of the End-of-Line macrograph}
|
| 13 |
+
\label{ia:eol-variant}
|
| 14 |
+
|
| 15 |
+
The polynomial-chart construction also realizes the full reciprocal
|
| 16 |
+
End-of-Line macrograph, including its other paths and cycles, without
|
| 17 |
+
the standardized-port requirement. We record this separate application
|
| 18 |
+
of the same algebraic tools. Its size
|
| 19 |
+
is polynomial; the quasilinear outer representation used in the main
|
| 20 |
+
reduction remains the construction of Sections~\ref{sec:outer-codes}--
|
| 21 |
+
\ref{sec:outer-representation}.
|
| 22 |
+
All field and chart notation in this subsection is local to this separate
|
| 23 |
+
instantiation. The fields, allowance, and one-port templates fixed in
|
| 24 |
+
Section~\ref{sec:inner-algebra} retain their original meaning outside
|
| 25 |
+
this subsection.
|
| 26 |
+
|
| 27 |
+
\begin{proposition}[Full macrograph polynomial representation]
|
| 28 |
+
\label{ia:eol-algebra-interface}
|
| 29 |
+
For a normalized End-of-Line instance of encoding length \(N\), one
|
| 30 |
+
can construct in deterministic polynomial time a cyclic macrograph and
|
| 31 |
+
its progress-path extension with the following properties.
|
| 32 |
+
\begin{enumerate}[label=(\roman*)]
|
| 33 |
+
\item The graph has indegree and outdegree at most one, no isolated
|
| 34 |
+
vertices or self edges, and a public exceptional source with a public
|
| 35 |
+
successor. Every other endpoint yields an End-of-Line answer from
|
| 36 |
+
its logical tape in polynomial time. Other paths and cycles are
|
| 37 |
+
retained.
|
| 38 |
+
\item Its valid extended labels have unique canonical polynomial
|
| 39 |
+
chart tuples on one fixed-dimensional domain \(K^u\). There are a
|
| 40 |
+
fixed number of chart families, native dimensions \(O(\ell)\),
|
| 41 |
+
a bounded number of \(O(\ell)\) slot axes, and honest coordinate
|
| 42 |
+
degree \(O(\ell h)<D\). All full evaluation, mask, coefficient,
|
| 43 |
+
and indexing arrays have polynomial size. The construction does
|
| 44 |
+
not enumerate the graph's vertices.
|
| 45 |
+
\item The tuples have a perfectly complete bounded binary-form
|
| 46 |
+
algebraic validator with a constant exact gap on genuine
|
| 47 |
+
degree-at-most-\(D\) polynomials. Linear probes are smooth; each
|
| 48 |
+
unknown product uses two independent full point marginals. Canonical
|
| 49 |
+
recipes with the same degree and covariance properties are defined
|
| 50 |
+
on every Boolean logical tape at every specified frame, mode, and
|
| 51 |
+
progress. An invalid label so represented has the same exact gap.
|
| 52 |
+
\item Mode, empty/full progress, and the critical bits for a proposed
|
| 53 |
+
edit admit bounded smooth decisions at any fixed reliability. Once
|
| 54 |
+
the true decision branch is fixed, either proposed canonical tuple has the
|
| 55 |
+
bounded affine update formulas of~\eqref{ia:affine-update}, including
|
| 56 |
+
its full proof data, whether or not the proposed target is valid.
|
| 57 |
+
The coefficients are independent of point and row position, and
|
| 58 |
+
the updates commute with common linear row encodings and ordered-line
|
| 59 |
+
coefficient encodings.
|
| 60 |
+
\end{enumerate}
|
| 61 |
+
Here the fields and all fixed constants are chosen for this whole
|
| 62 |
+
construction. No common one-port source or radius-before-arity
|
| 63 |
+
conclusion is asserted. Target validity is tested after prediction,
|
| 64 |
+
as in Proposition~\ref{ib:proposal-validation}; it is not presumed
|
| 65 |
+
by an affine update formula.
|
| 66 |
+
\end{proposition}
|
| 67 |
+
|
| 68 |
+
\begin{proof}
|
| 69 |
+
\paragraph{Cyclic schedule and Boolean validity.}
|
| 70 |
+
Use the normalized transcript positions and the two orders of
|
| 71 |
+
Section~\ref{macro:transcripts}, renaming their length \(T=O(N)\).
|
| 72 |
+
For this variant keep two content tapes \(A,B\); their occupied
|
| 73 |
+
prefix lengths are specified by the public stage, so no occupation
|
| 74 |
+
coordinates are needed. With the notation \(Q_x,U_y,V_y\) from
|
| 75 |
+
that section, use the following four stage conditions:
|
| 76 |
+
\[
|
| 77 |
+
\begin{array}{c|l}
|
| 78 |
+
0\le s\le T
|
| 79 |
+
& A=Q_x,\quad B\text{ a forward prefix of length }s
|
| 80 |
+
\text{ from }S(x),\\
|
| 81 |
+
T\le s\le2T
|
| 82 |
+
& B=Q_y,\quad A\text{ a reconstruction prefix of length }2T-s
|
| 83 |
+
\text{ from }y,\\
|
| 84 |
+
2T\le s\le3T
|
| 85 |
+
& B\text{ a valid full transcript},\quad
|
| 86 |
+
A=\operatorname{pref}_{\pi_{\mathrm f},s-2T}(B),\\
|
| 87 |
+
3T\le s\le4T
|
| 88 |
+
& A\text{ a valid full transcript},\quad
|
| 89 |
+
B=\operatorname{pref}_{\pi_{\mathrm f},4T-s}(A).
|
| 90 |
+
\end{array}
|
| 91 |
+
\]
|
| 92 |
+
The boundary descriptions agree. At \(s=T\), the first gives
|
| 93 |
+
\(A=Q_x,B=Q_y,y=S(x),P(y)=x\); hence reconstruction from \(y\)
|
| 94 |
+
gives exactly \(A\). Conversely, a complete valid reconstruction
|
| 95 |
+
from \(y\) gives \(x=P(y)\), \(S(x)=y\), and the same pair.
|
| 96 |
+
At \(2T\), \(3T\), and \(4T\) the descriptions respectively say
|
| 97 |
+
that \(A\) is empty, that \(A=B\) is full, and that \(B\) is empty.
|
| 98 |
+
The last is the stage-zero hub condition.
|
| 99 |
+
|
| 100 |
+
Choose a fixed polynomial scale \(n_G=C_G(N+2)^2\), with \(C_G\)
|
| 101 |
+
large enough that \(n_G\ge4T+3\) and all fixed lower cutoffs and
|
| 102 |
+
degree inequalities below hold, and use~\eqref{ia:parameters}--
|
| 103 |
+
\eqref{ia:radix-size} with \(n'\) replaced by \(n_G\). In
|
| 104 |
+
particular \(h^\ell\ge n_G^3+3\), \(M=h^\ell-1\), and
|
| 105 |
+
\(C=K_1^\times=\langle\gamma\rangle\). Pad stages
|
| 106 |
+
\(4T,\ldots,M-1\) by the hub condition, and identify stage \(s\)
|
| 107 |
+
with \(c=\gamma^s\) by enumerating the group. No discrete logarithm
|
| 108 |
+
is needed. All hub-to-hub steps, including the wrap to stage zero,
|
| 109 |
+
are allowed.
|
| 110 |
+
|
| 111 |
+
The forward tape proposals are, in order: fill the next forward
|
| 112 |
+
\(B\) position; erase the last reconstruction \(A\) position;
|
| 113 |
+
copy the next \(B\) position into \(A\); erase the last copied
|
| 114 |
+
\(B\) position; or do nothing at a padded hub. The reverse proposals
|
| 115 |
+
are respectively erasure, local reconstruction, erasure, copying,
|
| 116 |
+
and the identity. A fill uses its computed bit even if the new
|
| 117 |
+
terminal comparison fails. An actual edge is exactly a proposed
|
| 118 |
+
pair whose two stage conditions hold. Prefix uniqueness from
|
| 119 |
+
Section~\ref{macro:transcripts} makes the operations reciprocal
|
| 120 |
+
on such pairs: earlier operands or the unchanged full tape determine
|
| 121 |
+
each erased bit. Thus both degrees are at most one.
|
| 122 |
+
|
| 123 |
+
Add a legacy vector \(e\) on \(C\), one-hot at \(c^{-1}\), and
|
| 124 |
+
write \(b=(A,B,e)\). Impose bitness, the one-hot equations
|
| 125 |
+
\eqref{ia:one-hot}, and, for each stage \(c\), multiply every tape
|
| 126 |
+
constraint at that stage by \(e_{c^{-1}}\). Gate constraints have
|
| 127 |
+
degree at most two; blank, copy, and terminal-comparison constraints
|
| 128 |
+
are linear. The resulting \(O(MT+M^2)\) rows have degree at most
|
| 129 |
+
three and describe exactly the union of valid stage tapes. Their row and
|
| 130 |
+
column index sets are polynomial in \(N\), hence require only
|
| 131 |
+
\(O(\ell)\) digit coordinates in the linear verification tool.
|
| 132 |
+
Padding other tape coordinates by zero to full digit grids preserves
|
| 133 |
+
these bounds. A proposal changes at most one content coordinate and the
|
| 134 |
+
two legacy coordinates \(c^{-1},(\gamma c)^{-1}\). Use these three
|
| 135 |
+
unit vectors, or a zero content vector at hubs, as a fixed binary
|
| 136 |
+
flip alphabet. The coefficient of the content flip is the old bit
|
| 137 |
+
plus its required new value. Either direction needs only the old
|
| 138 |
+
bit, at most two operands or one copy bit, and finitely many public
|
| 139 |
+
phase and rule bits. The same rule defines proposals on every
|
| 140 |
+
Boolean tape, without a validity call.
|
| 141 |
+
|
| 142 |
+
\paragraph{Endpoints and progress paths.}
|
| 143 |
+
A forward prefix can always be shortened, so a missing successor
|
| 144 |
+
is its first failed terminal comparison. With \(A=Q_x\), put
|
| 145 |
+
\(y=S(x)\). Then \(P(S(y))\ne y\) and \(P(y)=x\). If \(y=0\),
|
| 146 |
+
the source promises would give \(x=P(0)=0\) and \(S(0)=0\), a
|
| 147 |
+
contradiction. A reconstruction prefix can always be shortened in
|
| 148 |
+
the forward direction; a missing predecessor gives
|
| 149 |
+
\(y=\operatorname{in}_S(B)\) and \(S(P(y))\ne y\). Copy and hub
|
| 150 |
+
stages have both neighbors. Thus there are no isolated vertices.
|
| 151 |
+
The only zero exception is \(B=Q_0\) with its longest valid
|
| 152 |
+
reconstruction prefix from zero. This transcript exists because
|
| 153 |
+
\(P(S(0))=0\), and its maximal length \(k_*<T\) follows from
|
| 154 |
+
\(S(P(0))=S(0)\ne0\). Its stage is \(2T-k_*\), and its successor
|
| 155 |
+
shortens the prefix or starts copying if \(k_*=0\). Direct circuit
|
| 156 |
+
evaluation computes this source and successor.
|
| 157 |
+
|
| 158 |
+
For each macro tape at stage \(c\), introduce the path
|
| 159 |
+
\[
|
| 160 |
+
(\gamma^{-1}c,b,1,q-1),\ldots,(\gamma^{-1}c,b,1,0),
|
| 161 |
+
(c,b,0,0),\ldots,(c,b,0,q-1).
|
| 162 |
+
\]
|
| 163 |
+
Attach each actual macro edge from the full pre end of one path
|
| 164 |
+
to the full post start of the next. This is the four-operation
|
| 165 |
+
extension of Definition~\ref{ia:extended-path}, with actual
|
| 166 |
+
macroedge validity in place of that definition's disabled-wrap
|
| 167 |
+
rule. The replacement paths are disjoint, so they preserve all
|
| 168 |
+
components, endpoints, and degree bounds. Every edge changes a
|
| 169 |
+
mode or progress coordinate. If the exceptional macro source is
|
| 170 |
+
\((c_*,b_*)\), its extended source and successor are
|
| 171 |
+
\((\gamma^{-1}c_*,b_*,1,q-1)\) and
|
| 172 |
+
\((\gamma^{-1}c_*,b_*,1,q-2)\). At another endpoint, scanning the
|
| 173 |
+
legacy vector and transcript gives the appropriate nonzero vector
|
| 174 |
+
above in polynomial time.
|
| 175 |
+
|
| 176 |
+
\paragraph{Canonical arrays without positive tags.}
|
| 177 |
+
Use the ordinary order-one lifts for \(A,B\), the cyclic lift of
|
| 178 |
+
Lemma~\ref{ia:cyclic-lift} for \(e\), and the constant chart. Include
|
| 179 |
+
\emph{every} ordered monomial type list of length at most three
|
| 180 |
+
in these groups, with independent argument groups even for repeated
|
| 181 |
+
types. There are constantly many lists. Recursive factorization
|
| 182 |
+
fixes the monomials from the order-one charts. Apply
|
| 183 |
+
Lemma~\ref{ia:linear-tool} to their extension, zero-padding, bitness,
|
| 184 |
+
and cubic validity rows. A coincident-grid product in a validity
|
| 185 |
+
row is a linear condition on a tensor entry, so its verification
|
| 186 |
+
uses that lemma rather than a diagonal unknown-product query.
|
| 187 |
+
This fixes all its canonical certificates uniquely.
|
| 188 |
+
|
| 189 |
+
Adjoin \(J_c\), the clock-times-monomial charts, and the clock/legacy
|
| 190 |
+
identity~\eqref{ia:clock-legacy}. The clock-indexed construction
|
| 191 |
+
of Lemma~\ref{ia:clock-formula} provides every critical logical bit
|
| 192 |
+
and every public rule bit for both proposal directions. Their
|
| 193 |
+
addresses are indexed by the absolute frame \(cz\); they do not
|
| 194 |
+
require reading the unknown frame as a binary word. All these
|
| 195 |
+
canonical formulas are defined for arbitrary Boolean \(b\), even
|
| 196 |
+
when a final validity row fails.
|
| 197 |
+
|
| 198 |
+
For every persistent chart of positive assigned Boolean degree,
|
| 199 |
+
including every verification auxiliary, and each of the eight
|
| 200 |
+
flip masks, apply the derivative construction~\eqref{ia:derivative}
|
| 201 |
+
using the same frame in both terms. The top Boolean degree cancels,
|
| 202 |
+
so the derivative and all certificates introduced to verify it
|
| 203 |
+
have degree at most one less. Construct the coefficient maps from
|
| 204 |
+
the parent's specified canonical recipe by
|
| 205 |
+
\eqref{ia:boolean-inversion}, and repeat on every new positive-degree
|
| 206 |
+
family. After at most three drops the process stops. It updates
|
| 207 |
+
the certificates themselves and does not assume their validity.
|
| 208 |
+
The number of families is fixed. Each persistent family has at
|
| 209 |
+
most one \(O(\ell)\) slot axis, and finitely many applications of
|
| 210 |
+
the degree estimate~\eqref{ia:tool-degree} leave coordinate degree
|
| 211 |
+
\(O(\ell h)<D\). Give all inherited projection axes consistent
|
| 212 |
+
full \(K\) labels and reserve a new label for each derivative
|
| 213 |
+
axis; a fixed common \(K^u\) suffices. No positive-tag reuse or
|
| 214 |
+
one-port identification is needed.
|
| 215 |
+
|
| 216 |
+
\paragraph{Validation, affine updates, and size.}
|
| 217 |
+
Use exactly the mode, radix marker, and projection stacks of
|
| 218 |
+
Lemma~\ref{ia:stacks}. Their triangular recurrences uniquely fix
|
| 219 |
+
all coefficients. At full progress, the singleton-stack sums
|
| 220 |
+
\eqref{ia:critical-projection} supply the constant-polynomial
|
| 221 |
+
critical values for the finite proposal rule. For every persistent
|
| 222 |
+
chart and every stack subset, the summed derivative stack in
|
| 223 |
+
\eqref{ia:edit-increment} gives its exact change at the fixed frame.
|
| 224 |
+
These simultaneous identities hold on every Boolean tape. Increasing
|
| 225 |
+
and decreasing progress use~\eqref{ia:increase-zero}--
|
| 226 |
+
\eqref{ia:decrease}; frame advancement occurs only with empty stacks
|
| 227 |
+
and uses the designated scaling by \(\gamma\). Thus the complete
|
| 228 |
+
proposed target, including every proof chart, obeys the bounded
|
| 229 |
+
affine formulas. Public coefficients and mask pulls are independent
|
| 230 |
+
of target point and row; a common linear row extension and
|
| 231 |
+
line-coefficient extraction commute with them.
|
| 232 |
+
|
| 233 |
+
The exact-gap argument of Lemma~\ref{ia:exact-validator} now applies
|
| 234 |
+
to this finite family: first enforce shape, independence, and
|
| 235 |
+
linearity, then monomial and clock identities, then all unique
|
| 236 |
+
linear certificates, and finally the marker and stack recurrences.
|
| 237 |
+
If every identity holds, there is one valid tape and its canonical
|
| 238 |
+
tuple. Otherwise a nonzero polynomial discrepancy, after the stated
|
| 239 |
+
earlier linearity conditions, is detected with a fixed positive
|
| 240 |
+
probability by uniform points, separable masks, and binary forms.
|
| 241 |
+
Products of nonconstant monomial factors use their independent
|
| 242 |
+
argument groups; clock products use a fresh independent group;
|
| 243 |
+
marker products are sampled at independent points after constancy
|
| 244 |
+
is enforced. Ignored coordinates are filled independently. Hence
|
| 245 |
+
all unknown products have independent full point marginals, and
|
| 246 |
+
all linear probes retain the smoothness of the linear tool.
|
| 247 |
+
On an invalid Boolean tape the recipes, covariance, and degree
|
| 248 |
+
bounds still hold, but some final identity fails with the same gap.
|
| 249 |
+
|
| 250 |
+
Finally, \(M,|K|,q^{O(\ell)}\), the validity matrices, and all
|
| 251 |
+
mask spaces have polynomial size in \(N\). More explicitly,
|
| 252 |
+
\(T\le M\), the stage rows number \(O(M^2)\), and the logical
|
| 253 |
+
monomials of degree at most three number \(O(M^3)\). All later
|
| 254 |
+
row and column sets have size a fixed power of these quantities
|
| 255 |
+
or of \(|K|\); their base-\(h\) digit dimensions are therefore
|
| 256 |
+
\(O(\ell)\). The fixed-depth degree estimates remain
|
| 257 |
+
\(O(\ell h)<D\) after the chosen cutoff. Boolean interpolation
|
| 258 |
+
through degree three, every array operation, and every fixed-depth
|
| 259 |
+
certificate construction consequently take polynomial time. No step enumerates Boolean assignments
|
| 260 |
+
or graph vertices. This proves all the asserted costs and interfaces.
|
| 261 |
+
\end{proof}
|
| 262 |
+
|
| 263 |
+
\subsection{Unrestricted products and validation of proposed moves}
|
| 264 |
+
\label{ib:unrestricted-variants}
|
| 265 |
+
|
| 266 |
+
We return to the binary construction and notation of
|
| 267 |
+
Section~\ref{sec:inner-binary}. The restriction to compatible tags is
|
| 268 |
+
needed for the standardized one-port source in
|
| 269 |
+
Section~\ref{sec:inner-gadget}. The binary methods
|
| 270 |
+
also give the following variant when that source requirement is absent.
|
| 271 |
+
Its constants are fixed for the entire chosen chart family.
|
| 272 |
+
|
| 273 |
+
\begin{proposition}[All ordered products and full logical recovery]
|
| 274 |
+
\label{ib:all-pairs-interface}
|
| 275 |
+
Fix an inner algebraic template, and replace the compatible-pair list
|
| 276 |
+
by the list of \emph{all} ordered pairs of point-track types in
|
| 277 |
+
\eqref{ib:product-bit}. The two positions remain independent even
|
| 278 |
+
when the types coincide; no line-product blocks are added. Rebalance all blocks by the repetition construction of
|
| 279 |
+
Section~\ref{ib:binary-blocks}. This encoding has polynomial length and a
|
| 280 |
+
uniform polynomial-time construction, and has the following properties.
|
| 281 |
+
\begin{enumerate}[label=(\roman*)]
|
| 282 |
+
\item Valid canonical words have constant distance and the perfectly
|
| 283 |
+
complete smooth tester and proximity guarantee of
|
| 284 |
+
Proposition~\ref{ib:tester}. A structurally canonical word whose
|
| 285 |
+
label is invalid has rejection probability at least one fixed
|
| 286 |
+
\(\theta_{\rm inv}>0\).
|
| 287 |
+
\item One fixed radius permits arbitrary fixed average accuracy for
|
| 288 |
+
bounded-density requests, with joint pair density for products,
|
| 289 |
+
arbitrary public masks and forms, and all-hypothetical-branch
|
| 290 |
+
smoothness as in Proposition~\ref{ib:average-correction} and
|
| 291 |
+
Lemma~\ref{ib:all-branch-density}.
|
| 292 |
+
\item From a sufficiently small fixed neighborhood of any structurally
|
| 293 |
+
canonical word, its \emph{entire} logical tape
|
| 294 |
+
\(b=(w,e,(s_i)_i)\) is recoverable exactly in deterministic polynomial
|
| 295 |
+
time, whether or not that tape is valid.
|
| 296 |
+
\end{enumerate}
|
| 297 |
+
The constants and the radius may depend on the whole fixed template
|
| 298 |
+
and its block list. No common one-port layout or radius fixed before
|
| 299 |
+
arity is asserted for this variant.
|
| 300 |
+
|
| 301 |
+
More generally, the same binary transfer applies to a supplied fixed
|
| 302 |
+
finite chart template with the field, degree, slot, and polynomial-size
|
| 303 |
+
bounds used in Section~\ref{sec:inner-binary}, subject to these explicit
|
| 304 |
+
conditions: its canonical
|
| 305 |
+
recipes are defined also on invalid logical tapes; its bounded
|
| 306 |
+
binary-form algebraic validator has perfect completeness and an exact
|
| 307 |
+
constant gap on genuine degree-in-bound polynomial tuples; its linear
|
| 308 |
+
probes have bounded point marginals and its products have independent
|
| 309 |
+
full point marginals; and its order-one grid charts and constant
|
| 310 |
+
mode/marker tensors separate labels. Full logical recovery requires
|
| 311 |
+
order-one grid charts for every logical coordinate. This transfer
|
| 312 |
+
assumes these algebraic properties; it does not assert that the
|
| 313 |
+
fixed-input path of Section~\ref{sec:inner-algebra} realizes an
|
| 314 |
+
arbitrary macrograph.
|
| 315 |
+
\end{proposition}
|
| 316 |
+
|
| 317 |
+
\begin{proof}
|
| 318 |
+
There are still only constantly many blocks, each of polynomial
|
| 319 |
+
size, so the balancing product remains polynomial. The point and
|
| 320 |
+
line construction, rectangular action, and common row extension do
|
| 321 |
+
not use tags. In the proof of Proposition~\ref{ib:tester}, all
|
| 322 |
+
replacements before the product step concern individual \(Y\)
|
| 323 |
+
tracks. For each added product block, the additivity test in \(Q\)
|
| 324 |
+
and the two independent uniform operand positions give exactly the
|
| 325 |
+
same product replacement: a false binary matrix is detected by a
|
| 326 |
+
uniform outer-product form with probability at least \(1/4\).
|
| 327 |
+
Taking a positive fixed mixture over the enlarged finite block list
|
| 328 |
+
therefore gives the same vanishing-rejection replacement argument.
|
| 329 |
+
The algebraic validator is then applied to the common target tuple;
|
| 330 |
+
every requested point product is now present. Its exact gap forces
|
| 331 |
+
validity. On an invalid structurally canonical word, no replacement
|
| 332 |
+
is necessary: the final validator component already rejects with a
|
| 333 |
+
fixed positive probability. Its mixture weight and the fixed losses
|
| 334 |
+
in binary-form simulation define \(\theta_{\rm inv}\). Distinct
|
| 335 |
+
logical or mode/marker data retain the positive distance witnessed
|
| 336 |
+
by their \(Y\) blocks, with the new fixed block weights.
|
| 337 |
+
|
| 338 |
+
For correction, the two-axis support and inner-table arguments
|
| 339 |
+
apply to any ordered pair of point tracks. They use independent
|
| 340 |
+
row coordinates and the two row-code actions, not tag compatibility.
|
| 341 |
+
Use the new block count in \eqref{ib:uncertain-average} and choose
|
| 342 |
+
one radius satisfying \eqref{ib:fixed-radius} for this block list.
|
| 343 |
+
The bad-column bound, support contraction, finite-cone consistency,
|
| 344 |
+
and amplification then prove the same average guarantee. Each pair
|
| 345 |
+
of affine shifts remains a permutation of the full pair domain,
|
| 346 |
+
even for a repeated type. The proof of
|
| 347 |
+
Lemma~\ref{ib:all-branch-density} consequently applies to every
|
| 348 |
+
added block, with a new finite summed density bound. In particular,
|
| 349 |
+
no product request is converted to a diagonal pair.
|
| 350 |
+
|
| 351 |
+
For full recovery, apply the proof of
|
| 352 |
+
Proposition~\ref{ib:global-recovery} to each order-one chart
|
| 353 |
+
\(W_w,W_e,W_{s_i}\). The work and port charts use ordinary grid
|
| 354 |
+
extensions, and the legacy chart uses its degree-in-bound cyclic
|
| 355 |
+
lift. In each case nearest Hadamard symbols, equal-fiber plurality,
|
| 356 |
+
and plurality over ignored coordinates produce a native polynomial
|
| 357 |
+
estimate of sufficiently small constant symbol error. For each
|
| 358 |
+
logical grid point, the complete enumeration of lines and the
|
| 359 |
+
verified Berlekamp--Welch systems in that proof recover its exact
|
| 360 |
+
value by a strict majority. The argument uses degree and table
|
| 361 |
+
structure, not the final validity equations. There are polynomially
|
| 362 |
+
many grid points and a fixed number of charts. Reducing the radius
|
| 363 |
+
by the fixed block-weight factors makes all these decodings valid
|
| 364 |
+
simultaneously. The same proof applies to the supplied general
|
| 365 |
+
chart template under the stated separation and grid hypotheses.
|
| 366 |
+
\end{proof}
|
| 367 |
+
|
| 368 |
+
\begin{proposition}[Prediction before target validation]
|
| 369 |
+
\label{ib:proposal-validation}
|
| 370 |
+
Use the unrestricted representation of
|
| 371 |
+
Proposition~\ref{ib:all-pairs-interface}. Suppose a valid current
|
| 372 |
+
label has a prescribed proposal chosen by finitely many decisions
|
| 373 |
+
which are recoverable, to any fixed reliability, by bounded smooth
|
| 374 |
+
bit procedures. On a valid current label, once its true decision
|
| 375 |
+
branch is fixed, suppose the full canonical proposed tuple is a
|
| 376 |
+
definite structurally canonical tuple, possibly invalid, whose
|
| 377 |
+
contractions are bounded sums of public terms and old contractions
|
| 378 |
+
at invertible \(K\)-affine target pulls. For each branch these pulls
|
| 379 |
+
must belong to a fixed bounded public list, independent of the
|
| 380 |
+
requested outer indices and mask or form values. Masks may select
|
| 381 |
+
terms from that list and determine their slot pulls and forms.
|
| 382 |
+
Require bounded slot expansions, coefficients independent of target
|
| 383 |
+
point and row, compatibility with the common row and line encodings,
|
| 384 |
+
and publicly computable actual encoded values for public terms.
|
| 385 |
+
On hypothetical wrong branches only these bounded schedules and
|
| 386 |
+
smooth defaults are required; a canonical target identity is asserted
|
| 387 |
+
only when the branch predicates hold.
|
| 388 |
+
All branch lists, supports, and public computations are to have the
|
| 389 |
+
uniform polynomial-size bounds of Section~\ref{sec:inner-binary}.
|
| 390 |
+
|
| 391 |
+
From a sufficiently small fixed neighborhood of the current valid
|
| 392 |
+
word, its proposed word can be predicted to arbitrary fixed average
|
| 393 |
+
accuracy on bounded-density requests \emph{before} deciding target
|
| 394 |
+
validity. That validity can then be decided with arbitrary fixed
|
| 395 |
+
reliability. If an actual-edge predicate is exactly target validity
|
| 396 |
+
together with specified public or similarly recoverable guards,
|
| 397 |
+
this also decides that edge flag. All routines are bounded on every
|
| 398 |
+
received word and retain the complete hypothetical-tree smoothness
|
| 399 |
+
bound. No reciprocity of a general proposed graph is inferred from
|
| 400 |
+
target validity alone.
|
| 401 |
+
\end{proposition}
|
| 402 |
+
|
| 403 |
+
\begin{proof}
|
| 404 |
+
Fix the true decision branch of the nearby current label, charging
|
| 405 |
+
the selector's error separately. For a point or line \(Y\) request,
|
| 406 |
+
commute the proposed update through the common row encoder and,
|
| 407 |
+
for a line, through restriction and coefficient contraction.
|
| 408 |
+
This gives a bounded XOR of old \(Y\) requests with publicly
|
| 409 |
+
pulled-back forms, plus public bits. Each map in the fixed public
|
| 410 |
+
list induces a commuting column permutation on the retained point
|
| 411 |
+
and ordered-line domains, preserving bounded outer-index density.
|
| 412 |
+
If masks select among these maps, sum their unconditioned slot
|
| 413 |
+
bounds before selection; the list is bounded independently of the
|
| 414 |
+
request. Apply average correction with the error divided among
|
| 415 |
+
these boundedly many slots.
|
| 416 |
+
|
| 417 |
+
For a proposed \(Z\) bit, expand both updated symbols by bilinearity.
|
| 418 |
+
Every two-variable term is present because all ordered point-track
|
| 419 |
+
pairs were included. Each side undergoes its own affine column
|
| 420 |
+
permutation, preserving the joint density of the pair. A term with
|
| 421 |
+
one public actual \(J\)-symbol is an arbitrary linear form of the
|
| 422 |
+
other symbol, and \eqref{ib:public-marginal} supplies its complete
|
| 423 |
+
surviving row/point density. Two public operands give a public bit.
|
| 424 |
+
Thus the proposal is predicted using only the current close word;
|
| 425 |
+
its target need not be valid or supplied as a received word.
|
| 426 |
+
|
| 427 |
+
Now simulate the tester on the proposed word by supplying each bit
|
| 428 |
+
from this predictor with fresh internal randomness. First fix the
|
| 429 |
+
selector error below \(\theta_{\rm inv}/16\) and its complete
|
| 430 |
+
bounded tree. Unfold that tree and the bounded tester tree. Each
|
| 431 |
+
fixed hypothetical tester request has bounded density, so next
|
| 432 |
+
choose the per-prediction errors to sum to less than
|
| 433 |
+
\(\theta_{\rm inv}/16\) over all these slots. The simulated
|
| 434 |
+
rejection probability differs from the true one by less than
|
| 435 |
+
\(\theta_{\rm inv}/8\). A valid proposal has
|
| 436 |
+
true rejection zero; an invalid structural proposal has rejection
|
| 437 |
+
at least \(\theta_{\rm inv}\). Independent repeated simulations
|
| 438 |
+
and the threshold \(\theta_{\rm inv}/2\) therefore give any
|
| 439 |
+
specified fixed reliability. Include the stated guards separately
|
| 440 |
+
when interpreting the result as an edge flag.
|
| 441 |
+
|
| 442 |
+
All error estimates use the unconditioned request law on each
|
| 443 |
+
fixed branch, followed by a union bound over the complete bounded
|
| 444 |
+
tree. They do not renormalize after a successful comparison or
|
| 445 |
+
condition on a rare selected branch. Wrong decisions and failed
|
| 446 |
+
comparisons still select only from the supplied finite lists;
|
| 447 |
+
public-zero defaults and fresh splitting preserve the raw-read
|
| 448 |
+
bounds of Lemma~\ref{ib:all-branch-density}. At fixed accuracy,
|
| 449 |
+
the number of simulations and all their supports are bounded and
|
| 450 |
+
polynomially constructible, as required.
|
| 451 |
+
\end{proof}
|
preprints/The-PCP-for-PPAD-conjecture-a-quasilinear-reduction-September-25-2026/paper.pdf
ADDED
|
@@ -0,0 +1,3 @@
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|
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|
| 1 |
+
version https://git-lfs.github.com/spec/v1
|
| 2 |
+
oid sha256:a7ab4d86183890be9bfaa845f2c0eddf4ba89956911fc8318c47ac35f504e84b
|
| 3 |
+
size 1117288
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/README.md
ADDED
|
@@ -0,0 +1,18 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
# [The Partition Principle does not imply Choice](partition-principle-without-choice.pdf)
|
| 2 |
+
|
| 3 |
+
**Author:** OpenAI
|
| 4 |
+
|
| 5 |
+
**Date:** September 24, 2026
|
| 6 |
+
|
| 7 |
+
## Citation
|
| 8 |
+
|
| 9 |
+
```bibtex
|
| 10 |
+
@misc{OAI:The-Partition-Principle-does-not-imply-Choice-September-24-2026,
|
| 11 |
+
author = {{OpenAI}},
|
| 12 |
+
title = {{The Partition Principle does not imply Choice}},
|
| 13 |
+
howpublished = {OpenAI Math Release preprint
|
| 14 |
+
\href{https://github.com/openai/math/blob/main/preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/partition-principle-without-choice.pdf}{OAI:The-Partition-Principle-does-not-imply-Choice-September-24-2026}},
|
| 15 |
+
year = {2026}
|
| 16 |
+
}
|
| 17 |
+
```
|
| 18 |
+
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/figures/moved-generic-transport.tex
ADDED
|
@@ -0,0 +1,19 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
\begin{figure}[htbp]
|
| 2 |
+
\centering
|
| 3 |
+
\begin{tikzpicture}[font=\small,>=Stealth]
|
| 4 |
+
\node (a) at (0,1.65) {$L_C$};
|
| 5 |
+
\node (b) at (6,1.65) {$B_C(\pi^{-1}F)$};
|
| 6 |
+
\node (c) at (0,0) {$L_C$};
|
| 7 |
+
\node (d) at (6,0) {$B_C(F)$};
|
| 8 |
+
\draw[->] (a) -- node[above] {$f_C^0(\pi^{-1}F)$} (b);
|
| 9 |
+
\draw[->] (a) -- node[left] {$\pi\restriction L_C$} (c);
|
| 10 |
+
\draw[->] (b) -- node[right] {$T_\pi^{\pi^{-1}F}$} (d);
|
| 11 |
+
\draw[->] (c) -- node[below] {$f_C^{\pi K_C}(F)$} (d);
|
| 12 |
+
\end{tikzpicture}
|
| 13 |
+
\caption{Transporting a preliminary bijection, for $\pi\in G_C$.
|
| 14 |
+
The square commutes: to assign the bottom label $j$, first compute
|
| 15 |
+
at $\pi^{-1}j$ in the generic $\pi^{-1}F$, then transport the result
|
| 16 |
+
to $F$. The top and bottom computations use $\pi^{-1}F$ and $F$,
|
| 17 |
+
respectively.}
|
| 18 |
+
\label{fig:moved-generic-transport}
|
| 19 |
+
\end{figure}
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/figures/probe-divisibility.tex
ADDED
|
@@ -0,0 +1,20 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
\begin{figure}[htbp]
|
| 2 |
+
\centering
|
| 3 |
+
\begin{tikzpicture}[font=\small,>=Stealth]
|
| 4 |
+
\node (pathpoint) at (0,0) {$n_i$};
|
| 5 |
+
\node (oldpoint) at (3,1) {$a$};
|
| 6 |
+
\node (probe) at (3,-1) {$m=p_0$};
|
| 7 |
+
\node (commonmultiple) at (6,0) {$ae$};
|
| 8 |
+
\draw[->] (pathpoint) -- node[above left] {$c_i$} (oldpoint);
|
| 9 |
+
\draw[->] (pathpoint) -- node[below left] {$p_i$} (probe);
|
| 10 |
+
\draw[->] (oldpoint) -- node[above right] {$e$} (commonmultiple);
|
| 11 |
+
\draw[->] (probe) -- node[below right] {$b$} (commonmultiple);
|
| 12 |
+
\end{tikzpicture}
|
| 13 |
+
\caption{The relations defining the probe give two factorizations of
|
| 14 |
+
the prescribed common multiple $ae$. Each arrow means right
|
| 15 |
+
multiplication by its label, not a covering relation. This is not a
|
| 16 |
+
Hasse diagram: path points may coincide with $a$, and $a$ may divide
|
| 17 |
+
$m$. The exact-profile assertion is that a divisor of $a$ omitted
|
| 18 |
+
from the path's downward closure has join $ae$ with $m$.}
|
| 19 |
+
\label{fig:probe-divisibility}
|
| 20 |
+
\end{figure}
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/figures/support-descent.tex
ADDED
|
@@ -0,0 +1,24 @@
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|
|
|
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|
|
|
|
|
|
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|
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|
|
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|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
\begin{figure}[htbp]
|
| 2 |
+
\centering
|
| 3 |
+
\begin{tikzpicture}[font=\small,
|
| 4 |
+
diagramrange/.style={draw,rounded corners=2pt,fill=white,
|
| 5 |
+
inner xsep=9pt,inner ysep=5pt},
|
| 6 |
+
overlap/.style={fill=white,inner sep=3pt}]
|
| 7 |
+
\node[diagramrange] (t) at (0,1.8) {$D_t$};
|
| 8 |
+
\node[diagramrange] (v) at (-3,-.8) {$D_{v'}$};
|
| 9 |
+
\node[diagramrange] (w) at (3,-.8) {$D_{v''}$};
|
| 10 |
+
\draw (t) -- node[overlap,pos=.52] {$D_{\bar s}$} (v);
|
| 11 |
+
\draw (t) -- node[overlap,pos=.52] {$D_{\bar s'}$} (w);
|
| 12 |
+
\draw (v) -- node[overlap] {$D_u$} (w);
|
| 13 |
+
\node[align=center,font=\footnotesize] at (0,-.15)
|
| 14 |
+
{$D_p$\\triple intersection};
|
| 15 |
+
\end{tikzpicture}
|
| 16 |
+
\caption{The independent-copy case of support descent. Each edge is
|
| 17 |
+
labelled by the exact intersection of its endpoint ranges. The two
|
| 18 |
+
placed equality witnesses $v',v''$ use the same fresh copy $u$ of $s_1$;
|
| 19 |
+
$t$ carries the proposed inequality between the copies on
|
| 20 |
+
$\bar s$ and $\bar s'$, whose ranges meet exactly in $D_p$.
|
| 21 |
+
These exact intersections allow the three diagrams to be amalgamated
|
| 22 |
+
over their common root $p$.}
|
| 23 |
+
\label{fig:support-descent}
|
| 24 |
+
\end{figure}
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/main.tex
ADDED
|
@@ -0,0 +1,67 @@
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|
| 1 |
+
\documentclass[11pt]{article}
|
| 2 |
+
\pdfinfoomitdate=1
|
| 3 |
+
\pdftrailerid{}
|
| 4 |
+
\pdfsuppressptexinfo=15
|
| 5 |
+
\usepackage[T1]{fontenc}
|
| 6 |
+
\usepackage{lmodern}
|
| 7 |
+
\usepackage[expansion=false]{microtype}
|
| 8 |
+
\usepackage[margin=1.04in]{geometry}
|
| 9 |
+
\usepackage{amsmath,amssymb,amsthm,mathtools}
|
| 10 |
+
\usepackage{enumitem,booktabs,array,needspace}
|
| 11 |
+
\usepackage{tikz}
|
| 12 |
+
\usetikzlibrary{arrows.meta,positioning,calc,fit}
|
| 13 |
+
\usepackage[hyphens]{url}
|
| 14 |
+
\usepackage[hidelinks,hypertexnames=false]{hyperref}
|
| 15 |
+
\usepackage[nameinlink,capitalize,noabbrev]{cleveref}
|
| 16 |
+
\hypersetup{pdftitle={The Partition Principle does not imply Choice},pdfauthor={OpenAI}}
|
| 17 |
+
\setlength{\emergencystretch}{2em}
|
| 18 |
+
\allowdisplaybreaks[1]
|
| 19 |
+
\numberwithin{equation}{section}
|
| 20 |
+
\newtheorem{theorem}{Theorem}[section]
|
| 21 |
+
\newtheorem{lemma}[theorem]{Lemma}
|
| 22 |
+
\newtheorem{proposition}[theorem]{Proposition}
|
| 23 |
+
\newtheorem{corollary}[theorem]{Corollary}
|
| 24 |
+
\theoremstyle{definition}
|
| 25 |
+
\newtheorem{definition}[theorem]{Definition}
|
| 26 |
+
\theoremstyle{remark}
|
| 27 |
+
\newtheorem{remark}[theorem]{Remark}
|
| 28 |
+
\newcommand{\ZF}{\mathsf{ZF}}
|
| 29 |
+
\newcommand{\ZFC}{\mathsf{ZFC}}
|
| 30 |
+
\newcommand{\AC}{\mathsf{AC}}
|
| 31 |
+
\newcommand{\PP}{\mathsf{PP}}
|
| 32 |
+
\newcommand{\ACwo}{\mathsf{AC}_{\mathrm{WO}}}
|
| 33 |
+
\newcommand{\Con}{\operatorname{Con}}
|
| 34 |
+
\newcommand{\Ord}{\mathrm{Ord}}
|
| 35 |
+
\newcommand{\HS}{\mathrm{HS}}
|
| 36 |
+
\newcommand{\forces}{\Vdash}
|
| 37 |
+
\DeclareMathOperator{\Fix}{Fix}
|
| 38 |
+
\DeclareMathOperator{\Sym}{Sym}
|
| 39 |
+
\DeclareMathOperator{\dom}{dom}
|
| 40 |
+
\DeclareMathOperator{\ran}{ran}
|
| 41 |
+
\DeclareMathOperator{\supp}{supp}
|
| 42 |
+
\DeclareMathOperator{\id}{id}
|
| 43 |
+
\title{The Partition Principle does not imply Choice}
|
| 44 |
+
\author{OpenAI}
|
| 45 |
+
\date{September 24, 2026}
|
| 46 |
+
\begin{document}
|
| 47 |
+
\maketitle
|
| 48 |
+
\begin{abstract}
|
| 49 |
+
We prove that the Partition Principle does not imply the Axiom of Choice:
|
| 50 |
+
if ZF is consistent, then so is ZF with the Partition Principle, Choice for
|
| 51 |
+
ordinal-indexed families, and the negation of the Axiom of Choice.
|
| 52 |
+
Separately, over every countable transitive model of ZFC, we construct a
|
| 53 |
+
transitive symmetric model of this theory with the same ordinals and no new
|
| 54 |
+
countable sequences of ground elements.
|
| 55 |
+
\end{abstract}
|
| 56 |
+
\tableofcontents
|
| 57 |
+
\clearpage
|
| 58 |
+
\input{sections/introduction}
|
| 59 |
+
\input{sections/monoid}
|
| 60 |
+
\input{sections/forcing}
|
| 61 |
+
\input{sections/quotients}
|
| 62 |
+
\input{sections/conclusion}
|
| 63 |
+
\input{sections/metatheory}
|
| 64 |
+
{\small\raggedright
|
| 65 |
+
\bibliographystyle{plain}
|
| 66 |
+
\bibliography{references}}
|
| 67 |
+
\end{document}
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/references.bib
ADDED
|
@@ -0,0 +1,201 @@
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|
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|
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|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
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@misc{Williams2019,
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@misc{KaragilaNotes2026,
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| 112 |
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@misc{Usuba2021,
|
| 122 |
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author = {Usuba, Toshimichi},
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| 123 |
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archivePrefix = {arXiv},
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primaryClass = {math.LO},
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+
note = {Version 3, 15 February 2021},
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url = {https://arxiv.org/abs/1912.10246v3}
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| 131 |
+
}
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| 132 |
+
|
| 133 |
+
@misc{GilsonIterationCorrection2026,
|
| 134 |
+
author = {Gilson, Frank},
|
| 135 |
+
title = {A countable-support symmetric iteration separating {PP} from {AC}},
|
| 136 |
+
year = {2026},
|
| 137 |
+
eprint = {2601.01855v8},
|
| 138 |
+
howpublished = {\href{https://arxiv.org/abs/2601.01855v8}{arXiv:2601.01855v8}},
|
| 139 |
+
archivePrefix = {arXiv},
|
| 140 |
+
primaryClass = {math.LO},
|
| 141 |
+
note = {Version 8, 10 September 2026; construction withdrawn in the correction},
|
| 142 |
+
url = {https://arxiv.org/abs/2601.01855v8}
|
| 143 |
+
}
|
| 144 |
+
|
| 145 |
+
@misc{GilsonExternalCorrection2026,
|
| 146 |
+
author = {Gilson, Frank},
|
| 147 |
+
title = {From Internal to External: Classical Models of {ZF + PP + $\neg$AC}},
|
| 148 |
+
year = {2026},
|
| 149 |
+
eprint = {2511.09764v5},
|
| 150 |
+
howpublished = {\href{https://arxiv.org/abs/2511.09764v5}{arXiv:2511.09764v5}},
|
| 151 |
+
archivePrefix = {arXiv},
|
| 152 |
+
primaryClass = {math.LO},
|
| 153 |
+
note = {Version 5, 10 September 2026; model constructions withdrawn},
|
| 154 |
+
url = {https://arxiv.org/abs/2511.09764v5}
|
| 155 |
+
}
|
| 156 |
+
|
| 157 |
+
@misc{GilsonSheafCorrection2026,
|
| 158 |
+
author = {Gilson, Frank},
|
| 159 |
+
title = {Partition Principle without Choice via Symmetric Iterations and Sheaf-Toposes},
|
| 160 |
+
year = {2026},
|
| 161 |
+
eprint = {2511.07675v6},
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| 162 |
+
howpublished = {\href{https://arxiv.org/abs/2511.07675v6}{arXiv:2511.07675v6}},
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| 163 |
+
archivePrefix = {arXiv},
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| 164 |
+
primaryClass = {math.LO},
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| 165 |
+
note = {Version 6, 10 September 2026; model and preservation claims withdrawn},
|
| 166 |
+
url = {https://arxiv.org/abs/2511.07675v6}
|
| 167 |
+
}
|
| 168 |
+
|
| 169 |
+
@article{Pincus1977,
|
| 170 |
+
author = {Pincus, David},
|
| 171 |
+
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|
| 172 |
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| 179 |
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| 180 |
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|
| 181 |
+
@article{Newman1942,
|
| 182 |
+
author = {Newman, M. H. A.},
|
| 183 |
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|
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journal = {Annals of Mathematics},
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|
| 191 |
+
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|
| 192 |
+
|
| 193 |
+
@incollection{DershowitzPlaisted2001,
|
| 194 |
+
author = {Dershowitz, Nachum and Plaisted, David A.},
|
| 195 |
+
title = {Rewriting},
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booktitle = {Handbook of Automated Reasoning},
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|
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|
| 201 |
+
}
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/conclusion.tex
ADDED
|
@@ -0,0 +1,303 @@
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|
| 1 |
+
\section{From quotient classification to the Partition Principle}
|
| 2 |
+
\label{sec:conclusion}
|
| 3 |
+
|
| 4 |
+
We now pass from the classification of quotients of the label set to
|
| 5 |
+
arbitrary surjections. The reduction uses only three statements inside
|
| 6 |
+
the symmetric model: every nonempty set is an image of the label set
|
| 7 |
+
times an ordinal, choice holds for ordinal-indexed families, and every
|
| 8 |
+
nonwellorderable image of the label set is bijective to it. We first
|
| 9 |
+
prove this reduction in $\ZF$, independently of the construction.
|
| 10 |
+
|
| 11 |
+
The ordinal slicing and assembly of injections follow the local-to-global
|
| 12 |
+
method in Ryan-Smith's analysis of $\PP$
|
| 13 |
+
\cite[Propositions~3.17 and~3.20]{RyanSmith2025}. We use the stronger
|
| 14 |
+
classification of nonwellorderable images stated below and give the
|
| 15 |
+
complete reduction under these hypotheses.
|
| 16 |
+
|
| 17 |
+
\begin{lemma}[The all-set reduction]\label{lemma:pp-reduction}
|
| 18 |
+
Work in $\ZF$. Suppose that a nonempty set $A$ has the following
|
| 19 |
+
properties.
|
| 20 |
+
\begin{enumerate}
|
| 21 |
+
\item For every nonempty set $X$, there are an ordinal $\eta$ and
|
| 22 |
+
a surjection $A\times\eta\longrightarrow X$.
|
| 23 |
+
\item Every ordinal-indexed family of nonempty sets has a choice
|
| 24 |
+
function.
|
| 25 |
+
\item Every nonwellorderable surjective image of $A$ is in bijection
|
| 26 |
+
with $A$.
|
| 27 |
+
\end{enumerate}
|
| 28 |
+
Then $\PP$ holds: for all sets $X,Y$, every surjection
|
| 29 |
+
$f:X\longrightarrow Y$ has an injection $j:Y\longrightarrow X$.
|
| 30 |
+
\end{lemma}
|
| 31 |
+
|
| 32 |
+
\begin{proof}
|
| 33 |
+
We will use two elementary observations about images of $A$.
|
| 34 |
+
If $h:A\longrightarrow B$ is onto and $\varnothing\ne S\subseteq B$,
|
| 35 |
+
then $S$ is also an image of $A$. Indeed, fix one $s_0\in S$ and
|
| 36 |
+
define
|
| 37 |
+
\[
|
| 38 |
+
h_S(a)=
|
| 39 |
+
\begin{cases}
|
| 40 |
+
h(a),&h(a)\in S,\\
|
| 41 |
+
s_0,&h(a)\notin S.
|
| 42 |
+
\end{cases}
|
| 43 |
+
\]
|
| 44 |
+
This proves an existence assertion for one given nonempty subset;
|
| 45 |
+
it does not choose a default element simultaneously for a family.
|
| 46 |
+
Also, the image of a wellorderable set under any function is
|
| 47 |
+
wellorderable: order its image by the least preimages in a fixed
|
| 48 |
+
wellordering of its domain. Both observations are theorems of $\ZF$.
|
| 49 |
+
|
| 50 |
+
Fix a surjection $f:X\longrightarrow Y$. If $Y=\varnothing$, the
|
| 51 |
+
empty function is the desired injection. Otherwise $X$ is nonempty.
|
| 52 |
+
Choose a surjection $s:A\times\eta\longrightarrow X$ from the first
|
| 53 |
+
assumption. Define, for $i<\eta$,
|
| 54 |
+
\begin{align}
|
| 55 |
+
B_i&=s[A\times\{i\}],\notag\\
|
| 56 |
+
Y_i&=f[B_i]\setminus\bigcup_{k<i}f[B_k],\notag\\
|
| 57 |
+
S_i&=B_i\cap f^{-1}[Y_i].\label{eq:final-disjoint-slices}
|
| 58 |
+
\end{align}
|
| 59 |
+
Separation and Replacement form these sequences. Every $y\in Y$
|
| 60 |
+
belongs to $f[B_i]$ for some $i$, and its least such index is the
|
| 61 |
+
unique index for which $y\in Y_i$. Thus the $Y_i$ partition $Y$.
|
| 62 |
+
The $S_i$ are pairwise disjoint because their $f$-images lie in the
|
| 63 |
+
pairwise disjoint $Y_i$. Moreover,
|
| 64 |
+
\[
|
| 65 |
+
f\mathbin{\upharpoonright}S_i:S_i\longrightarrow Y_i
|
| 66 |
+
\]
|
| 67 |
+
is onto for every $i$. The sets $S_i$ need not cover $X$.
|
| 68 |
+
|
| 69 |
+
Before choosing any injections, define
|
| 70 |
+
\begin{equation}\label{eq:final-candidate-injections}
|
| 71 |
+
\begin{split}
|
| 72 |
+
\mathcal J_i=\{j\in\mathcal P(Y\times X):{}&
|
| 73 |
+
j\text{ is an injective function},\\
|
| 74 |
+
&\dom(j)=Y_i,\quad\ran(j)\subseteq S_i\}.
|
| 75 |
+
\end{split}
|
| 76 |
+
\end{equation}
|
| 77 |
+
Power Set and Separation give each candidate set, and Replacement
|
| 78 |
+
gives the sequence $\langle\mathcal J_i:i<\eta\rangle$.
|
| 79 |
+
We show that every candidate set is nonempty, fixing an arbitrary
|
| 80 |
+
$i<\eta$.
|
| 81 |
+
|
| 82 |
+
If $Y_i$ is empty, its empty injection belongs to $\mathcal J_i$.
|
| 83 |
+
Suppose next that $Y_i$ is nonempty and wellorderable. Choose a
|
| 84 |
+
wellordering of this one set. The nonempty fibers
|
| 85 |
+
\[
|
| 86 |
+
S_i\cap f^{-1}[\{y\}]\qquad(y\in Y_i)
|
| 87 |
+
\]
|
| 88 |
+
can be indexed by an ordinal using that wellordering. The second
|
| 89 |
+
assumption gives a choice function on them. Since different fibers
|
| 90 |
+
are disjoint, this function is an injection $Y_i\longrightarrow S_i$.
|
| 91 |
+
It therefore belongs to $\mathcal J_i$.
|
| 92 |
+
|
| 93 |
+
Finally, suppose that $Y_i$ is nonwellorderable. Then $S_i$ is
|
| 94 |
+
nonempty and nonwellorderable, by the second elementary observation
|
| 95 |
+
and the surjectivity of $f|S_i$. The map $a\mapsto s(a,i)$
|
| 96 |
+
surjects from $A$ onto $B_i$. The first observation makes the
|
| 97 |
+
nonempty subset $S_i\subseteq B_i$ an image of $A$, and composition
|
| 98 |
+
with $f|S_i$ makes $Y_i$ an image of $A$ as well. By the third
|
| 99 |
+
assumption both $S_i$ and $Y_i$ are bijective to $A$. Composing
|
| 100 |
+
one of these bijections with the inverse of the other gives an
|
| 101 |
+
injection $Y_i\longrightarrow S_i$, again in $\mathcal J_i$.
|
| 102 |
+
|
| 103 |
+
We have proved $(\forall i<\eta)\ \mathcal J_i\ne\varnothing$.
|
| 104 |
+
The pointwise proof selected neither a sequence of wellorderings nor
|
| 105 |
+
a sequence of quotient bijections. Apply the second assumption now
|
| 106 |
+
to the already defined sequence of candidate sets. It supplies
|
| 107 |
+
$\langle j_i:i<\eta\rangle$ with $j_i\in\mathcal J_i$.
|
| 108 |
+
Set
|
| 109 |
+
\[
|
| 110 |
+
j=\bigcup_{i<\eta}j_i.
|
| 111 |
+
\]
|
| 112 |
+
The disjointness of the $Y_i$ makes this a function with domain $Y$.
|
| 113 |
+
If $j(y)=j(y')$, that value lies in both corresponding source pieces
|
| 114 |
+
$S_i$. Their disjointness makes the indices equal, and injectivity
|
| 115 |
+
of that $j_i$ gives $y=y'$. Thus $j:Y\longrightarrow X$ is an
|
| 116 |
+
injection.
|
| 117 |
+
|
| 118 |
+
Every construction in this proof takes place in the same model of
|
| 119 |
+
$\ZF$. No rank bound on $X$ or $Y$, and no uniform choice of auxiliary
|
| 120 |
+
presentations for the slices, has been used.
|
| 121 |
+
\end{proof}
|
| 122 |
+
|
| 123 |
+
\begin{remark}\label{rem:quotients-versus-images}
|
| 124 |
+
The third hypothesis of Lemma~\ref{lemma:pp-reduction} can equivalently
|
| 125 |
+
be stated for quotients $A/E$ by equivalence relations on $A$.
|
| 126 |
+
For a surjection $h:A\longrightarrow B$, define
|
| 127 |
+
\[
|
| 128 |
+
a\mathrel{E_h}a'\quad\Longleftrightarrow\quad h(a)=h(a').
|
| 129 |
+
\]
|
| 130 |
+
The map $[a]_{E_h}\mapsto h(a)$ is a bijection $A/E_h\longrightarrow B$.
|
| 131 |
+
Its graph is defined by the unique common value on each class; it
|
| 132 |
+
does not require choosing class representatives.
|
| 133 |
+
|
| 134 |
+
The first hypothesis is the surjective assertion $\mathsf{SVC}(A)$.
|
| 135 |
+
Its injective counterpart $\mathsf{SVC}^{+}(A)$ would assert an
|
| 136 |
+
injection $X\longrightarrow A\times\eta$ for every $X$ and some
|
| 137 |
+
ordinal $\eta$. The proof does not assume that counterpart.
|
| 138 |
+
It follows afterward by applying $\PP$ to each presentation surjection.
|
| 139 |
+
The quotient assertion $\mathsf{PP}(A)$ says that each surjective
|
| 140 |
+
image of $A$ injects into $A$. The subset-restricted assertion
|
| 141 |
+
$\PP\mathbin{\upharpoonright}A$ concerns surjections between two
|
| 142 |
+
arbitrary subsets of $A$. These are different local statements.
|
| 143 |
+
The reduction above uses the stronger classification of every
|
| 144 |
+
nonwellorderable image of $A$, together with ordinal-indexed choice;
|
| 145 |
+
it does not replace that classification by quotient injections alone.
|
| 146 |
+
\end{remark}
|
| 147 |
+
|
| 148 |
+
The injection obtained in Lemma~\ref{lemma:pp-reduction} need not
|
| 149 |
+
respect the fibers of the original surjection. In its wellorderable
|
| 150 |
+
target case the local injection is a section, but in its
|
| 151 |
+
nonwellorderable case the two bijections with $A$ give no such
|
| 152 |
+
requirement. This is precisely the freedom allowed by $\PP$.
|
| 153 |
+
|
| 154 |
+
\subsection{Further cardinal-comparison consequences}
|
| 155 |
+
|
| 156 |
+
The same model separates Choice from two weaker cardinal-comparison
|
| 157 |
+
principles. Their consequences follow from $\PP$ alone and do not
|
| 158 |
+
require any further forcing construction.
|
| 159 |
+
|
| 160 |
+
\begin{remark}\label{rem:dual-csb-wpp}
|
| 161 |
+
For sets $X,Y$, write $X\leq^{*}Y$ if $X=\varnothing$ or there is a
|
| 162 |
+
surjection $Y\twoheadrightarrow X$, and write $X<Y$ if there is an
|
| 163 |
+
injection $X\hookrightarrow Y$ but no bijection $X\to Y$. The dual
|
| 164 |
+
Cantor--Schr\"oder--Bernstein principle $\mathsf{CSB}^{*}$ asserts that
|
| 165 |
+
$X\leq^{*}Y$ and $Y\leq^{*}X$ imply a bijection $X\to Y$; the Weak
|
| 166 |
+
Partition Principle $\mathsf{WPP}$ asserts that $X\leq^{*}Y$ implies
|
| 167 |
+
$\neg(Y<X)$. Both statements quantify over all sets. If either set in
|
| 168 |
+
the dual-CSB hypothesis is empty, so is the other.
|
| 169 |
+
|
| 170 |
+
In $\ZF$ one has
|
| 171 |
+
\[
|
| 172 |
+
\PP\ \Longrightarrow\ \mathsf{CSB}^{*}\ \Longrightarrow\ \mathsf{WPP}.
|
| 173 |
+
\]
|
| 174 |
+
Indeed, the empty case of $X\leq^{*}Y\Rightarrow X\hookrightarrow Y$
|
| 175 |
+
has the empty injection, so the first implication follows by applying
|
| 176 |
+
$\PP$ twice and ordinary Cantor--Schr\"oder--Bernstein. For the second,
|
| 177 |
+
if $X\leq^{*}Y$ and $Y<X$, the injection $Y\hookrightarrow X$ gives
|
| 178 |
+
$Y\leq^{*}X$: for nonempty $Y$, invert it on its image and extend by
|
| 179 |
+
one fixed element of $Y$; for empty $Y$, use the definition. Then
|
| 180 |
+
$\mathsf{CSB}^{*}$ gives a bijection, contrary to $Y<X$. See
|
| 181 |
+
\cite[Definitions~2.1--2.2, Proposition~2.3, and the proofs of
|
| 182 |
+
Corollary~8.2 and Proposition~9.8]{BlassKulshreshtha2026}.
|
| 183 |
+
|
| 184 |
+
These $\ZF$ implications hold internally in each model. Thus
|
| 185 |
+
Theorem~\ref{thm:main-consistency} also gives
|
| 186 |
+
\[
|
| 187 |
+
\Con(\ZF)\ \Longrightarrow\
|
| 188 |
+
\Con(\ZF+\PP+\ACwo+\mathsf{CSB}^{*}+\mathsf{WPP}+\neg\AC).
|
| 189 |
+
\]
|
| 190 |
+
In particular, assuming $\Con(\ZF)$, neither
|
| 191 |
+
$\mathsf{CSB}^{*}\Rightarrow\AC$ nor $\mathsf{WPP}\Rightarrow\AC$ is
|
| 192 |
+
provable in $\ZF$. In the separate transitive setting of
|
| 193 |
+
Theorem~\ref{thm:main-transitive}, the same $W$ also satisfies
|
| 194 |
+
$\mathsf{CSB}^{*}$ and $\mathsf{WPP}$. The assertion $\ACwo$ remains
|
| 195 |
+
true there but is not needed for the implication chain.
|
| 196 |
+
\end{remark}
|
| 197 |
+
|
| 198 |
+
\subsection{An explicit family without a choice function}
|
| 199 |
+
|
| 200 |
+
The nonwellorderability of the label set already witnesses failure of
|
| 201 |
+
$\AC$. The following elementary argument also identifies a family of
|
| 202 |
+
nonempty sets with no choice function.
|
| 203 |
+
|
| 204 |
+
\begin{lemma}\label{lemma:explicit-choice-failure}
|
| 205 |
+
In $\ZF$, if a set $A$ is not wellorderable, then
|
| 206 |
+
$\mathcal P(A)\setminus\{\varnothing\}$ has no choice function.
|
| 207 |
+
\end{lemma}
|
| 208 |
+
|
| 209 |
+
\begin{proof}
|
| 210 |
+
Suppose $c$ were a choice function for this family, and let $\lambda$
|
| 211 |
+
be the Hartogs ordinal of $A$, so there is no injection
|
| 212 |
+
$\lambda\longrightarrow A$. Foundation gives $A\notin A$.
|
| 213 |
+
By transfinite recursion define $a:\lambda\longrightarrow A\cup\{A\}$
|
| 214 |
+
as follows. At stage $\alpha$, put
|
| 215 |
+
$S_\alpha=A\setminus\ran(a|\alpha)$ and set
|
| 216 |
+
\[
|
| 217 |
+
a(\alpha)=
|
| 218 |
+
\begin{cases}
|
| 219 |
+
c(S_\alpha),&S_\alpha\ne\varnothing,\\
|
| 220 |
+
A,&S_\alpha=\varnothing.
|
| 221 |
+
\end{cases}
|
| 222 |
+
\]
|
| 223 |
+
If every $S_\alpha$ were nonempty, the recursion would choose a
|
| 224 |
+
different member of $A$ at every stage, giving an injection
|
| 225 |
+
$\lambda\longrightarrow A$. Hence there is a least $\alpha<\lambda$
|
| 226 |
+
with $S_\alpha=\varnothing$. Before that stage no value is the
|
| 227 |
+
sentinel $A$, and $a|\alpha$ is a bijection onto $A$. This
|
| 228 |
+
wellorders $A$, a contradiction. Hartogs' theorem and the recursion
|
| 229 |
+
used here are available in $\ZF$.
|
| 230 |
+
\end{proof}
|
| 231 |
+
|
| 232 |
+
\subsection{The resulting symmetric model}
|
| 233 |
+
|
| 234 |
+
We return to the construction. The cardinal choices in the next
|
| 235 |
+
statement are computed in the ground model. They allow the same
|
| 236 |
+
argument to be used over a given choice ground as well as over a
|
| 237 |
+
constructible ground in the consistency deduction.
|
| 238 |
+
|
| 239 |
+
Over a general ground, the statement is read in its internal forcing
|
| 240 |
+
interpretation. Ground objects are identified with their canonical
|
| 241 |
+
check-name images, and ordinals are those of this interpretation.
|
| 242 |
+
In the sequence assertion, $\omega$ is the ground's internal
|
| 243 |
+
natural-number object, and $z\in V$ means that $z$ is represented
|
| 244 |
+
by a ground check name. When $V$ is externally transitive, these
|
| 245 |
+
are the usual evaluated objects and literal inclusions. The two
|
| 246 |
+
interpretations are distinguished in Theorem~\ref{thm:symmetric-model}
|
| 247 |
+
and constructed separately in Section~\ref{sec:metatheory}.
|
| 248 |
+
|
| 249 |
+
\begin{theorem}[Construction summary]\label{thm:construction-summary}
|
| 250 |
+
Let $V$ be a ground model of $\ZFC$, put
|
| 251 |
+
\[
|
| 252 |
+
\kappa=\omega_1^V,\qquad
|
| 253 |
+
\mu=\bigl((2^{\aleph_0})^+\bigr)^V,
|
| 254 |
+
\qquad |I|^V=\mu^+,
|
| 255 |
+
\]
|
| 256 |
+
and use the monoid of Theorem~\ref{thm:monoid} and the symmetric
|
| 257 |
+
system constructed above. In an ordinary generic extension for
|
| 258 |
+
its product forcing, the resulting symmetric model $W$ satisfies
|
| 259 |
+
\[
|
| 260 |
+
W\models\ZF+\PP+\ACwo+\neg\AC.
|
| 261 |
+
\]
|
| 262 |
+
It contains $V$ and has the same ordinals as $V$. It adds no
|
| 263 |
+
countable sequences of ground elements: if $b\in V$ and
|
| 264 |
+
$z\in W$ is a function $\omega\longrightarrow b$, then $z\in V$.
|
| 265 |
+
The set of labels $A$ is not wellorderable in $W$, and
|
| 266 |
+
\[
|
| 267 |
+
\mathcal P^W(A)\setminus\{\varnothing\}
|
| 268 |
+
\]
|
| 269 |
+
is an explicit family in $W$ with no choice function in $W$.
|
| 270 |
+
\end{theorem}
|
| 271 |
+
|
| 272 |
+
\begin{proof}
|
| 273 |
+
The symmetric system is for one set forcing, with the set group and
|
| 274 |
+
normal filter specified above. The set-forcing symmetric-model
|
| 275 |
+
theorem, in its internal form, therefore gives full $\ZF$, the
|
| 276 |
+
canonical ground embedding, and preservation of the interpreted
|
| 277 |
+
ordinals. For an externally transitive ground its evaluated
|
| 278 |
+
hereditarily symmetric interpretation is transitive. These are
|
| 279 |
+
pure-set models, so Foundation and the full Separation and Replacement
|
| 280 |
+
schemata are included.
|
| 281 |
+
|
| 282 |
+
Proposition~\ref{prop:presentation} gives the first hypothesis of
|
| 283 |
+
Lemma~\ref{lemma:pp-reduction} inside $W$, and
|
| 284 |
+
Proposition~\ref{prop:ordinal-choice} gives the second, for all
|
| 285 |
+
ordinal-indexed families in $W$. Theorem~\ref{thm:quotient-classification},
|
| 286 |
+
together with Remark~\ref{rem:quotients-versus-images}, gives the third.
|
| 287 |
+
The lemma proves $\PP$ for every surjection in $W$, with its witnessing
|
| 288 |
+
injection in $W$.
|
| 289 |
+
|
| 290 |
+
Proposition~\ref{prop:not-choice} proves that $A$ is not wellorderable
|
| 291 |
+
in $W$. Applying Lemma~\ref{lemma:explicit-choice-failure} inside
|
| 292 |
+
$W$ gives the displayed family and failure of $\AC$ there.
|
| 293 |
+
Finally, Proposition~\ref{prop:no-countable-sequences} supplies the
|
| 294 |
+
assertion about countable sequences. This last assertion concerns
|
| 295 |
+
the symmetric model itself; it does not require countable closure
|
| 296 |
+
of the full product forcing.
|
| 297 |
+
\end{proof}
|
| 298 |
+
|
| 299 |
+
The statement of Theorem~\ref{thm:construction-summary} concerns the
|
| 300 |
+
model produced by the forcing construction. Extracting an ordinary
|
| 301 |
+
relative-consistency implication, and obtaining an externally
|
| 302 |
+
transitive model under the stronger model-existence hypothesis,
|
| 303 |
+
are separate deductions given next.
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/forcing.tex
ADDED
|
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|
| 1 |
+
\section{Product forcing and support locality}\label{sec:forcing}
|
| 2 |
+
|
| 3 |
+
The monoid supplies copies of diagrams with controlled intersections.
|
| 4 |
+
We now turn those copies into two locality principles. After the Cohen
|
| 5 |
+
generic is fixed, a diagram decides statements whose name parameters it
|
| 6 |
+
supports. A value represented on two independent diagrams can then be
|
| 7 |
+
named on their common part. These principles will classify quotients
|
| 8 |
+
and give the choice and coding properties needed to pass from quotients
|
| 9 |
+
to arbitrary sets.
|
| 10 |
+
|
| 11 |
+
\subsection{The choice ground and the two forcings}
|
| 12 |
+
|
| 13 |
+
The product separates the generic labels from their ground-model diagram
|
| 14 |
+
geometry. A related Cohen/tower product appears in
|
| 15 |
+
\cite[Section~3]{HolySchilhan2025}; the monoid and the diagram order used
|
| 16 |
+
here are specified below.
|
| 17 |
+
|
| 18 |
+
Work in a ground model \(V\) of \(\ZFC\). Set
|
| 19 |
+
\[
|
| 20 |
+
\kappa=\aleph_1^V,\qquad
|
| 21 |
+
\mathfrak c=(2^{\aleph_0})^V,\qquad
|
| 22 |
+
\mu=(\mathfrak c^+)^V,
|
| 23 |
+
\qquad |I|^V=\mu^+.
|
| 24 |
+
\]
|
| 25 |
+
In the constructible ground used for the consistency result,
|
| 26 |
+
\(\mathfrak c=\aleph_1\), so these parameters are exactly
|
| 27 |
+
\(\kappa=\aleph_1\) and \(\mu=\kappa^+\).
|
| 28 |
+
The slightly more general choice of \(\mu\) will allow us to retain an
|
| 29 |
+
arbitrary given transitive choice ground.
|
| 30 |
+
All objects and cardinal calculations in the construction, unless
|
| 31 |
+
explicitly placed in an extension, belong to \(V\).
|
| 32 |
+
|
| 33 |
+
For every infinite cardinal \(\lambda<\mu\),
|
| 34 |
+
\[
|
| 35 |
+
\lambda^{\aleph_0}\leq
|
| 36 |
+
\mathfrak c^{\aleph_0}=\mathfrak c<\mu.
|
| 37 |
+
\]
|
| 38 |
+
Since \(\mu\) is regular and uncountable, every countable sequence in
|
| 39 |
+
\(\mu\) is bounded there. It follows that
|
| 40 |
+
\begin{equation}\label{eq:ground-countable-arithmetic}
|
| 41 |
+
\mu^{\aleph_0}=\mu.
|
| 42 |
+
\end{equation}
|
| 43 |
+
Take the monoid \(T\), with distinguished \(e\neq1\), from
|
| 44 |
+
Theorem~\ref{thm:monoid}, using this \(\mu\).
|
| 45 |
+
Let
|
| 46 |
+
\[
|
| 47 |
+
\mathbb R=\operatorname{Add}(\kappa,I),\qquad
|
| 48 |
+
\mathbb P=\{r:T\hookrightarrow I\},
|
| 49 |
+
\qquad \mathbb Q=\mathbb R\times\mathbb P .
|
| 50 |
+
\]
|
| 51 |
+
Here a condition of \(\mathbb R\) is a partial function
|
| 52 |
+
\(I\times\kappa\to2\) with countable domain, ordered by reverse
|
| 53 |
+
inclusion. Its coordinate support is
|
| 54 |
+
\[
|
| 55 |
+
\supp_I(d)=
|
| 56 |
+
\{j\in I:(\exists\alpha<\kappa)\ (j,\alpha)\in\dom(d)\}.
|
| 57 |
+
\]
|
| 58 |
+
For \(r\in\mathbb P\) and \(n\in T\), put
|
| 59 |
+
\[
|
| 60 |
+
r_n(x)=r(nx),\qquad D_r=r[T],
|
| 61 |
+
\qquad r\leq_{\mathbb P}s
|
| 62 |
+
\ \Longleftrightarrow\
|
| 63 |
+
(\exists n\in T)\ s=r_n .
|
| 64 |
+
\]
|
| 65 |
+
Thus a stronger diagram contains a specified copy of a weaker one.
|
| 66 |
+
The point \(r(1)\) is its center. Whenever \(s=r_n\), the element
|
| 67 |
+
\(n\) is determined by the centers, since \(s(1)=r(n)\).
|
| 68 |
+
Left cancellation makes every \(r_n\) injective. If
|
| 69 |
+
\(r=r_{nm}\), injectivity and conicality give \(n=m=1\); this
|
| 70 |
+
verifies antisymmetry of the order. Transitivity follows from
|
| 71 |
+
\((r_n)_m=r_{nm}\).
|
| 72 |
+
|
| 73 |
+
The poset \(\mathbb P\) always denotes this \emph{ground} set,
|
| 74 |
+
including when it is forced over the Cohen extension.
|
| 75 |
+
No closure or cardinal-preservation assertion about \(\mathbb P\)
|
| 76 |
+
or the full product is needed.
|
| 77 |
+
|
| 78 |
+
\begin{lemma}\label{lem:cohen-properties}
|
| 79 |
+
The forcing \(\mathbb R\) is countably closed and satisfies the
|
| 80 |
+
\(\mu\)-chain condition. It adds no countable sequences of ground
|
| 81 |
+
elements, preserves \(\kappa=\aleph_1^V\), and preserves every
|
| 82 |
+
ground cardinal at least \(\mu\). In particular it preserves
|
| 83 |
+
\(\mu\) and \(\mu^+\).
|
| 84 |
+
If \(V\models\mathsf{CH}\), it preserves all cardinals.
|
| 85 |
+
\end{lemma}
|
| 86 |
+
|
| 87 |
+
\begin{proof}
|
| 88 |
+
A descending countable sequence has its union as a lower bound.
|
| 89 |
+
Deciding the entries of a name for a sequence in a ground set and
|
| 90 |
+
then taking such a lower bound shows that no new countable sequence
|
| 91 |
+
in that set is added. This also preserves \(\omega_1^V\).
|
| 92 |
+
|
| 93 |
+
We recall the relevant delta-system argument to identify the exact
|
| 94 |
+
cardinal bound. A family of \(\mu\) countable sets has a delta-system
|
| 95 |
+
subfamily of size \(\mu\). Code its union into \(\mu\), and write
|
| 96 |
+
its members as \(S_\alpha\subseteq\mu\), for \(\alpha<\mu\).
|
| 97 |
+
There is a club of \(\delta<\mu\) such that
|
| 98 |
+
\(S_\alpha\subseteq\delta\) whenever \(\alpha<\delta\).
|
| 99 |
+
On the stationary part of this club of cofinality \(\omega_1\),
|
| 100 |
+
each \(S_\alpha\cap\alpha\) is bounded in \(\alpha\).
|
| 101 |
+
The pressing-down lemma makes a bound constant, say \(\gamma<\mu\),
|
| 102 |
+
on a stationary subset. There are at most
|
| 103 |
+
\(|\gamma|^{\aleph_0}+\aleph_0<\mu\) possible countable subsets
|
| 104 |
+
of \(\gamma\), by
|
| 105 |
+
Equation~\eqref{eq:ground-countable-arithmetic} and its preceding
|
| 106 |
+
bound. Regularity of \(\mu\) therefore makes
|
| 107 |
+
\(S_\alpha\cap\alpha\) one fixed set on a stationary subset.
|
| 108 |
+
For \(\alpha<\beta\) in that subset,
|
| 109 |
+
\(S_\alpha\subseteq\beta\), so their intersection is this fixed root.
|
| 110 |
+
|
| 111 |
+
Apply this to the domains of \(\mu\) Cohen conditions.
|
| 112 |
+
There are at most \(2^{\aleph_0}=\mathfrak c<\mu\)
|
| 113 |
+
assignments on the countable root. Thinning once more gives two,
|
| 114 |
+
indeed \(\mu\), conditions agreeing on the root. They are compatible,
|
| 115 |
+
which proves the chain condition.
|
| 116 |
+
The usual antichain bound then preserves all cardinals at least
|
| 117 |
+
\(\mu\): the possible values at any one coordinate of a name for
|
| 118 |
+
an ordinal-valued function are covered by fewer than \(\mu\)
|
| 119 |
+
ground ordinals, and regularity handles the case of \(\mu\) itself.
|
| 120 |
+
Countable closure and the chain condition together preserve all
|
| 121 |
+
cardinals when \(\mu=\aleph_2\).
|
| 122 |
+
In a general ground we assert no preservation of cardinals strictly
|
| 123 |
+
between \(\kappa\) and \(\mu\).
|
| 124 |
+
|
| 125 |
+
Finally, any sequence of ground elements has its values in some ground
|
| 126 |
+
rank segment: their ranks have an ordinal bound, and forcing preserves
|
| 127 |
+
ordinals. Thus the assertion about sequences in ground sets covers
|
| 128 |
+
all countable sequences of ground elements.
|
| 129 |
+
\end{proof}
|
| 130 |
+
|
| 131 |
+
\begin{lemma}[Extending and amalgamating diagrams]
|
| 132 |
+
\label{lem:diagram-amalgamation}
|
| 133 |
+
\begin{enumerate}
|
| 134 |
+
\item
|
| 135 |
+
For every \(p\in\mathbb P\) and ground \(J\subseteq I\) of size at
|
| 136 |
+
most \(\mu\), there is \(r\in\mathbb P\) with
|
| 137 |
+
\(r_e=p\) and \(J\subseteq D_r\).
|
| 138 |
+
\item
|
| 139 |
+
A finite family \(s_i\in\mathbb P\) has a common extension whenever
|
| 140 |
+
each pair has either disjoint ranges or an intersection that is
|
| 141 |
+
exactly the range of a common subdiagram
|
| 142 |
+
\[
|
| 143 |
+
s_{i,a_{ij}}=s_{j,a_{ji}}.
|
| 144 |
+
\]
|
| 145 |
+
\item
|
| 146 |
+
A partial placement of finitely many diagrams that is injective and
|
| 147 |
+
consistent on their
|
| 148 |
+
specified common parts, extends to a ground permutation of \(I\).
|
| 149 |
+
Unspecified coordinates of these diagrams and of finitely many Cohen
|
| 150 |
+
conditions can be placed outside any prescribed ground set of size
|
| 151 |
+
at most \(\mu\).
|
| 152 |
+
\end{enumerate}
|
| 153 |
+
\end{lemma}
|
| 154 |
+
|
| 155 |
+
\begin{proof}
|
| 156 |
+
The probes from Theorem~\ref{thm:monoid} for
|
| 157 |
+
\(a=1,b=e,U=\{1\}\) give \(\mu\) distinct elements \(m\) with
|
| 158 |
+
\(me=e\). None belongs to \(eT\): if \(m=ex\), left cancellation
|
| 159 |
+
would give \(xe=1\), contrary to conicality and \(e\neq1\).
|
| 160 |
+
Hence \(|T\setminus eT|=\mu\).
|
| 161 |
+
Define \(r(ex)=p(x)\), using left cancellation, and fill the
|
| 162 |
+
complement injectively in \(I\setminus D_p\), including
|
| 163 |
+
\(J\setminus D_p\). Both the size of that complement in \(T\)
|
| 164 |
+
and the strict inequality \(\mu<|I|\) give the first assertion.
|
| 165 |
+
|
| 166 |
+
For the second assertion, identify the copies of \(T\) exactly where
|
| 167 |
+
their labels in \(I\) coincide. The hypothesis says that these
|
| 168 |
+
identifications have the form required by the finite-merger property;
|
| 169 |
+
their transitivity and absence of collapse within a copy follow from
|
| 170 |
+
actual equality of labels. Let \(l_i\in T\) realize this merger.
|
| 171 |
+
On \(\bigcup_i l_iT\), assign \(l_ix\) the value \(s_i(x)\).
|
| 172 |
+
The exact-overlap property makes this well defined and injective.
|
| 173 |
+
Extend it injectively to the rest of \(T\). The resulting \(r\)
|
| 174 |
+
satisfies \(r_{l_i}=s_i\).
|
| 175 |
+
|
| 176 |
+
For the last assertion, the prescribed domain and range each have
|
| 177 |
+
size at most \(\mu\). Their complements in \(I\) both have
|
| 178 |
+
cardinality \(\mu^+\), so a bijection between the complements
|
| 179 |
+
extends the partial bijection to a permutation.
|
| 180 |
+
Fresh images can first be chosen off the excluded set, whose size
|
| 181 |
+
is still at most \(\mu\), and then the same argument applies.
|
| 182 |
+
All these choices occur in \(V\).
|
| 183 |
+
\end{proof}
|
| 184 |
+
|
| 185 |
+
\subsection{The symmetric system and transport}
|
| 186 |
+
|
| 187 |
+
Let \(G=\Sym(I)^V\). A permutation acts simultaneously on diagrams
|
| 188 |
+
and on Cohen coordinates:
|
| 189 |
+
\[
|
| 190 |
+
(\pi r)(x)=\pi(r(x)),\qquad
|
| 191 |
+
(\pi d)(\pi j,\alpha)=d(j,\alpha).
|
| 192 |
+
\]
|
| 193 |
+
These are automorphisms of \(\mathbb Q\).
|
| 194 |
+
For ground \(J\subseteq I\), let \(\Fix(J)\) be its pointwise
|
| 195 |
+
stabilizer in \(G\), and set
|
| 196 |
+
\[
|
| 197 |
+
\mathcal F=
|
| 198 |
+
\{K\leq G:(\exists J\in V)\,
|
| 199 |
+
[J\subseteq I,\ |J|^V\leq\mu,\ \Fix(J)\subseteq K]\}.
|
| 200 |
+
\]
|
| 201 |
+
This is a normal filter of subgroups.
|
| 202 |
+
Finite intersections are handled by \(J\cup J'\), and
|
| 203 |
+
\(\pi\Fix(J)\pi^{-1}=\Fix(\pi J)\).
|
| 204 |
+
|
| 205 |
+
The action on names is recursive:
|
| 206 |
+
\[
|
| 207 |
+
\pi\tau=\{(\pi\sigma,\pi u):(\sigma,u)\in\tau\}.
|
| 208 |
+
\]
|
| 209 |
+
A name has support \(J\) when \(\Fix(J)\) fixes it literally.
|
| 210 |
+
A hereditarily symmetric name, abbreviated \(\HS\), has a support
|
| 211 |
+
and only hereditarily symmetric member names.
|
| 212 |
+
There is no restriction on name rank.
|
| 213 |
+
Ground check names are fixed by every permutation.
|
| 214 |
+
Canonical ordered-pair and sequence names commute with the action.
|
| 215 |
+
When the poset has no largest condition, their usual definitions use
|
| 216 |
+
all conditions in place of that condition; equivalently one may
|
| 217 |
+
adjoin a fixed largest condition.
|
| 218 |
+
|
| 219 |
+
For the evaluated presentation, assume that \(V\) is externally
|
| 220 |
+
transitive and that the indicated generic filters are available in the
|
| 221 |
+
ambient universe. Over a general choice ground, the same construction
|
| 222 |
+
and the generic notation below express internal forcing assertions;
|
| 223 |
+
they do not require external recursion on its membership relation.
|
| 224 |
+
Section~\ref{sec:metatheory} realizes these assertions over an arbitrary
|
| 225 |
+
countable ground by a quotient of internal names.
|
| 226 |
+
|
| 227 |
+
Write \(F\) for an \(\mathbb R\)-generic filter over \(V\), and
|
| 228 |
+
\(H\) for a generic on the ground \(\mathbb P\) over \(V[F]\).
|
| 229 |
+
The product extension is \(V[F][H]\). A product name \(\tau\),
|
| 230 |
+
after evaluating its Cohen part, becomes a \(\mathbb P\)-name
|
| 231 |
+
denoted by \(\tau[F]\).
|
| 232 |
+
Let
|
| 233 |
+
\[
|
| 234 |
+
W=\{\tau^{F\times H}:\tau\in\HS^V\}.
|
| 235 |
+
\]
|
| 236 |
+
|
| 237 |
+
\begin{theorem}[The symmetric-model theorem]\label{thm:symmetric-model}
|
| 238 |
+
The symmetric forcing relation is definable formula by formula in
|
| 239 |
+
\(V\), and it forces every axiom instance of full pure-set \(\ZF\).
|
| 240 |
+
If \(V\) is externally transitive, the evaluated class \(W\) is
|
| 241 |
+
a transitive model of that theory, with
|
| 242 |
+
\[
|
| 243 |
+
V\subseteq W\subseteq V[F][H],
|
| 244 |
+
\qquad \Ord^W=\Ord^{V[F][H]}.
|
| 245 |
+
\]
|
| 246 |
+
The truth lemma holds for this evaluated model. Over an arbitrary
|
| 247 |
+
countable choice ground, it holds for the symmetric quotient of internal
|
| 248 |
+
names described in Section~\ref{sec:metatheory}.
|
| 249 |
+
\end{theorem}
|
| 250 |
+
|
| 251 |
+
\begin{proof}
|
| 252 |
+
Apply the set-forcing symmetric-extension theorem
|
| 253 |
+
\cite[Section~2.1, p.~4]{Karagila2026} to \(\mathbb Q\), \(G\),
|
| 254 |
+
and the normal subgroup filter verified above.
|
| 255 |
+
Its internal formulation concerns all hereditarily symmetric names
|
| 256 |
+
and yields the full Separation and Replacement schemata, as well as
|
| 257 |
+
Foundation; this formulation is recalled in
|
| 258 |
+
Lemma~\ref{lem:symmetric-forcing-schema}. It requires no
|
| 259 |
+
countable-completeness assumption on the filter. External transitivity
|
| 260 |
+
of \(V\) permits the usual recursive name evaluation and gives the
|
| 261 |
+
displayed literal inclusions. For an arbitrary countable ground,
|
| 262 |
+
Lemma~\ref{lem:arbitrary-model-symmetric-truth} instead gives truth
|
| 263 |
+
in the membership-closed symmetric quotient; it makes no assertion
|
| 264 |
+
of external well-foundedness.
|
| 265 |
+
\end{proof}
|
| 266 |
+
|
| 267 |
+
The generic terminology below expresses arguments with the ordinary
|
| 268 |
+
and symmetric forcing relations. In particular, each assertion about
|
| 269 |
+
all generics can instead be read as its forcing-theoretic assertion
|
| 270 |
+
over the choice ground. The formal consistency deduction is given
|
| 271 |
+
after the construction.
|
| 272 |
+
|
| 273 |
+
We will use symmetry in its precise product form:
|
| 274 |
+
\begin{equation}\label{eq:product-symmetry}
|
| 275 |
+
(d,s)\forces_{\mathbb Q}\varphi(\vec\tau)
|
| 276 |
+
\quad\Longleftrightarrow\quad
|
| 277 |
+
(\pi d,\pi s)\forces_{\mathbb Q}\varphi(\pi\vec\tau).
|
| 278 |
+
\end{equation}
|
| 279 |
+
The corresponding evaluation identity is
|
| 280 |
+
\[
|
| 281 |
+
(\pi\tau)^{\pi F\times\pi H}=\tau^{F\times H}.
|
| 282 |
+
\]
|
| 283 |
+
It does not define an automorphism of one fixed extension by sending
|
| 284 |
+
\(\tau^{F\times H}\) to \((\pi\tau)^{F\times H}\).
|
| 285 |
+
The product/iteration equivalence also gives the factorized version
|
| 286 |
+
of Equation~\eqref{eq:product-symmetry}: a Cohen condition forcing
|
| 287 |
+
\(s\forces_{\mathbb P}\varphi(\vec\tau[F])\) is transported to a
|
| 288 |
+
Cohen condition forcing the corresponding assertion at \(\pi s\)
|
| 289 |
+
with names \(\pi\vec\tau\).
|
| 290 |
+
Here \(\pi s\) is explicitly reindexed ground data; it is not the
|
| 291 |
+
image of \(\check s\) under the name action, which fixes check names.
|
| 292 |
+
|
| 293 |
+
Let \(\dot A_j\) be the canonical name for the Cohen subset of
|
| 294 |
+
\(\kappa\) at coordinate \(j\), and put
|
| 295 |
+
\[
|
| 296 |
+
A_j=\dot A_j^{F\times H},\qquad A=\{A_j:j\in I\}.
|
| 297 |
+
\]
|
| 298 |
+
The name \(\dot A_j\) has support \(\{j\}\), and
|
| 299 |
+
\(\pi\dot A_j=\dot A_{\pi j}\).
|
| 300 |
+
The name for \(A\) is invariant. Distinct coordinates give distinct
|
| 301 |
+
labels: below any Cohen condition, assign different bits at one
|
| 302 |
+
ordinal unused at the two coordinates. This proves forced
|
| 303 |
+
distinctness, which persists after the second forcing.
|
| 304 |
+
|
| 305 |
+
\subsection{Decision and descent}
|
| 306 |
+
|
| 307 |
+
Restriction to supporting coordinates and descent to a common support
|
| 308 |
+
have precedents in \cite[Lemmas~10 and~15]{HolySchilhan2025}.
|
| 309 |
+
The following proofs establish the versions needed for our diagrams,
|
| 310 |
+
including arbitrary-rank product names and exact compatibility of the
|
| 311 |
+
moved conditions.
|
| 312 |
+
|
| 313 |
+
The two factors play different roles in the first lemma. Once the
|
| 314 |
+
Cohen generic is fixed, strengthening a supporting diagram cannot change
|
| 315 |
+
the truth of a supported assertion. The assertion can still depend on
|
| 316 |
+
the Cohen generic; the second part says that a Cohen condition witnessing
|
| 317 |
+
it may discard coordinates outside the supporting diagram.
|
| 318 |
+
|
| 319 |
+
\begin{lemma}[Decision over a supporting diagram]
|
| 320 |
+
\label{lem:local-decision}
|
| 321 |
+
Fix an \(\mathbb R\)-generic \(F\).
|
| 322 |
+
\begin{enumerate}
|
| 323 |
+
\item
|
| 324 |
+
If \(p\in\mathbb P\) and all product-name parameters
|
| 325 |
+
\(\tau_1,\ldots,\tau_k\) are supported by \(D_p\), then \(p\)
|
| 326 |
+
decides each ordinary \(\mathbb P\)-forcing formula
|
| 327 |
+
\(\varphi(\tau_1[F],\ldots,\tau_k[F])\) in \(V[F]\).
|
| 328 |
+
The parameters may have arbitrary rank.
|
| 329 |
+
\item
|
| 330 |
+
Suppose a Cohen condition \(d\) forces that
|
| 331 |
+
\(s\forces_{\mathbb P}\varphi(\vec\tau[F])\), where all the
|
| 332 |
+
product names are supported by \(D_s\).
|
| 333 |
+
Then \(d\restriction(D_s\times\kappa)\) forces the same assertion.
|
| 334 |
+
\end{enumerate}
|
| 335 |
+
For brevity we write \(d\restriction D_s\) for this restriction.
|
| 336 |
+
\end{lemma}
|
| 337 |
+
|
| 338 |
+
\begin{proof}
|
| 339 |
+
If the first assertion fails, there are \(s_0,s_1\leq p\)
|
| 340 |
+
forcing contrary answers in \(V[F]\).
|
| 341 |
+
Choose \(d_0,d_1\in F\) witnessing those answers in the factorized
|
| 342 |
+
forcing relation. Their restrictions to \(D_p\times\kappa\)
|
| 343 |
+
are compatible.
|
| 344 |
+
By Lemma~\ref{lem:diagram-amalgamation}, choose
|
| 345 |
+
\(\pi\in\Fix(D_p)\) so that, outside \(D_p\), the coordinates
|
| 346 |
+
of \(s_1,d_1\) move away from those of \(s_0,d_0\).
|
| 347 |
+
The diagrams \(s_0,\pi s_1\) meet exactly in their common
|
| 348 |
+
subdiagram \(p\), so have a common extension.
|
| 349 |
+
The conditions \(d_0,\pi d_1\) agree on the root and have
|
| 350 |
+
disjoint supports off it, so are compatible.
|
| 351 |
+
All parameter names are fixed by \(\pi\).
|
| 352 |
+
Equation~\eqref{eq:product-symmetry} now gives two contrary assertions
|
| 353 |
+
forced by compatible product conditions, a contradiction.
|
| 354 |
+
This argument does not assert that \(\pi d_1\) belongs to \(F\).
|
| 355 |
+
|
| 356 |
+
For the second assertion, put \(\delta=d\restriction D_s\).
|
| 357 |
+
If \(\delta\) does not force the indicated factorized assertion,
|
| 358 |
+
there is \(c\leq\delta\) forcing its negation.
|
| 359 |
+
Choose \(\pi\in\Fix(D_s)\) moving
|
| 360 |
+
\(\supp_I(d)\setminus D_s\) off \(\supp_I(c)\setminus D_s\).
|
| 361 |
+
The condition \(\pi d\) is compatible with \(c\).
|
| 362 |
+
It forces the original factorized assertion, by product symmetry,
|
| 363 |
+
because \(s\) and all its parameter names are fixed.
|
| 364 |
+
This contradicts the assertion forced by \(c\).
|
| 365 |
+
\end{proof}
|
| 366 |
+
|
| 367 |
+
We next show that equality between independently supported values
|
| 368 |
+
can be represented on the intersection. The proof uses a third copy
|
| 369 |
+
to compare the two values while keeping an arbitrary potential
|
| 370 |
+
counterexample compatible.
|
| 371 |
+
|
| 372 |
+
\begin{lemma}[Support descent]\label{lem:support-descent}
|
| 373 |
+
Suppose \(s_0,s_1\leq p\) and
|
| 374 |
+
\(D_{s_0}\cap D_{s_1}=D_p\).
|
| 375 |
+
Let \(\sigma_i\) be product \(\HS\) names supported by \(D_{s_i}\).
|
| 376 |
+
Fix an \(\mathbb R\)-generic \(F\).
|
| 377 |
+
If some \(v\leq s_0,s_1\) forces
|
| 378 |
+
\(\sigma_0[F]=\sigma_1[F]\) in ordinary \(\mathbb P\)-forcing,
|
| 379 |
+
then there is a product \(\HS\) name \(\sigma\), supported by
|
| 380 |
+
\(D_p\), such that
|
| 381 |
+
\[
|
| 382 |
+
s_i\forces_{\mathbb P}\sigma[F]=\sigma_i[F]
|
| 383 |
+
\qquad(i=0,1)
|
| 384 |
+
\]
|
| 385 |
+
in \(V[F]\).
|
| 386 |
+
The names may have arbitrary rank.
|
| 387 |
+
If, in \(V[F]\), each \(s_i\) also forces
|
| 388 |
+
\(\sigma_i[F]\subseteq A\), the descended name can be normalized
|
| 389 |
+
to a subset name with only label names as possible members.
|
| 390 |
+
\end{lemma}
|
| 391 |
+
|
| 392 |
+
\begin{proof}
|
| 393 |
+
Take \(d\in F\) witnessing the equality forced at \(v\).
|
| 394 |
+
Both parameter supports lie in \(D_v\), so
|
| 395 |
+
Lemma~\ref{lem:local-decision} allows us to replace \(d\) by
|
| 396 |
+
\(d\restriction D_v\). Set
|
| 397 |
+
\(\delta=d\restriction D_{s_0}\).
|
| 398 |
+
We will combine the translates of \(\sigma_0\) into one
|
| 399 |
+
\(D_p\)-supported name. A translate contributes its value only when
|
| 400 |
+
the generic contains the corresponding translate of
|
| 401 |
+
\((\delta,s_0)\); the value of the new name will be the union of these
|
| 402 |
+
contributing values. Thus the main task is to prove that any two
|
| 403 |
+
contributing copies agree. For this coherence argument, allow both
|
| 404 |
+
factors of the product generic to vary. We will return to the fixed
|
| 405 |
+
\(F\) after constructing the name.
|
| 406 |
+
|
| 407 |
+
For every \(\pi\in\Fix(D_p)\), call the copy
|
| 408 |
+
\(\pi\sigma_0\) \emph{active} when its trigger
|
| 409 |
+
\((\pi\delta,\pi s_0)\) belongs to the product generic.
|
| 410 |
+
We first prove that any two active copies have equal values.
|
| 411 |
+
|
| 412 |
+
Consider two copies whose diagrams \(\bar s,\bar s'\) have
|
| 413 |
+
intersection exactly \(D_p\). If they can be unequal while active,
|
| 414 |
+
some product condition \((c,t)\) extends both triggers and forces
|
| 415 |
+
the inequality.
|
| 416 |
+
Place a copy \(u\) of \(s_1\) over \(p\), with the rest of its
|
| 417 |
+
range fresh relative to \(D_t\cup\supp_I(c)\).
|
| 418 |
+
Extend the respective placements of
|
| 419 |
+
\((s_0,s_1)\) onto \((\bar s,u)\) and \((\bar s',u)\) to
|
| 420 |
+
placements of \(v\), producing diagrams \(v',v''\).
|
| 421 |
+
Use the same placement on all of \(D_{s_1}\) in both cases.
|
| 422 |
+
Choose all remaining coordinates freshly, so that the ranges have the
|
| 423 |
+
intersections shown in Figure~\ref{fig:support-descent}:
|
| 424 |
+
\begin{equation}\label{eq:descent-three-overlaps}
|
| 425 |
+
\begin{aligned}
|
| 426 |
+
D_{v'}\cap D_t&=D_{\bar s},&
|
| 427 |
+
D_{v''}\cap D_t&=D_{\bar s'},&
|
| 428 |
+
D_{v'}\cap D_{v''}&=D_u .
|
| 429 |
+
\end{aligned}
|
| 430 |
+
\end{equation}
|
| 431 |
+
\input{figures/support-descent}
|
| 432 |
+
Every intersection in this display is its indicated common
|
| 433 |
+
subdiagram. The required partial maps agree on the root, and
|
| 434 |
+
their domain and range sizes are at most \(\mu\);
|
| 435 |
+
Lemma~\ref{lem:diagram-amalgamation} therefore supplies the
|
| 436 |
+
ground permutations realizing these placements.
|
| 437 |
+
|
| 438 |
+
The two placed copies of \(d\) agree on \(D_u\).
|
| 439 |
+
They agree with \(c\) on \(D_{\bar s}\) and \(D_{\bar s'}\),
|
| 440 |
+
respectively, because \(c\) extends the two placed copies of
|
| 441 |
+
\(\delta\). On the remaining coordinates freshness gives
|
| 442 |
+
compatibility. Thus the Cohen conditions have a common extension.
|
| 443 |
+
The three diagrams \(v',v'',t\) also have a common extension by
|
| 444 |
+
Equation~\eqref{eq:descent-three-overlaps} and finite amalgamation.
|
| 445 |
+
The two transported \(\sigma_1\) names are literally equal,
|
| 446 |
+
since the placements agree on the entire \(D_{s_1}\).
|
| 447 |
+
The equalities transported from \((d,v)\) therefore contradict
|
| 448 |
+
the inequality forced by \((c,t)\).
|
| 449 |
+
|
| 450 |
+
For two active copies with arbitrary overlap, start again with
|
| 451 |
+
any proposed inequality-forcing common extension \((c,t)\).
|
| 452 |
+
Place a third copy of \(s_0\) over \(p\), independent of \(t\)
|
| 453 |
+
off the root, and place its Cohen trigger compatibly with \(c\).
|
| 454 |
+
It has a common product extension with \((c,t)\).
|
| 455 |
+
The independent case just proved applies between this third copy
|
| 456 |
+
and each of the original ones, contradicting the inequality.
|
| 457 |
+
This proves coherence of all active copies, below every possible
|
| 458 |
+
inequality witness.
|
| 459 |
+
|
| 460 |
+
Define a mixture using all joint strengthenings:
|
| 461 |
+
\begin{equation}\label{eq:descent-mixture}
|
| 462 |
+
\sigma=
|
| 463 |
+
\left\{(\pi\eta,(c,t)):
|
| 464 |
+
\begin{array}{l}
|
| 465 |
+
\pi\in\Fix(D_p),\quad (\eta,(a,u))\in\sigma_0,\\
|
| 466 |
+
(c,t)\leq(\pi\delta,\pi s_0),\quad
|
| 467 |
+
(c,t)\leq(\pi a,\pi u)
|
| 468 |
+
\end{array}\right\}.
|
| 469 |
+
\end{equation}
|
| 470 |
+
This is a set name.
|
| 471 |
+
Left multiplication in \(\Fix(D_p)\) permutes its entries, so it
|
| 472 |
+
is supported by \(D_p\).
|
| 473 |
+
Its member names are translates of member names of \(\sigma_0\)
|
| 474 |
+
and hence are \(\HS\).
|
| 475 |
+
In any product generic its value is the union of the values of
|
| 476 |
+
the active copies. Both inclusions in this description follow
|
| 477 |
+
from directedness of the generic: all common strengthenings,
|
| 478 |
+
rather than a selected one, occur in
|
| 479 |
+
Equation~\eqref{eq:descent-mixture}.
|
| 480 |
+
When the original trigger is active, coherence makes this union
|
| 481 |
+
exactly the value of \(\sigma_0\).
|
| 482 |
+
Return now to the fixed \(F\). Since \(\delta\in F\), the
|
| 483 |
+
original trigger is active in every product generic with this Cohen
|
| 484 |
+
factor and with \(s_0\) in its diagram filter. It follows that
|
| 485 |
+
\(s_0\forces_{\mathbb P}\sigma[F]=\sigma_0[F]\).
|
| 486 |
+
The equality with \(\sigma_1[F]\) holds below \(v\).
|
| 487 |
+
Its parameters are supported by \(D_{s_1}\), so
|
| 488 |
+
Lemma~\ref{lem:local-decision} makes it hold already below \(s_1\).
|
| 489 |
+
|
| 490 |
+
No step imposed a rank bound.
|
| 491 |
+
For the subset assertion, replace the mixture by its intersection
|
| 492 |
+
with \(A\), using the normalization in the next paragraph.
|
| 493 |
+
\end{proof}
|
| 494 |
+
|
| 495 |
+
For \(r\in\mathbb P\), define the following ground set of names:
|
| 496 |
+
\begin{equation}\label{eq:normalized-local-names}
|
| 497 |
+
\mathcal X(r)=
|
| 498 |
+
\left\{\tau\subseteq
|
| 499 |
+
\{\dot A_j:j\in I\}\times\mathbb Q:
|
| 500 |
+
(\forall\pi\in\Fix(D_r))\ \pi\tau=\tau\right\}.
|
| 501 |
+
\end{equation}
|
| 502 |
+
Every member is \(\HS\).
|
| 503 |
+
If a product \(\HS\) name \(\tau\) is supported by \(J\), define
|
| 504 |
+
\[
|
| 505 |
+
\tau\mathbin{\upharpoonright} A=
|
| 506 |
+
\{(\dot A_j,u):j\in I,\ u\in\mathbb Q,\
|
| 507 |
+
u\forces_{\mathbb Q}\dot A_j\in\tau\}.
|
| 508 |
+
\]
|
| 509 |
+
The ordinary truth lemma gives value \(\tau^{F\times H}\cap A\).
|
| 510 |
+
Symmetry preserves the support \(J\).
|
| 511 |
+
In particular a name supported by \(D_r\) whose actual value is
|
| 512 |
+
a subset of \(A\) has the same value as some member of
|
| 513 |
+
\(\mathcal X(r)\).
|
| 514 |
+
This is a set-sized normalization, valid for an original name of
|
| 515 |
+
any rank.
|
| 516 |
+
|
| 517 |
+
\subsection{Coding arbitrary sets by the labels}
|
| 518 |
+
|
| 519 |
+
The next argument extracts a partial function from an orbit of a name.
|
| 520 |
+
The diagram condition in the function's definition ensures that equal
|
| 521 |
+
inputs have equal values.
|
| 522 |
+
|
| 523 |
+
\begin{proposition}\label{prop:presentation}
|
| 524 |
+
In \(W\), every nonempty set \(X\) is the image of a surjection
|
| 525 |
+
\(A\times\eta\to X\) for some ordinal \(\eta\).
|
| 526 |
+
No bound on the rank of \(X\) is imposed.
|
| 527 |
+
\end{proposition}
|
| 528 |
+
|
| 529 |
+
\begin{proof}
|
| 530 |
+
Let \(\sigma\) be a ground \(\HS\) name, and let \(p\) have
|
| 531 |
+
\(D_p\) as a support for \(\sigma\).
|
| 532 |
+
Form the graph name
|
| 533 |
+
\begin{equation}\label{eq:partial-orbit-map}
|
| 534 |
+
\dot h_{\sigma,p}=
|
| 535 |
+
\left\{\left(
|
| 536 |
+
\operatorname{op}(\dot A_{\pi(p(1))},\pi\sigma),
|
| 537 |
+
(1_{\mathbb R},\pi p)\right):\pi\in G\right\},
|
| 538 |
+
\end{equation}
|
| 539 |
+
where \(\operatorname{op}\) denotes the canonical ordered-pair name.
|
| 540 |
+
This name is invariant, and all its member names are \(\HS\).
|
| 541 |
+
|
| 542 |
+
Its value is a partial function on \(A\).
|
| 543 |
+
Indeed, suppose two contributing pairs have equal first coordinates.
|
| 544 |
+
Label distinctness gives
|
| 545 |
+
\(\pi(p(1))=\rho(p(1))\).
|
| 546 |
+
There is a common extension \(r\in H\) of \(\pi p,\rho p\);
|
| 547 |
+
write \(\pi p=r_n\) and \(\rho p=r_m\).
|
| 548 |
+
The equality of centers and injectivity of \(r\) give \(n=m\).
|
| 549 |
+
Consequently \(\pi p=\rho p\) pointwise, so
|
| 550 |
+
\(\rho^{-1}\pi\in\Fix(D_p)\).
|
| 551 |
+
It fixes \(\sigma\), and hence \(\pi\sigma=\rho\sigma\)
|
| 552 |
+
literally. The two values therefore agree.
|
| 553 |
+
This argument concerns names under compatible diagram conditions,
|
| 554 |
+
not an action on one fixed symmetric model.
|
| 555 |
+
|
| 556 |
+
The orbit construction gives invariant partial functions. We now
|
| 557 |
+
form a set-indexed family of them whose ranges cover \(X\).
|
| 558 |
+
Choose an \(\HS\) name \(\tau\) for \(X\).
|
| 559 |
+
The set \(M\) of member names appearing in \(\tau\) is a ground
|
| 560 |
+
set of \(\HS\) names. In \(V\), enumerate by an ordinal \(\eta\)
|
| 561 |
+
the set
|
| 562 |
+
\[
|
| 563 |
+
B=\{(\sigma,p)\in M\times\mathbb P:
|
| 564 |
+
\Fix(D_p)\text{ fixes }\sigma\}.
|
| 565 |
+
\]
|
| 566 |
+
Every member name has a support of size at most \(\mu\), and
|
| 567 |
+
Lemma~\ref{lem:diagram-amalgamation} provides supporting diagrams.
|
| 568 |
+
We include all such diagrams, because one chosen diagram need not
|
| 569 |
+
belong to the generic filter.
|
| 570 |
+
The corresponding sequence of graph names
|
| 571 |
+
\(\dot h_{\sigma,p}\) is a ground sequence of invariant
|
| 572 |
+
\(\HS\) names. Its canonical sequence name is itself invariant
|
| 573 |
+
and \(\HS\), so its interpretation
|
| 574 |
+
\(\langle h_i:i<\eta\rangle\) belongs to \(W\).
|
| 575 |
+
|
| 576 |
+
These partial functions cover \(X\).
|
| 577 |
+
For \(x\in X\), an active member name \(\sigma\) of \(\tau\)
|
| 578 |
+
has value \(x\).
|
| 579 |
+
The set of diagrams whose ranges contain a fixed support of
|
| 580 |
+
\(\sigma\) is ground dense, by
|
| 581 |
+
Lemma~\ref{lem:diagram-amalgamation}.
|
| 582 |
+
Thus some such \(p\) belongs to \(H\).
|
| 583 |
+
The identity entry of \(\dot h_{\sigma,p}\) maps \(A_{p(1)}\)
|
| 584 |
+
to \(x\).
|
| 585 |
+
|
| 586 |
+
All remaining definitions take place in \(W\).
|
| 587 |
+
For nonempty \(X\), fix one \(x_0\in X\), and define
|
| 588 |
+
\[
|
| 589 |
+
h(a,i)=
|
| 590 |
+
\begin{cases}
|
| 591 |
+
h_i(a),&a\in\dom(h_i)\text{ and }h_i(a)\in X,\\
|
| 592 |
+
x_0,&\text{otherwise}.
|
| 593 |
+
\end{cases}
|
| 594 |
+
\]
|
| 595 |
+
Separation and Replacement form this function on \(A\times\eta\),
|
| 596 |
+
and coverage makes it surjective.
|
| 597 |
+
The one default element uses only nonemptiness of \(X\).
|
| 598 |
+
The enumeration above is over \(M\times\mathbb P\), a set
|
| 599 |
+
depending on the particular name \(\tau\); no restriction to
|
| 600 |
+
names below a fixed rank was made.
|
| 601 |
+
\end{proof}
|
| 602 |
+
|
| 603 |
+
\subsection{Choice for ordinal-indexed families}
|
| 604 |
+
|
| 605 |
+
The presentation just proved reduces arbitrary families to families of
|
| 606 |
+
subsets of $A$. We first find one wellorderable part of $A$ meeting every
|
| 607 |
+
member of a given ordinal-indexed family of nonempty subsets.
|
| 608 |
+
|
| 609 |
+
\begin{proposition}\label{prop:ordinal-choice}
|
| 610 |
+
The model \(W\) satisfies \(\ACwo\): every ordinal-indexed
|
| 611 |
+
family of nonempty sets in \(W\) has a choice function in \(W\).
|
| 612 |
+
\end{proposition}
|
| 613 |
+
|
| 614 |
+
\begin{proof}
|
| 615 |
+
We first treat a family
|
| 616 |
+
\(\langle X_\xi:\xi<\eta\rangle\) of nonempty subsets of \(A\).
|
| 617 |
+
Start below a product condition \((d_0,p)\) forcing this
|
| 618 |
+
assertion for an \(\HS\) family name.
|
| 619 |
+
By extending the diagram, arrange that \(D_p\) contains its
|
| 620 |
+
support and \(\supp_I(d_0)\).
|
| 621 |
+
The assertions that a given graph is a function and has nonempty
|
| 622 |
+
subset values are absolute between \(W\) and the full extension.
|
| 623 |
+
Consequently this use of ordinary forcing follows equally from
|
| 624 |
+
a symmetric-forcing hypothesis.
|
| 625 |
+
Names for the individual \(X_\xi\) can be obtained by the
|
| 626 |
+
membership forcing relation from the family and \(\check\xi\);
|
| 627 |
+
they retain support \(D_p\).
|
| 628 |
+
Choose once and for all \(q\) with \(q_e=p\).
|
| 629 |
+
This same \(q\) will work for every family index. Witnesses already
|
| 630 |
+
available on \(p\) need no move; for witnesses on proper extensions
|
| 631 |
+
of \(p\), the probes place independent copies inside \(q\) and
|
| 632 |
+
Cohen genericity activates one of them.
|
| 633 |
+
|
| 634 |
+
Fix \(F\) containing \(d_0\), and fix \(\xi<\eta\).
|
| 635 |
+
In \(V[F]\), some \(t\leq p\) and \(j\in I\) satisfy
|
| 636 |
+
\[
|
| 637 |
+
t\forces_{\mathbb P} A_j\in X_\xi.
|
| 638 |
+
\]
|
| 639 |
+
This follows by deciding a witness in the ground index set \(I\)
|
| 640 |
+
for membership in \(A\).
|
| 641 |
+
Extend \(t\) to include \(j\) in its range, and write \(p=t_b\).
|
| 642 |
+
Choose \(d\in F\) witnessing the displayed forcing assertion,
|
| 643 |
+
and restrict it to \(D_t\) by
|
| 644 |
+
Lemma~\ref{lem:local-decision}.
|
| 645 |
+
If \(b=1\), then \(t=p\), so \(q\) already forces a witness
|
| 646 |
+
whose index belongs to \(D_q\).
|
| 647 |
+
|
| 648 |
+
Suppose \(b\neq1\).
|
| 649 |
+
The probes of Theorem~\ref{thm:monoid}, with \(a=1,U=\{1\}\),
|
| 650 |
+
give \(\mu\) elements \(m\) satisfying \(mb=e\) and
|
| 651 |
+
\(mT\cap m'T=eT\) for distinct probes.
|
| 652 |
+
Thus
|
| 653 |
+
\[
|
| 654 |
+
(q_m)_b=p,\qquad
|
| 655 |
+
D_{q_m}\cap D_{q_{m'}}=D_p\quad(m\neq m').
|
| 656 |
+
\]
|
| 657 |
+
Each \(q_m\) is a copy of \(t\) over \(p\).
|
| 658 |
+
Choose in \(V\) a permutation \(\pi_m\in\Fix(D_p)\) taking
|
| 659 |
+
\(t\) to \(q_m\).
|
| 660 |
+
The conditions \(\pi_m d\) all restrict on \(D_p\) to
|
| 661 |
+
\(d_*=d\restriction D_p\), and their coordinate supports off
|
| 662 |
+
that root are pairwise disjoint.
|
| 663 |
+
|
| 664 |
+
For these fixed ground data, the set
|
| 665 |
+
\begin{equation}\label{eq:probe-cohen-dense}
|
| 666 |
+
\{c:c\perp d_*\}\ \cup\
|
| 667 |
+
\{c:(\exists m)\ c\leq\pi_m d\}
|
| 668 |
+
\end{equation}
|
| 669 |
+
is dense in \(\mathbb R\).
|
| 670 |
+
Given \(c\) compatible with \(d_*\), first extend it by \(d_*\).
|
| 671 |
+
Its support is countable, so it meets the nonroot support of
|
| 672 |
+
only countably many of the pairwise disjoint copies.
|
| 673 |
+
Choose a remaining probe and extend \(c\) by its placed
|
| 674 |
+
condition \(\pi_m d\).
|
| 675 |
+
This proves density.
|
| 676 |
+
Because \(d_*\in F\), the generic meets the second alternative
|
| 677 |
+
of Equation~\eqref{eq:probe-cohen-dense}.
|
| 678 |
+
For the resulting \(m\), product symmetry and
|
| 679 |
+
\(\pi_m X_\xi=X_\xi\) give
|
| 680 |
+
\[
|
| 681 |
+
q_m\forces_{\mathbb P} A_{\pi_mj}\in X_\xi
|
| 682 |
+
\quad\text{in }V[F].
|
| 683 |
+
\]
|
| 684 |
+
Since \(q\leq q_m\) and \(\pi_mj\in D_q\), this supplies the
|
| 685 |
+
required witness in \(A[D_q]=\{A_j:j\in D_q\}\).
|
| 686 |
+
|
| 687 |
+
The condition \(q\) was chosen before \(\xi\).
|
| 688 |
+
Although \(t,d,j\) were chosen in the argument after \(F\),
|
| 689 |
+
each is an individual ground object.
|
| 690 |
+
The dense set in Equation~\eqref{eq:probe-cohen-dense} therefore
|
| 691 |
+
belongs to \(V\), and \(F\) meets it.
|
| 692 |
+
No sequence of witnesses for all \(\xi\) is being selected or
|
| 693 |
+
imported into \(W\).
|
| 694 |
+
For each \(\xi<\eta\) the argument shows that \(q\) forces
|
| 695 |
+
\(X_\xi\cap A[D_q]\neq\varnothing\) in \(V[F]\).
|
| 696 |
+
It forces the universal statement as well: a condition forcing
|
| 697 |
+
a counterexample could be strengthened to decide its index in
|
| 698 |
+
\(\check\eta\) to one ground \(\xi\), contradicting the
|
| 699 |
+
assertion for that index.
|
| 700 |
+
Since this holds for every \(F\) containing \(d_0\), the product
|
| 701 |
+
condition \((d_0,q)\) forces the universal meeting property.
|
| 702 |
+
|
| 703 |
+
A ground enumeration of \(D_q\) yields a sequence of its labels
|
| 704 |
+
with an \(\HS\) name supported by \(D_q\).
|
| 705 |
+
Distinctness of labels turns that enumeration into a wellordering
|
| 706 |
+
of \(A[D_q]\) in \(W\).
|
| 707 |
+
Taking the first element of each \(X_\xi\) in this wellordering
|
| 708 |
+
defines the required choice function by Replacement in \(W\).
|
| 709 |
+
The argument works below an extension of every starting
|
| 710 |
+
condition forcing the subset-family hypothesis, and hence proves
|
| 711 |
+
choice for all such families in \(W\).
|
| 712 |
+
|
| 713 |
+
Finally let \(\langle Y_\xi:\xi<\eta\rangle\) be any family
|
| 714 |
+
of nonempty sets in \(W\).
|
| 715 |
+
For \(\eta=0\) use the empty function.
|
| 716 |
+
Otherwise Proposition~\ref{prop:presentation}, applied once to
|
| 717 |
+
the union of the family, gives a surjection
|
| 718 |
+
\(h:A\times\theta\to\bigcup_{\xi<\eta}Y_\xi\) in \(W\).
|
| 719 |
+
For each \(\xi\), take the least \(\alpha_\xi<\theta\)
|
| 720 |
+
whose slice meets \(Y_\xi\), and form
|
| 721 |
+
\[
|
| 722 |
+
B_\xi=\{a\in A:h(a,\alpha_\xi)\in Y_\xi\}.
|
| 723 |
+
\]
|
| 724 |
+
These are a family of nonempty subsets of \(A\) in \(W\).
|
| 725 |
+
The subset case chooses \(a_\xi\in B_\xi\);
|
| 726 |
+
then \(h(a_\xi,\alpha_\xi)\) is the desired choice from \(Y_\xi\).
|
| 727 |
+
\end{proof}
|
| 728 |
+
|
| 729 |
+
\subsection{Failure of Choice and countable-sequence preservation}
|
| 730 |
+
|
| 731 |
+
\begin{proposition}\label{prop:not-choice}
|
| 732 |
+
The set \(A\) is not wellorderable in \(W\).
|
| 733 |
+
In particular \(W\models\neg\AC\).
|
| 734 |
+
\end{proposition}
|
| 735 |
+
|
| 736 |
+
\begin{proof}
|
| 737 |
+
Suppose an \(\HS\) name is forced to be a function from an
|
| 738 |
+
ordinal \(\eta\) onto \(A\).
|
| 739 |
+
Choose a forcing condition \((d,p)\) whose diagram range contains
|
| 740 |
+
the name's support and \(\supp_I(d)\).
|
| 741 |
+
Fix \(j\notin D_p\), which exists since
|
| 742 |
+
\(|D_p|^V=\mu<|I|^V\).
|
| 743 |
+
Strengthen to a product condition \((c,t)\) deciding
|
| 744 |
+
a ground \(\beta<\eta\) with value \(A_j\), and extend the
|
| 745 |
+
diagram further to have \(j\in D_t\).
|
| 746 |
+
|
| 747 |
+
Choose \(\pi\in\Fix(D_p)\) moving all coordinates of \(t,c\)
|
| 748 |
+
outside \(D_p\) to fresh ones.
|
| 749 |
+
Then \(t,\pi t\) are independent over \(p\) and have a common
|
| 750 |
+
extension; \(c,\pi c\) are also compatible.
|
| 751 |
+
The function name and \(\check\beta\) are fixed.
|
| 752 |
+
Their common product extension would therefore force that
|
| 753 |
+
one entry has both values \(A_j\) and \(A_{\pi j}\).
|
| 754 |
+
They are distinct because \(j\notin D_p\) and \(\pi\) moved it
|
| 755 |
+
freshly. This is a contradiction.
|
| 756 |
+
|
| 757 |
+
\end{proof}
|
| 758 |
+
|
| 759 |
+
\begin{proposition}\label{prop:no-countable-sequences}
|
| 760 |
+
For every ground set \(X\), every function \(f:\omega\to X\)
|
| 761 |
+
belonging to \(W\) belongs to \(V\).
|
| 762 |
+
Consequently \(W\) adds no countable sequences of ground elements.
|
| 763 |
+
\end{proposition}
|
| 764 |
+
|
| 765 |
+
\begin{proof}
|
| 766 |
+
Choose a product \(\HS\) name \(\tau\) for \(f\).
|
| 767 |
+
In \(V[F]\), the ordinary \(\mathbb P\)-truth lemma supplies
|
| 768 |
+
a condition in \(H\) forcing that \(\tau[F]\) is a function
|
| 769 |
+
\(\check\omega\to\check X\).
|
| 770 |
+
Extend within \(H\) to a diagram \(p\) whose range covers a
|
| 771 |
+
support of \(\tau\).
|
| 772 |
+
For each \(n<\omega\), the ordinary forcing theorem supplies
|
| 773 |
+
an extension of \(p\) and some \(x\in X\) forcing
|
| 774 |
+
\(\tau[F](n)=\check x\).
|
| 775 |
+
Both \(\tau\) and the check-name parameters are supported by
|
| 776 |
+
\(D_p\), so Lemma~\ref{lem:local-decision} makes \(p\)
|
| 777 |
+
itself force that equality.
|
| 778 |
+
There is exactly one such \(x\), since \(p\) forces
|
| 779 |
+
functionhood.
|
| 780 |
+
|
| 781 |
+
The forcing relation is definable in \(V[F]\).
|
| 782 |
+
Replacement there therefore forms the sequence of these unique
|
| 783 |
+
values, a function \(g:\omega\to X\) in \(V[F]\).
|
| 784 |
+
Then \(g=f\) in \(V[F][H]\), because \(p\in H\).
|
| 785 |
+
By Lemma~\ref{lem:cohen-properties}, \(\mathbb R\) adds no
|
| 786 |
+
countable sequences in the ground set \(X\), so \(g\in V\).
|
| 787 |
+
Thus \(f\in V\).
|
| 788 |
+
The final assertion follows by bounding the ranks of the entries
|
| 789 |
+
of any countable sequence of ground elements, as in the proof of
|
| 790 |
+
Lemma~\ref{lem:cohen-properties}.
|
| 791 |
+
\end{proof}
|
| 792 |
+
|
| 793 |
+
We have obtained the all-rank presentation and internal ordinal choice
|
| 794 |
+
needed for the final reduction to \(\PP\), while the labels already
|
| 795 |
+
witness failure of full Choice. What remains is the quotient
|
| 796 |
+
classification: nonwellorderable images of \(A\) must be put in
|
| 797 |
+
bijection with \(A\) by one coherent, hereditarily symmetric graph.
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/introduction.tex
ADDED
|
@@ -0,0 +1,213 @@
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|
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|
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
\section{Introduction}\label{sec:introduction}
|
| 2 |
+
|
| 3 |
+
The \emph{Partition Principle} asserts that a surjection between two sets
|
| 4 |
+
implies the existence of an injection in the reverse direction:
|
| 5 |
+
\[
|
| 6 |
+
\PP:\qquad
|
| 7 |
+
\forall X\,\forall Y\,
|
| 8 |
+
\bigl[(\exists f:X\twoheadrightarrow Y)
|
| 9 |
+
\Longrightarrow(\exists j:Y\hookrightarrow X)\bigr].
|
| 10 |
+
\]
|
| 11 |
+
Equivalently, every partition of a set admits an injection into that set.
|
| 12 |
+
The Axiom of Choice implies this principle by choosing one element of each
|
| 13 |
+
fiber. The converse is less direct: the injection supplied by $\PP$ need
|
| 14 |
+
not take a part to one of its members. In particular, it need not satisfy
|
| 15 |
+
$f\circ j=\id_Y$. The problem is whether this cardinal comparison alone
|
| 16 |
+
can recover choice for arbitrary families.
|
| 17 |
+
|
| 18 |
+
Write $\ACwo$ for Choice for wellorderable families: for every ordinal
|
| 19 |
+
$\eta$ and every family $(X_\xi)_{\xi<\eta}$ of nonempty sets, there is a
|
| 20 |
+
function $c$ with $c(\xi)\in X_\xi$ for all $\xi<\eta$.
|
| 21 |
+
Our principal result is the following ordinary relative-consistency statement.
|
| 22 |
+
|
| 23 |
+
\begin{theorem}\label{thm:main-consistency}
|
| 24 |
+
If $\ZF$ is consistent, then so is $\ZF+\PP+\ACwo+\neg\AC$.
|
| 25 |
+
\end{theorem}
|
| 26 |
+
|
| 27 |
+
The construction also has a separate transitive-model form.
|
| 28 |
+
|
| 29 |
+
\begin{theorem}\label{thm:main-transitive}
|
| 30 |
+
Let $V$ be a countable transitive model of $\ZFC$. There are a set forcing
|
| 31 |
+
$\mathbb Q\in V$, a $V$-generic filter $G$, and a transitive symmetric
|
| 32 |
+
submodel $W$ of $V[G]$ such that
|
| 33 |
+
\[
|
| 34 |
+
V\subseteq W\subseteq V[G],\qquad
|
| 35 |
+
\Ord^W=\Ord^V,\qquad
|
| 36 |
+
W\models\ZF+\PP+\ACwo+\neg\AC.
|
| 37 |
+
\]
|
| 38 |
+
Every countable sequence of elements of $V$ that belongs to $W$ already
|
| 39 |
+
belongs to $V$.
|
| 40 |
+
\end{theorem}
|
| 41 |
+
|
| 42 |
+
Here $\ZF$ is classical first-order set theory with pure sets, Foundation,
|
| 43 |
+
and the full Separation and Replacement schemata.
|
| 44 |
+
Theorem~\ref{thm:main-consistency} gives a negative answer to the
|
| 45 |
+
Partition Principle versus Choice problem under ordinary syntactic
|
| 46 |
+
consistency. It permits externally ill-founded models, whereas
|
| 47 |
+
Theorem~\ref{thm:main-transitive} starts with a transitive ground and
|
| 48 |
+
preserves transitivity. In either conclusion the reverse injections and
|
| 49 |
+
the family without a choice function belong to the same model.
|
| 50 |
+
Section~\ref{sec:metatheory} gives the two deductions separately.
|
| 51 |
+
The consequences for the dual Cantor--Schr\"oder--Bernstein principle
|
| 52 |
+
and the Weak Partition Principle are developed in
|
| 53 |
+
Remark~\ref{rem:dual-csb-wpp}.
|
| 54 |
+
|
| 55 |
+
\subsection{History and related methods}
|
| 56 |
+
|
| 57 |
+
The distinction between comparing the sizes of a partition and its
|
| 58 |
+
underlying set, and actually choosing representatives, is longstanding.
|
| 59 |
+
Da Silva traces the Partition Principle
|
| 60 |
+
to Beppo Levi in 1902 \cite[Section~2, p.~787]{daSilva2021}.
|
| 61 |
+
Banaschewski and Moore studied its relation to the dual
|
| 62 |
+
Cantor--Bernstein theorem and the surrounding cardinal-comparison
|
| 63 |
+
principles \cite{BanaschewskiMoore1990}. These questions concern what
|
| 64 |
+
remains of cardinal arithmetic when sets need not be wellorderable.
|
| 65 |
+
For example, Blass and Kulshreshtha distinguish several forms of
|
| 66 |
+
cardinal well-foundedness and show that they become equivalent under
|
| 67 |
+
$\PP$; their August 2026 version still lists $\PP\Rightarrow\AC$
|
| 68 |
+
as open \cite[Introduction and Section~9]{BlassKulshreshtha2026}.
|
| 69 |
+
Gilson's September 2026 corrections withdraw the model-construction
|
| 70 |
+
claims of three earlier approaches
|
| 71 |
+
\cite{GilsonSheafCorrection2026,GilsonExternalCorrection2026,GilsonIterationCorrection2026}.
|
| 72 |
+
|
| 73 |
+
There is already substantial choice in $\PP$. The implication
|
| 74 |
+
$\PP\Rightarrow\ACwo$ is classical: Ryan-Smith records the
|
| 75 |
+
argument attributed to Pincus by Pelc
|
| 76 |
+
\cite[Proposition~3.17, proof and footnote~4]{RyanSmith2025}.
|
| 77 |
+
Thus $\ACwo$ in our main statements is not an additional strength
|
| 78 |
+
beyond $\PP$. Its separate appearance records the order of the
|
| 79 |
+
construction: we establish ordinal-indexed choice first and then use
|
| 80 |
+
it to assemble reverse injections for arbitrary sets.
|
| 81 |
+
|
| 82 |
+
The difficulty of preserving a principle quantified over all sets
|
| 83 |
+
can be reduced to a fixed set of parameters. Blass introduced small
|
| 84 |
+
violations of choice \cite{Blass1979}. For a nonempty set $A$,
|
| 85 |
+
$\mathrm{SVC}(A)$ says that every nonempty set is a surjective image
|
| 86 |
+
of $A\times\eta$ for some ordinal $\eta$. The injective version,
|
| 87 |
+
$\mathrm{SVC}^{+}(A)$, says that every set embeds into some
|
| 88 |
+
$A\times\eta$. See also
|
| 89 |
+
\cite[Definition~3.13 and Theorem~3.14]{Usuba2021}.
|
| 90 |
+
These presentations let a construction on one set control objects
|
| 91 |
+
of arbitrary rank, but their different directions cannot be
|
| 92 |
+
interchanged without proof.
|
| 93 |
+
|
| 94 |
+
Ryan-Smith makes the local-to-global step precise. Under
|
| 95 |
+
$\mathrm{SVC}^{+}(A)$, full $\PP$ is equivalent to $\ACwo$
|
| 96 |
+
together with reverse injections for surjections between subsets of
|
| 97 |
+
$A$ \cite[Proposition~3.17]{RyanSmith2025}. Reverse injections for
|
| 98 |
+
surjective images of $A$ are a different local assertion: even with
|
| 99 |
+
$\ACwo$ and $\mathrm{SVC}^{+}(A)$, they need not imply full
|
| 100 |
+
$\PP$ \cite[Proposition~3.23]{RyanSmith2025}. Our construction
|
| 101 |
+
instead makes every nonwellorderable image of $A$ bijective to $A$.
|
| 102 |
+
Lemma~\ref{lemma:pp-reduction} uses this stronger classification,
|
| 103 |
+
the surjective presentation, and ordinal-indexed choice to carry out
|
| 104 |
+
the required all-set reduction. Its slicing argument follows the
|
| 105 |
+
method of \cite[Propositions~3.17 and~3.20]{RyanSmith2025}, rather
|
| 106 |
+
than identifying the two local principles.
|
| 107 |
+
|
| 108 |
+
The ambient method is a symmetric submodel of a set-forcing
|
| 109 |
+
extension: hereditarily symmetric names for a normal filter of
|
| 110 |
+
subgroups give a model of full $\ZF$
|
| 111 |
+
\cite[Section~2.1]{Karagila2026}. A more specific antecedent is
|
| 112 |
+
Holy and Schilhan's product of Cohen forcing with a forcing of
|
| 113 |
+
ground-model hereditarily almost-disjoint towers
|
| 114 |
+
\cite[Section~3]{HolySchilhan2025}. Their construction yields
|
| 115 |
+
models in which every set can be linearly ordered and higher forms
|
| 116 |
+
of Dependent Choice hold, although full Choice fails. They develop
|
| 117 |
+
the hereditary almost-disjointness method from Pincus's work on
|
| 118 |
+
adding Dependent Choice \cite{Pincus1977}. Their restriction and
|
| 119 |
+
support-intersection arguments
|
| 120 |
+
\cite[Lemmas~10 and~15]{HolySchilhan2025} are antecedents of the
|
| 121 |
+
locality arguments here. Our diagrams have a different geometry:
|
| 122 |
+
the monoid must support both exact quotient multiplicities and the
|
| 123 |
+
coherent assignment of bijections, not just the descent of supports.
|
| 124 |
+
|
| 125 |
+
\subsection{Proof strategy}
|
| 126 |
+
|
| 127 |
+
We construct a set $A$ of distinct generic subsets of the ground-model
|
| 128 |
+
$\omega_1$. Symmetry
|
| 129 |
+
prevents $A$ from being wellordered. Orbit maps of names show that every
|
| 130 |
+
nonempty set is a surjective image of $A\times\eta$ for some ordinal
|
| 131 |
+
$\eta$, with no restriction on its rank. The forcing also allows one
|
| 132 |
+
wellorderable part of $A$ to meet every member of any given ordinal-indexed
|
| 133 |
+
family of nonempty subsets of $A$. Together with the preceding
|
| 134 |
+
presentation of arbitrary sets, this yields $\ACwo$.
|
| 135 |
+
|
| 136 |
+
The central additional property is
|
| 137 |
+
\begin{equation}\label{eq:intro-quotient}
|
| 138 |
+
\text{every nonwellorderable surjective image of $A$ is in bijection with $A$.}
|
| 139 |
+
\end{equation}
|
| 140 |
+
To pass from this property to full $\PP$, partition the target of an
|
| 141 |
+
arbitrary surjection into ordinal-indexed disjoint nonempty pieces and
|
| 142 |
+
use disjoint source pieces mapping onto them. Each resulting piece is
|
| 143 |
+
an image of $A$, though the source pieces need not cover the original
|
| 144 |
+
domain. A wellorderable target piece admits a reverse injection by
|
| 145 |
+
$\ACwo$. Otherwise both corresponding pieces are in bijection with $A$
|
| 146 |
+
by \eqref{eq:intro-quotient}. A further application of $\ACwo$ chooses
|
| 147 |
+
the piecewise injections, whose union is the required injection. The
|
| 148 |
+
empty target uses the empty injection.
|
| 149 |
+
|
| 150 |
+
The difficult part is to construct the bijections in
|
| 151 |
+
\eqref{eq:intro-quotient} with enough coherence to belong to the symmetric
|
| 152 |
+
model. Fix one equivalence relation on $A$ whose quotient is not
|
| 153 |
+
wellorderable. Counting its classes on
|
| 154 |
+
each support will produce many possible local bijections, but arbitrary
|
| 155 |
+
choices of them need not agree on overlapping supports or respect
|
| 156 |
+
coordinate changes. The proof solves these two compatibility problems
|
| 157 |
+
in three stages.
|
| 158 |
+
|
| 159 |
+
\begin{enumerate}[leftmargin=*,label=\arabic*.]
|
| 160 |
+
\item \textbf{A geometry of diagrams.}
|
| 161 |
+
We build a left-cancellative monoid $T$. A diagram is an injective map
|
| 162 |
+
$r:T\to I$, where $I$ is the set of label indices. Its subdiagram at $n\in T$
|
| 163 |
+
is the map $r_n(x)=r(nx)$. The diagram forcing makes larger diagrams
|
| 164 |
+
stronger conditions. Finite amalgamations join independently placed
|
| 165 |
+
diagrams. A second extension operation places many copies with prescribed
|
| 166 |
+
patterns of intersection. Together these operations give the forcing its
|
| 167 |
+
compatibility and support-descent properties. Height and cost functions
|
| 168 |
+
reduce the availability patterns introduced next to countable cofinal
|
| 169 |
+
paths. A rearrangement of the same monoid construction will later bound
|
| 170 |
+
the symmetries that survive along such a path.
|
| 171 |
+
|
| 172 |
+
\item \textbf{Exact availability fibers.}
|
| 173 |
+
A diagram supports names whose definitions are fixed by all permutations
|
| 174 |
+
of labels outside its range. For a quotient of $A$, we record the quotient
|
| 175 |
+
elements that can be named at each diagram. An element's availability
|
| 176 |
+
pattern records the subdiagrams at which it can still be named.
|
| 177 |
+
The labels themselves have analogous patterns, determined by which
|
| 178 |
+
subdiagrams contain their indices. The copying and support-descent lemmas
|
| 179 |
+
show that, for each exact pattern, the available labels and quotient
|
| 180 |
+
elements have the same cardinality. Restricting to a subdiagram in that
|
| 181 |
+
pattern identifies the corresponding fibers canonically. These
|
| 182 |
+
identifications group the fibers into components and are already
|
| 183 |
+
compatible; the choices of bijections between label and quotient fibers
|
| 184 |
+
are not.
|
| 185 |
+
|
| 186 |
+
\item \textbf{Covariant choices on each component.}
|
| 187 |
+
Each component has a countable cofinal chain of nested diagrams. Codes
|
| 188 |
+
along this chain give a preliminary bijection compatible with every
|
| 189 |
+
permutation fixing a sufficiently late diagram pointwise. Modulo these
|
| 190 |
+
permutations, the remaining symmetries form a countable group. Countably
|
| 191 |
+
many bounded initial segments of Cohen subsets distinguish its elements
|
| 192 |
+
and select among the transported preliminary bijections. Finally,
|
| 193 |
+
transport between components gives assignments that agree under
|
| 194 |
+
restriction and respect all required permutations. Their union is one
|
| 195 |
+
hereditarily symmetric graph for the fixed quotient.
|
| 196 |
+
\end{enumerate}
|
| 197 |
+
|
| 198 |
+
The countable description of each availability pattern, the reduction of
|
| 199 |
+
its symmetries to a countable group, and the final equivariant selection
|
| 200 |
+
are the main technical ingredients. The selection is performed between
|
| 201 |
+
moved Cohen generics: it does not require permutations to act as
|
| 202 |
+
automorphisms of a single fixed forcing extension.
|
| 203 |
+
|
| 204 |
+
Section~\ref{sec:monoid} constructs $T$ and proves its local rearrangement
|
| 205 |
+
property. Section~\ref{sec:forcing} develops the forcing, locality, and the
|
| 206 |
+
basic properties of $A$. The quotient construction follows in
|
| 207 |
+
three stages: Section~\ref{sec:quotient-fibers} computes exact availability
|
| 208 |
+
fibers, Section~\ref{sec:quotient-components} organizes them into components
|
| 209 |
+
and controls their symmetries, and Section~\ref{sec:quotient-equivariance}
|
| 210 |
+
constructs the coherent bijections. Section~\ref{sec:conclusion} derives
|
| 211 |
+
full $\PP$ and identifies a family without a choice function.
|
| 212 |
+
Section~\ref{sec:metatheory} gives the ordinary consistency deduction and
|
| 213 |
+
the separate transitive-ground result.
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/metatheory.tex
ADDED
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|
|
|
| 1 |
+
\section{The consistency deduction}\label{sec:metatheory}
|
| 2 |
+
|
| 3 |
+
Theorem~\ref{thm:construction-summary} has two uses. For ordinary
|
| 4 |
+
relative consistency, we must obtain a choice ground from
|
| 5 |
+
$\Con(\ZF)$ and interpret the construction even when that ground
|
| 6 |
+
is externally ill founded. For the separate transitive-model result,
|
| 7 |
+
we retain the given transitive choice ground and evaluate names in
|
| 8 |
+
the usual way. We begin with the precise forcing assertion that
|
| 9 |
+
both deductions use.
|
| 10 |
+
|
| 11 |
+
\subsection{The internal output of the construction}
|
| 12 |
+
|
| 13 |
+
Write $\mathcal S=(\mathbb Q,\Gamma,\mathcal F)$ for a set
|
| 14 |
+
symmetric system: $\mathbb Q$ is a nonempty set poset, $\Gamma$
|
| 15 |
+
is a set group of automorphisms of $\mathbb Q$, and $\mathcal F$
|
| 16 |
+
is a normal filter of subgroups of $\Gamma$. Let
|
| 17 |
+
$\HS_{\mathcal S}$ be its class of hereditarily symmetric names.
|
| 18 |
+
We use a largest condition $1$. If necessary, adjoin a fresh
|
| 19 |
+
largest condition fixed by every automorphism; the original poset
|
| 20 |
+
remains dense.
|
| 21 |
+
|
| 22 |
+
The preceding construction is uniform over choice grounds. In
|
| 23 |
+
particular, Theorem~\ref{thm:construction-summary} gives the
|
| 24 |
+
following internal assertion in $\ZFC+V=L$: there is a nonempty
|
| 25 |
+
set symmetric system $\mathcal S$ such that
|
| 26 |
+
\begin{equation}\label{eq:construction-internal-forcing}
|
| 27 |
+
1\forces_{\HS_{\mathcal S}}
|
| 28 |
+
\PP\ \wedge\ \neg\AC\ \wedge\ \ACwo.
|
| 29 |
+
\end{equation}
|
| 30 |
+
Here the universal quantifiers of the three sentences range over
|
| 31 |
+
all internal HS names, with no name-rank cutoff. The standard
|
| 32 |
+
symmetric-model theorem supplies full $\ZF$ for this interpretation;
|
| 33 |
+
its formula-by-formula justification is given below.
|
| 34 |
+
|
| 35 |
+
The internal character of this particular construction matters.
|
| 36 |
+
The monoid is built by recursion along a set ordinal, and its
|
| 37 |
+
countable-base rearrangement uses an elementary submodel of a set
|
| 38 |
+
structure $H_\Theta$. Its normal forms, diagrams, permutations and
|
| 39 |
+
supports are sets. In the quotient argument,
|
| 40 |
+
Equation~\eqref{eq:normalized-local-names} bounds the local name
|
| 41 |
+
collections by ground sets. The assignment predicate
|
| 42 |
+
$\Phi$ in Equation~\eqref{eq:assignment-predicate} uses those
|
| 43 |
+
sets, fixed ground choices, and the ordinary forcing relation for
|
| 44 |
+
the ground poset $\mathbb P$ in an $\mathbb R$-extension.
|
| 45 |
+
Equation~\eqref{eq:quotient-bijection-name} then forms an actual
|
| 46 |
+
ground HS graph name. Thus the generic notation in that argument
|
| 47 |
+
expresses fixed-formula forcing assertions; it is not a construction
|
| 48 |
+
available only over externally transitive models.
|
| 49 |
+
|
| 50 |
+
Propositions~\ref{prop:presentation} and~\ref{prop:ordinal-choice}
|
| 51 |
+
supply the all-rank presentation and ordinal-indexed choice.
|
| 52 |
+
Together with the quotient graph, the internal $\ZF$ reduction in
|
| 53 |
+
Lemma~\ref{lemma:pp-reduction} gives $\PP$.
|
| 54 |
+
Proposition~\ref{prop:not-choice} supplies $\neg\AC$.
|
| 55 |
+
The quotient witnesses are produced below a strengthening of every
|
| 56 |
+
condition asserting the relevant hypothesis. This is the local-witness
|
| 57 |
+
form of existential forcing, made explicit in
|
| 58 |
+
Equation~\eqref{eq:symmetric-existential-density} below; no single
|
| 59 |
+
symmetric witness is required to work below every condition.
|
| 60 |
+
|
| 61 |
+
It remains to transfer this forcing assertion to a model obtained
|
| 62 |
+
from ordinary consistency. We first obtain a choice ground by the
|
| 63 |
+
constructible interpretation, then define the symmetric extension
|
| 64 |
+
without external recursion on an ill-founded membership relation.
|
| 65 |
+
|
| 66 |
+
\subsection{The constructible choice ground}
|
| 67 |
+
|
| 68 |
+
\begin{lemma}\label{lem:constructible-consistency}
|
| 69 |
+
For every axiom $\alpha$ of $\ZFC+V=L$, its relativization
|
| 70 |
+
$\alpha^L$ is provable in $\ZF$. Consequently
|
| 71 |
+
\[
|
| 72 |
+
\Con(\ZF)\ \Longrightarrow\ \Con(\ZFC+V=L).
|
| 73 |
+
\]
|
| 74 |
+
Moreover, $\ZFC+V=L$ proves the generalized continuum hypothesis.
|
| 75 |
+
\end{lemma}
|
| 76 |
+
|
| 77 |
+
\begin{proof}
|
| 78 |
+
The constructible-universe theorem proves, in $\ZF$, the
|
| 79 |
+
relativization to $L$ of every $\ZF$ axiom, of Choice, and of
|
| 80 |
+
$V=L$. These are assertions for each individual axiom instance,
|
| 81 |
+
including the instances of Separation and Replacement. See
|
| 82 |
+
\cite[Theorem~4.7, Lemma~4.10, Corollary~4.13, and
|
| 83 |
+
Theorems~4.14 and~4.18]{Welch2020}.
|
| 84 |
+
|
| 85 |
+
Relativization commutes with Boolean connectives and preserves
|
| 86 |
+
first-order inference when quantifiers are restricted to the
|
| 87 |
+
nonempty interpreted domain. A finite contradiction proof from
|
| 88 |
+
$\ZFC+V=L$ would therefore yield, by relativizing each line and
|
| 89 |
+
using the finitely many required interpreted axioms, a
|
| 90 |
+
contradiction proof from $\ZF$. This proves the consistency
|
| 91 |
+
implication. The same constructible-universe theorem proves GCH
|
| 92 |
+
in $L$, hence proves GCH from $\ZFC+V=L$.
|
| 93 |
+
\end{proof}
|
| 94 |
+
|
| 95 |
+
In this choice ground the parameters of the construction are
|
| 96 |
+
\[
|
| 97 |
+
\kappa=\aleph_1,\qquad \mu=\aleph_2,\qquad I=\aleph_3.
|
| 98 |
+
\]
|
| 99 |
+
These are a convenient specialization of the arbitrary-ground
|
| 100 |
+
parameters in Section~\ref{sec:forcing}. GCH gives
|
| 101 |
+
\[
|
| 102 |
+
\mu^{\aleph_0}=(2^\kappa)^{\aleph_0}=\mu.
|
| 103 |
+
\]
|
| 104 |
+
Since $\kappa=\aleph_1$, this is the bound
|
| 105 |
+
$\mu^{<\kappa}=\mu$ used in the construction. CH also gives
|
| 106 |
+
$\kappa^{<\kappa}=\kappa$ here, but that additional equality is
|
| 107 |
+
not an assumption of the arbitrary-ground argument. The required
|
| 108 |
+
general bounds were proved in
|
| 109 |
+
Equation~\eqref{eq:ground-countable-arithmetic} and its preceding
|
| 110 |
+
paragraph. The set constructions and ground wellorderings used
|
| 111 |
+
earlier are available in $\ZFC+V=L$. In particular, $\Theta$ in
|
| 112 |
+
the monoid rearrangement need only be a sufficiently large regular
|
| 113 |
+
cardinal; no inaccessible cardinal or satisfaction predicate for
|
| 114 |
+
the universe is required.
|
| 115 |
+
|
| 116 |
+
\subsection{Symmetric forcing as a first-order interpretation}
|
| 117 |
+
|
| 118 |
+
We now justify the interpretation machinery used with
|
| 119 |
+
Equation~\eqref{eq:construction-internal-forcing}. The point is
|
| 120 |
+
not only to obtain the elementary set axioms: every instance of
|
| 121 |
+
Separation and Replacement must hold for arbitrary-rank names.
|
| 122 |
+
|
| 123 |
+
\begin{lemma}[The symmetric forcing schema]
|
| 124 |
+
\label{lem:symmetric-forcing-schema}
|
| 125 |
+
For each fixed formula $\varphi$ in the language of set theory,
|
| 126 |
+
the relation
|
| 127 |
+
\[
|
| 128 |
+
p\forces_{\HS_{\mathcal S}}\varphi(\tau_1,\ldots,\tau_n)
|
| 129 |
+
\]
|
| 130 |
+
is definable in $\ZFC$, with $\mathcal S$ as a parameter and
|
| 131 |
+
$\tau_1,\ldots,\tau_n\in\HS_{\mathcal S}$.
|
| 132 |
+
It satisfies the forcing rules for first-order logic with equality
|
| 133 |
+
and the symmetry lemma. For each axiom $\alpha$ of $\ZF$,
|
| 134 |
+
including each Separation and Replacement instance, $\ZFC$
|
| 135 |
+
proves
|
| 136 |
+
\[
|
| 137 |
+
\mathcal S\text{ is a set symmetric system}
|
| 138 |
+
\quad\Longrightarrow\quad
|
| 139 |
+
1\forces_{\HS_{\mathcal S}}\alpha.
|
| 140 |
+
\]
|
| 141 |
+
\end{lemma}
|
| 142 |
+
|
| 143 |
+
\begin{proof}
|
| 144 |
+
Atomic forcing is defined by the usual recursion on names.
|
| 145 |
+
For a fixed formula, extend these atomic definitions through its
|
| 146 |
+
finitely many connectives and quantifiers, restricting quantified
|
| 147 |
+
names to $\HS_{\mathcal S}$. For example, define
|
| 148 |
+
\[
|
| 149 |
+
D_{\varphi,\vec\tau}
|
| 150 |
+
=\{q\in\mathbb Q:(\exists\sigma\in\HS_{\mathcal S})\
|
| 151 |
+
q\forces_{\HS_{\mathcal S}}\varphi(\sigma,\vec\tau)\}.
|
| 152 |
+
\]
|
| 153 |
+
Existential forcing is characterized by
|
| 154 |
+
\begin{equation}\label{eq:symmetric-existential-density}
|
| 155 |
+
p\forces_{\HS_{\mathcal S}}\exists x\,\varphi(x,\vec\tau)
|
| 156 |
+
\quad\Longleftrightarrow\quad
|
| 157 |
+
D_{\varphi,\vec\tau}\text{ is dense below }p.
|
| 158 |
+
\end{equation}
|
| 159 |
+
The set $D_{\varphi,\vec\tau}$ exists by Separation from $\mathbb Q$.
|
| 160 |
+
The class of names and the hereditary symmetry predicate are
|
| 161 |
+
definable by set-theoretic recursion. Thus all the displayed
|
| 162 |
+
relations are ordinary first-order predicates. This construction
|
| 163 |
+
is a schema indexed externally by formulas; it asserts no
|
| 164 |
+
single satisfaction predicate for all formulas.
|
| 165 |
+
|
| 166 |
+
The logical and symmetry rules follow by induction on a fixed
|
| 167 |
+
formula, with the internal name recursion supplying the atomic
|
| 168 |
+
case. The resulting symmetric-model theorem and its forcing
|
| 169 |
+
relation are standard; see
|
| 170 |
+
\cite[Equations~(15.39)--(15.41) and Lemma~15.51]{Jech2003}
|
| 171 |
+
and \cite[Section~2.1, p.~4]{Karagila2026}.
|
| 172 |
+
We recall the parts that ensure the full axiom schemata.
|
| 173 |
+
|
| 174 |
+
Fix an arbitrary formula $\varphi(x,\vec a)$ and
|
| 175 |
+
hereditarily symmetric names $\sigma,\vec\tau$ for its set and
|
| 176 |
+
parameters. A Separation name uses the pairs
|
| 177 |
+
$(\rho,q)\in\dom(\sigma)\times\mathbb Q$ for which
|
| 178 |
+
\[
|
| 179 |
+
q\forces_{\HS_{\mathcal S}}
|
| 180 |
+
\rho\in\sigma\ \wedge\ \varphi(\rho,\vec\tau).
|
| 181 |
+
\]
|
| 182 |
+
The intersection of the stabilizers of $\sigma$ and the finitely
|
| 183 |
+
many parameter names fixes this name. That intersection belongs
|
| 184 |
+
to $\mathcal F$, and every member name is hereditarily symmetric.
|
| 185 |
+
The atomic forcing rules and
|
| 186 |
+
Equation~\eqref{eq:symmetric-existential-density} verify that it
|
| 187 |
+
is the required subset. No restriction on $\varphi$ or on the
|
| 188 |
+
rank of $\sigma$ has been imposed.
|
| 189 |
+
|
| 190 |
+
Write $\operatorname{nrk}(\eta)$ for the name-rank
|
| 191 |
+
\[
|
| 192 |
+
\operatorname{nrk}(\eta)=
|
| 193 |
+
\sup\{\operatorname{nrk}(\zeta)+1:(\zeta,r)\in\eta\}.
|
| 194 |
+
\]
|
| 195 |
+
For Replacement, fix a formula $\psi(x,y,\vec a)$, a domain
|
| 196 |
+
name $\sigma$, and parameter names $\vec\tau$. For each pair
|
| 197 |
+
$(\rho,q)\in\dom(\sigma)\times\mathbb Q$ for which some
|
| 198 |
+
hereditarily symmetric name $\eta$ satisfies
|
| 199 |
+
\[
|
| 200 |
+
q\forces_{\HS_{\mathcal S}}\psi(\rho,\eta,\vec\tau),
|
| 201 |
+
\]
|
| 202 |
+
take the least possible name-rank of such an $\eta$.
|
| 203 |
+
This defines an ordinal-valued function on a ground set.
|
| 204 |
+
Replacement in the ground bounds all these ranks strictly below
|
| 205 |
+
one ordinal $\beta$. All $\mathbb Q$-names of name-rank less
|
| 206 |
+
than $\beta$ form a set. Consequently
|
| 207 |
+
\[
|
| 208 |
+
\dot B_\beta=
|
| 209 |
+
\{(\eta,1):\eta\in\HS_{\mathcal S},\
|
| 210 |
+
\operatorname{nrk}(\eta)<\beta\}
|
| 211 |
+
\]
|
| 212 |
+
is a set name. Every automorphism preserves name-rank and
|
| 213 |
+
hereditary symmetry, so $\dot B_\beta$ is fixed by the whole
|
| 214 |
+
group and belongs to $\HS_{\mathcal S}$.
|
| 215 |
+
|
| 216 |
+
Below a condition forcing totality of the relation on $\sigma$,
|
| 217 |
+
local witnesses from
|
| 218 |
+
Equation~\eqref{eq:symmetric-existential-density} can therefore
|
| 219 |
+
be replaced, at the same witnessing conditions, by names occurring
|
| 220 |
+
in $\dot B_\beta$. This gives a set bounding the required
|
| 221 |
+
witnesses. When the relation is functional, Separation in that
|
| 222 |
+
set gives its image. The bound $\beta$ depends on the particular
|
| 223 |
+
domain name and formula; it is not a bound on the universe of
|
| 224 |
+
names.
|
| 225 |
+
|
| 226 |
+
For Power Set, normalize a name for a subset of $\sigma$ using
|
| 227 |
+
member names from $\dom(\sigma)$ and the forcing tests for
|
| 228 |
+
membership in that subset. The normalized names lie in the
|
| 229 |
+
ground set $\mathcal P(\dom(\sigma)\times\mathbb Q)$.
|
| 230 |
+
Use all hereditarily symmetric candidates, under the conditions
|
| 231 |
+
forcing that they are subsets of $\sigma$. The stabilizer of
|
| 232 |
+
$\sigma$ permutes this collection, giving a hereditarily
|
| 233 |
+
symmetric power-set name. Every symmetric subset has such a
|
| 234 |
+
normalization, so the name supplies the entire internal power set.
|
| 235 |
+
Check names and the canonical pairing and union constructions
|
| 236 |
+
supply the remaining elementary existence axioms.
|
| 237 |
+
|
| 238 |
+
The usual internal name-rank argument verifies Foundation.
|
| 239 |
+
Equivalently, the interpreted hereditary class is membership-closed
|
| 240 |
+
inside the ordinary forcing extension: an element of an
|
| 241 |
+
HS-valued set has an active member name of an HS name.
|
| 242 |
+
Extensionality and Foundation then inherit their witnesses from
|
| 243 |
+
the ordinary extension. This argument concerns first-order
|
| 244 |
+
Foundation and does not assume that an arbitrary model is
|
| 245 |
+
externally well founded.
|
| 246 |
+
|
| 247 |
+
All these name constructions and forcing verifications are proofs
|
| 248 |
+
in the ground theory, for the chosen formula. They prove the
|
| 249 |
+
asserted schema. They use local existential witnesses rather
|
| 250 |
+
than a maximum principle for symmetric forcing; that maximum
|
| 251 |
+
principle need not hold
|
| 252 |
+
\cite[Proposition~10.26]{KaragilaNotes2026}.
|
| 253 |
+
\end{proof}
|
| 254 |
+
|
| 255 |
+
\subsection{The extension of an arbitrary countable model}
|
| 256 |
+
|
| 257 |
+
Let $M=(|M|,E^M)$ be a countable, possibly ill-founded model of
|
| 258 |
+
$\ZFC$. Suppose $M$ contains a set symmetric system
|
| 259 |
+
$\mathcal S$. Its internal poset determines the external set
|
| 260 |
+
\[
|
| 261 |
+
Q^M=\{p\in|M|:M\models p\in\mathbb Q\},
|
| 262 |
+
\]
|
| 263 |
+
with the order interpreted by $M$. An $M$-generic filter means
|
| 264 |
+
a filter on this poset meeting the interpretation of every
|
| 265 |
+
$D\in|M|$ for which $M$ asserts that $D$ is dense in
|
| 266 |
+
$\mathbb Q$.
|
| 267 |
+
|
| 268 |
+
Such a filter exists through any prescribed condition. Enumerate
|
| 269 |
+
these dense-set codes externally and choose a descending sequence
|
| 270 |
+
meeting them successively. Internal density really supplies an
|
| 271 |
+
external strengthening in $Q^M$, since its witnesses are elements
|
| 272 |
+
of the domain of $M$. The upward closure of the chosen sequence
|
| 273 |
+
is the required generic filter $G$. No closure property of
|
| 274 |
+
$\mathbb Q$ and no well-foundedness of $E^M$ are needed here.
|
| 275 |
+
|
| 276 |
+
Let $\mathcal N^M$ be the external set of elements of $M$ which
|
| 277 |
+
$M$ regards as $\mathbb Q$-names. Define
|
| 278 |
+
\begin{align}
|
| 279 |
+
\sigma\sim_G\tau
|
| 280 |
+
&\quad\Longleftrightarrow\quad
|
| 281 |
+
(\exists p\in G)\ M\models p\forces\sigma=\tau,
|
| 282 |
+
\label{eq:internal-name-equivalence}\\
|
| 283 |
+
[\sigma]_G\ E_G\ [\tau]_G
|
| 284 |
+
&\quad\Longleftrightarrow\quad
|
| 285 |
+
(\exists p\in G)\ M\models p\forces\sigma\in\tau.
|
| 286 |
+
\label{eq:internal-name-membership}
|
| 287 |
+
\end{align}
|
| 288 |
+
The equality and substitution laws proved internally in $M$,
|
| 289 |
+
together with directedness of $G$, make $\sim_G$ an equivalence
|
| 290 |
+
relation and make $E_G$ independent of representatives.
|
| 291 |
+
The quotient of all internal names is the ordinary extension
|
| 292 |
+
structure $M[G]$. Its substructure $W$ consists of the equivalence
|
| 293 |
+
classes having a representative which $M$ regards as hereditarily
|
| 294 |
+
symmetric. Both are external set structures, since $|M|$ is a set.
|
| 295 |
+
The ordinary forcing quotient over nontransitive models is
|
| 296 |
+
described in \cite[Section~4, p.~12]{Williams2019}.
|
| 297 |
+
|
| 298 |
+
\begin{lemma}[Truth for the symmetric quotient]
|
| 299 |
+
\label{lem:arbitrary-model-symmetric-truth}
|
| 300 |
+
For each standard first-order formula $\varphi$ and internal
|
| 301 |
+
hereditarily symmetric names $\vec\tau$,
|
| 302 |
+
\[
|
| 303 |
+
W\models\varphi([\vec\tau]_G)
|
| 304 |
+
\quad\Longleftrightarrow\quad
|
| 305 |
+
(\exists p\in G)\ M\models
|
| 306 |
+
p\forces_{\HS_{\mathcal S}}\varphi(\vec\tau).
|
| 307 |
+
\]
|
| 308 |
+
In particular $W\models\ZF$.
|
| 309 |
+
\end{lemma}
|
| 310 |
+
|
| 311 |
+
\begin{proof}
|
| 312 |
+
Induct externally on the finite syntax of the standard formula,
|
| 313 |
+
using atomic formulas, conjunction, negation, and existential
|
| 314 |
+
quantification. The atomic case is
|
| 315 |
+
Equations~\eqref{eq:internal-name-equivalence} and
|
| 316 |
+
\eqref{eq:internal-name-membership}; atomic symmetric forcing
|
| 317 |
+
agrees with ordinary forcing. Conjunction uses a common
|
| 318 |
+
strengthening of two conditions in $G$ and monotonicity.
|
| 319 |
+
|
| 320 |
+
For negation, the set of conditions deciding the particular
|
| 321 |
+
formula is an internally definable dense subset of $\mathbb Q$.
|
| 322 |
+
It belongs to $M$ by the Separation instance for its defining
|
| 323 |
+
forcing predicate. Genericity gives a deciding condition in $G$.
|
| 324 |
+
The induction hypothesis excludes the wrong decision, and
|
| 325 |
+
directedness excludes conditions in $G$ forcing opposite answers.
|
| 326 |
+
|
| 327 |
+
Suppose $p\in G$ symmetrically forces an existential statement.
|
| 328 |
+
The set of local witness conditions in
|
| 329 |
+
Equation~\eqref{eq:symmetric-existential-density}, together with
|
| 330 |
+
the conditions incompatible with $p$, is another internally
|
| 331 |
+
definable dense set. Genericity meets its first part. The internal
|
| 332 |
+
witness is an actual element of $|M|$ which $M$ regards as an HS
|
| 333 |
+
name. Its equivalence class is a witness in $W$ by induction.
|
| 334 |
+
Conversely, a witness in $W$ has an internal HS representative;
|
| 335 |
+
apply induction to that representative and the elementary
|
| 336 |
+
existential forcing rule.
|
| 337 |
+
|
| 338 |
+
This proves the truth equivalence for every standard formula.
|
| 339 |
+
Lemma~\ref{lem:symmetric-forcing-schema}, applied in $M$ to each
|
| 340 |
+
standard $\ZF$ axiom instance, now gives $W\models\ZF$.
|
| 341 |
+
The proof never evaluates a name by external recursion over
|
| 342 |
+
$E^M$. Nor does it require a truth predicate in $M$ for all
|
| 343 |
+
formulas, including its possible nonstandard formula codes.
|
| 344 |
+
\end{proof}
|
| 345 |
+
|
| 346 |
+
The membership-closed assertion used above can also be seen
|
| 347 |
+
directly in this quotient. If $[\sigma]_G E_G[\tau]_G$ and
|
| 348 |
+
$\tau$ is internally HS, the atomic forcing rule and genericity
|
| 349 |
+
provide an active member name $\rho$ of $\tau$ with
|
| 350 |
+
$[\rho]_G=[\sigma]_G$. Heredity makes $\rho$ internally HS.
|
| 351 |
+
Thus $W$ and $M[G]$ have the same members of each $W$-object.
|
| 352 |
+
This relational form of transitivity does not make $E_G$ an
|
| 353 |
+
externally well-founded relation.
|
| 354 |
+
|
| 355 |
+
\subsection{Applying the construction}
|
| 356 |
+
|
| 357 |
+
The internal forcing assertion
|
| 358 |
+
\eqref{eq:construction-internal-forcing} can now be used in a
|
| 359 |
+
countable choice ground whether or not its membership relation is
|
| 360 |
+
externally well founded.
|
| 361 |
+
|
| 362 |
+
\begin{proof}[Proof of Theorem~\ref{thm:main-consistency}]
|
| 363 |
+
Assume $\Con(\ZF)$. By
|
| 364 |
+
Lemma~\ref{lem:constructible-consistency},
|
| 365 |
+
$\ZFC+V=L$ is consistent. Completeness and downward
|
| 366 |
+
L\"owenheim--Skolem give a countable model $M$ of this theory.
|
| 367 |
+
No transitivity or external well-foundedness is asserted.
|
| 368 |
+
|
| 369 |
+
Interpret the construction inside $M$ and choose an external
|
| 370 |
+
$M$-generic filter on its internal poset as above. Form the
|
| 371 |
+
symmetric quotient $W$ using
|
| 372 |
+
Equations~\eqref{eq:internal-name-equivalence} and
|
| 373 |
+
\eqref{eq:internal-name-membership}.
|
| 374 |
+
Lemma~\ref{lem:arbitrary-model-symmetric-truth} gives full $\ZF$
|
| 375 |
+
in $W$. The same lemma, applied to
|
| 376 |
+
Equation~\eqref{eq:construction-internal-forcing}, gives
|
| 377 |
+
\[
|
| 378 |
+
W\models\ZF+\PP+\neg\AC+\ACwo.
|
| 379 |
+
\]
|
| 380 |
+
Soundness therefore yields
|
| 381 |
+
$\Con(\ZF+\PP+\ACwo+\neg\AC)$, as required.
|
| 382 |
+
|
| 383 |
+
Equivalently, one can extract the consistency implication directly
|
| 384 |
+
from finite proofs. A purported contradiction proof from the
|
| 385 |
+
target theory uses only finitely many $\ZF$ instances.
|
| 386 |
+
Translate its lines into symmetric forcing. The logical forcing
|
| 387 |
+
rules preserve its inferences;
|
| 388 |
+
Lemma~\ref{lem:symmetric-forcing-schema} supplies its $\ZF$
|
| 389 |
+
axioms; and Equation~\eqref{eq:construction-internal-forcing}
|
| 390 |
+
supplies $\PP$, $\ACwo$, and $\neg\AC$. This would make a nonempty
|
| 391 |
+
poset force a contradiction, contrary to its atomic forcing laws.
|
| 392 |
+
It therefore gives a contradiction proof in $\ZFC+V=L$, which
|
| 393 |
+
the constructible interpretation translates into one in $\ZF$.
|
| 394 |
+
This argument uses no stronger model-existence assumption.
|
| 395 |
+
\end{proof}
|
| 396 |
+
|
| 397 |
+
\subsection{The separate transitive-model conclusion}
|
| 398 |
+
|
| 399 |
+
\begin{proof}[Proof of Theorem~\ref{thm:main-transitive}]
|
| 400 |
+
Work in a $\ZFC$ metatheory, and let $V$ be the given
|
| 401 |
+
countable transitive model of $\ZFC$. Carry out
|
| 402 |
+
Theorem~\ref{thm:construction-summary} inside $V$, using its
|
| 403 |
+
parameters
|
| 404 |
+
\[
|
| 405 |
+
\kappa=\omega_1^V,\qquad
|
| 406 |
+
\mu=\bigl((2^{\aleph_0})^+\bigr)^V,\qquad
|
| 407 |
+
I=(\mu^+)^V.
|
| 408 |
+
\]
|
| 409 |
+
These are the arbitrary-choice-ground parameters of the
|
| 410 |
+
construction.
|
| 411 |
+
|
| 412 |
+
Enumerate externally the dense subsets of the constructed poset
|
| 413 |
+
which belong to $V$, and recursively choose a descending
|
| 414 |
+
sequence meeting them. Its upward-generated filter $G$ is
|
| 415 |
+
$V$-generic. Here genuine well-founded recursion on ground names
|
| 416 |
+
is available, since $V$ is transitive. Define
|
| 417 |
+
\[
|
| 418 |
+
W=\{\tau^G:\tau\in\HS^V\}.
|
| 419 |
+
\]
|
| 420 |
+
The set symmetric-extension theorem gives transitive models
|
| 421 |
+
$V\subseteq W\subseteq V[G]$ with the same ordinals, and gives
|
| 422 |
+
all of $\ZF$ in $W$.
|
| 423 |
+
Theorem~\ref{thm:construction-summary} supplies
|
| 424 |
+
$\PP$, $\neg\AC$, and $\ACwo$ in this same $W$, together
|
| 425 |
+
with its stated preservation of countable sequences from any fixed
|
| 426 |
+
ground set. To obtain the last assertion of
|
| 427 |
+
Theorem~\ref{thm:main-transitive}, let $f\in W$ be a countable
|
| 428 |
+
sequence of elements of $V$. Its rank in $V[G]$ is bounded by a
|
| 429 |
+
ground ordinal $\alpha$, since forcing preserves the ordinals.
|
| 430 |
+
Ranks of ground sets are absolute between these transitive models,
|
| 431 |
+
so the range of $f$ lies in the ground set $(V_\alpha)^V$.
|
| 432 |
+
The preservation assertion of Theorem~\ref{thm:construction-summary}
|
| 433 |
+
applied to this set gives $f\in V$. This proves the stated
|
| 434 |
+
transitive-model conclusion.
|
| 435 |
+
|
| 436 |
+
This is a separate model-existence deduction. The ordinary
|
| 437 |
+
consistency proof permits an externally ill-founded ground and
|
| 438 |
+
does not itself assert the existence of a transitive model.
|
| 439 |
+
\end{proof}
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/monoid.tex
ADDED
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|
| 1 |
+
\section{A monoid of diagrams}\label{sec:monoid}
|
| 2 |
+
|
| 3 |
+
The forcing construction will compare a diagram with its translated
|
| 4 |
+
subdiagrams. We first construct the monoid that indexes these
|
| 5 |
+
translations. Its two extension operations serve different purposes:
|
| 6 |
+
one realizes finitely many prescribed overlaps, and the other inserts
|
| 7 |
+
many new positions with a prescribed set of old divisors. A further
|
| 8 |
+
property of the construction will control symmetries along countable
|
| 9 |
+
systems of subdiagrams.
|
| 10 |
+
|
| 11 |
+
All constructions in this section take place in a universe satisfying
|
| 12 |
+
$\ZFC$. No inaccessible cardinal is used. Fix an infinite cardinal
|
| 13 |
+
$\mu\geq\aleph_1$ such that $\mu^{\aleph_0}=\mu$.
|
| 14 |
+
|
| 15 |
+
\subsection{The required algebra and the construction theorem}
|
| 16 |
+
|
| 17 |
+
Let $M$ be a monoid with identity $1$. Write $x\sqsubseteq y$ if $xz=y$ for
|
| 18 |
+
some $z$. We use only left cancellation. A monoid is \emph{conical}
|
| 19 |
+
if $xy=1$ implies $x=y=1$. Left cancellation and conicality make
|
| 20 |
+
$\sqsubseteq$ a partial order and make the right factor in a comparison
|
| 21 |
+
unique. Write $x\sqsubset y$ for $x\sqsubseteq y$ and $x\ne y$,
|
| 22 |
+
and $\downarrow a=\{x:x\sqsubseteq a\}$.
|
| 23 |
+
A \emph{conditional join} is an element $x\vee y$ satisfying
|
| 24 |
+
\[
|
| 25 |
+
xM\cap yM=(x\vee y)M
|
| 26 |
+
\]
|
| 27 |
+
whenever the intersection is nonempty. Thus a join is required exactly
|
| 28 |
+
when the two elements have a common right multiple.
|
| 29 |
+
An \emph{ideal} in $\downarrow a$ will mean a nonempty downward closed
|
| 30 |
+
subset closed under finite nonempty joins. These joins exist because
|
| 31 |
+
$a$ is an upper bound.
|
| 32 |
+
|
| 33 |
+
An inclusion $B\subseteq M$ is \emph{conservative} if it preserves and
|
| 34 |
+
reflects comparisons, preserves their right factors, preserves existing
|
| 35 |
+
joins, and preserves the absence of a common right multiple. In
|
| 36 |
+
particular, if $x,y\in B$ and $xz=y$ in $M$, then $z\in B$ and the
|
| 37 |
+
same equation holds in $B$. Mere injectivity is not this property.
|
| 38 |
+
|
| 39 |
+
We shall also keep real-valued height and cost functions $\rho,\epsilon$
|
| 40 |
+
on $M$, writing $\epsilon_x=\epsilon(x)$, and satisfying
|
| 41 |
+
\begin{equation}\label{eq:mono-margin}
|
| 42 |
+
\begin{gathered}
|
| 43 |
+
0<\rho(x)<1,\qquad 0<\epsilon_x\leq1,\\
|
| 44 |
+
\rho(y)-\rho(x)>
|
| 45 |
+
\sup\{\epsilon_d:d\sqsubseteq y,\ d\not\sqsubseteq x\}
|
| 46 |
+
\qquad(x\sqsubset y).
|
| 47 |
+
\end{gathered}
|
| 48 |
+
\end{equation}
|
| 49 |
+
An empty supremum of costs is understood to be zero.
|
| 50 |
+
|
| 51 |
+
\begin{lemma}\label{lem:mono-countable-ideal}
|
| 52 |
+
If a monoid has conditional joins and satisfies
|
| 53 |
+
Equation~\eqref{eq:mono-margin}, every ideal in $\downarrow a$ has a
|
| 54 |
+
nondecreasing cofinal sequence of length $\omega$, with repetitions
|
| 55 |
+
allowed. The same conclusion holds in any $\ZFC$ extension in which
|
| 56 |
+
the monoid, order, heights and costs retain their meanings, for ideals
|
| 57 |
+
belonging to that extension.
|
| 58 |
+
\end{lemma}
|
| 59 |
+
\begin{proof}
|
| 60 |
+
For an ideal $U$, choose elements whose heights approach
|
| 61 |
+
$\sup\rho[U]$, and replace their successive initial segments by their
|
| 62 |
+
finite joins. This gives a nondecreasing sequence $(n_i)$ in $U$
|
| 63 |
+
with heights approaching the same supremum. If $d\in U$ divides
|
| 64 |
+
none of the $n_i$, then
|
| 65 |
+
\[
|
| 66 |
+
\rho(n_i\vee d)-\rho(n_i)>\epsilon_d
|
| 67 |
+
\]
|
| 68 |
+
for every $i$, contradicting convergence to the supremum. Prepending
|
| 69 |
+
$1$ makes $n_0=1$. The proof applies in the stated extension as well;
|
| 70 |
+
its choices are made in that $\ZFC$ universe.
|
| 71 |
+
\end{proof}
|
| 72 |
+
|
| 73 |
+
Here is the finite overlap condition used below. Take finitely many
|
| 74 |
+
copies $\{i\}\times M$. For each pair of distinct copies prescribe
|
| 75 |
+
either no overlap or elements $a_{ij},a_{ji}\in M$ and the
|
| 76 |
+
identifications
|
| 77 |
+
\[
|
| 78 |
+
(i,a_{ij}x)\sim(j,a_{ji}x)\qquad(x\in M).
|
| 79 |
+
\]
|
| 80 |
+
We call the prescription \emph{valid} if these pair identifications,
|
| 81 |
+
together with equality, already form an equivalence relation and do
|
| 82 |
+
not identify distinct elements of any one copy. In particular,
|
| 83 |
+
transitive closure is not allowed to create extra overlaps.
|
| 84 |
+
|
| 85 |
+
\begin{theorem}\label{thm:monoid}
|
| 86 |
+
There is a monoid $T$ of cardinality $\mu$, with a distinguished
|
| 87 |
+
$e\ne1$, having the following properties.
|
| 88 |
+
\begin{enumerate}
|
| 89 |
+
\item $T$ is left cancellative and conical, has conditional joins,
|
| 90 |
+
and has heights and costs satisfying Equation~\eqref{eq:mono-margin}.
|
| 91 |
+
\item Every valid finite overlap prescription on copies of $T$ is
|
| 92 |
+
realized by left translations $x\mapsto l_i x$ in $T$, with exactly
|
| 93 |
+
the prescribed identifications.
|
| 94 |
+
\item For $a,b\in T$ with $b\ne1$, and every ideal
|
| 95 |
+
$U\subseteq\downarrow a$, there are $\mu$ distinct elements $m$ with
|
| 96 |
+
\begin{equation}\label{eq:mono-probes}
|
| 97 |
+
\begin{gathered}
|
| 98 |
+
mb=ae,\qquad m\not\sqsubseteq a,\qquad
|
| 99 |
+
\downarrow m\cap\downarrow a=U,\\
|
| 100 |
+
n\vee m=ae\quad(n\sqsubseteq a,\ n\notin U).
|
| 101 |
+
\end{gathered}
|
| 102 |
+
\end{equation}
|
| 103 |
+
The cones of distinct elements in this family intersect exactly in
|
| 104 |
+
$aeT$. Moreover $|T\setminus eT|=\mu$.
|
| 105 |
+
\item For every countable subset of $T$ there is a countable
|
| 106 |
+
submonoid $T_0$ containing it and a continuous conservative tower
|
| 107 |
+
starting at $T_0$ and ending at $T$. Each successor step has one of
|
| 108 |
+
the following properties:
|
| 109 |
+
\begin{enumerate}
|
| 110 |
+
\item no new element divides an old element;
|
| 111 |
+
\item every new element $w$ with an old right multiple has a least
|
| 112 |
+
old right multiple $g(w)$, and
|
| 113 |
+
\begin{equation}\label{eq:mono-gate-old}
|
| 114 |
+
d\text{ old},\quad g(w)\sqsubseteq wd
|
| 115 |
+
\quad\Longrightarrow\quad wd\text{ old}.
|
| 116 |
+
\end{equation}
|
| 117 |
+
\end{enumerate}
|
| 118 |
+
Here ``old'' means belonging to the base of that particular successor
|
| 119 |
+
step, and the comparisons may be tested in the final monoid.
|
| 120 |
+
\end{enumerate}
|
| 121 |
+
\end{theorem}
|
| 122 |
+
|
| 123 |
+
For diagrams indexed by $T$, the finite-merger clause supplies a common
|
| 124 |
+
larger diagram for finitely many copies with compatible overlaps. The
|
| 125 |
+
probe clause supplies $\mu$ copies with one prescribed intersection
|
| 126 |
+
pattern: for $n\sqsubseteq a$, the cone $nT$ contains $mT$ exactly when
|
| 127 |
+
$n\in U$, and otherwise meets it in $aeT$. The margin makes every such
|
| 128 |
+
ideal countably cofinal. The countable-base clause serves a different
|
| 129 |
+
purpose: it will allow suitably extendible positions below a countable
|
| 130 |
+
path to be moved into a countable submonoid. We formulate that descent
|
| 131 |
+
precisely at the end of the section and use it to bound the residual
|
| 132 |
+
symmetries of diagrams.
|
| 133 |
+
|
| 134 |
+
We prove the theorem through two extension lemmas. They preserve more
|
| 135 |
+
than the order: keeping right factors and nonjoins fixed is what permits
|
| 136 |
+
the operations to be rearranged over a countable submonoid.
|
| 137 |
+
|
| 138 |
+
\subsection{The extension that inserts a probe}
|
| 139 |
+
|
| 140 |
+
Suppose $M$ has all the algebraic and margin properties above.
|
| 141 |
+
Fix $a,b,e\in M$, with $b,e\ne1$, and a nondecreasing path
|
| 142 |
+
\begin{equation}\label{eq:mono-path}
|
| 143 |
+
1=n_0\sqsubseteq n_1\sqsubseteq\cdots\sqsubseteq a,
|
| 144 |
+
\qquad n_id_i=n_{i+1},\qquad n_ic_i=a.
|
| 145 |
+
\end{equation}
|
| 146 |
+
Left cancellation gives $d_ic_{i+1}=c_i$.
|
| 147 |
+
Form the monoid presentation over $M$ with new generators $p_i$ and
|
| 148 |
+
relations
|
| 149 |
+
\begin{equation}\label{eq:mono-probe-relations}
|
| 150 |
+
p_i=d_ip_{i+1},\qquad p_ib=c_ie\qquad(i<\omega).
|
| 151 |
+
\end{equation}
|
| 152 |
+
Put $m=p_0$. Since $n_0=1$ and $n_id_i=n_{i+1}$, the first
|
| 153 |
+
relations give $n_ip_i=m$ for every $i$. Thus every point of the path
|
| 154 |
+
divides the new probe. The second relations make both factorizations
|
| 155 |
+
in Figure~\ref{fig:probe-divisibility} end at $ae$:
|
| 156 |
+
\[
|
| 157 |
+
n_ip_ib=n_ic_ie=ae,\qquad mb=ae.
|
| 158 |
+
\]
|
| 159 |
+
These identities explain the presentation, but do not yet establish
|
| 160 |
+
its exact divisor profile. We must prove that no old divisor of $a$
|
| 161 |
+
outside the path's downward closure is inserted below $m$, that $m$
|
| 162 |
+
does not divide $a$, and that every omitted divisor meets $m$ first
|
| 163 |
+
at $ae$. The next lemma proves these
|
| 164 |
+
claims even for new divisors of $a$ introduced by the same extension.
|
| 165 |
+
|
| 166 |
+
\input{figures/probe-divisibility}
|
| 167 |
+
|
| 168 |
+
\begin{lemma}\label{lem:mono-probe-algebra}
|
| 169 |
+
The presented extension $M'$ is left cancellative and conical, has
|
| 170 |
+
conditional joins, and conservatively contains $M$. Every new element
|
| 171 |
+
with an old right multiple has a least old right multiple, and
|
| 172 |
+
Equation~\eqref{eq:mono-gate-old} holds at this extension.
|
| 173 |
+
For $m=p_0$,
|
| 174 |
+
\begin{equation}\label{eq:mono-probe-profile}
|
| 175 |
+
\begin{gathered}
|
| 176 |
+
mb=ae,\qquad m\not\sqsubseteq a,\qquad
|
| 177 |
+
\downarrow m\cap\downarrow a=\bigcup_i\downarrow n_i,\\
|
| 178 |
+
x\vee m=ae\qquad
|
| 179 |
+
(x\sqsubseteq a,\ x\not\sqsubseteq m),
|
| 180 |
+
\end{gathered}
|
| 181 |
+
\end{equation}
|
| 182 |
+
where the downsets and joins in this display are computed in $M'$.
|
| 183 |
+
\end{lemma}
|
| 184 |
+
|
| 185 |
+
\begin{proof}
|
| 186 |
+
\smallskip\noindent\textit{Normal forms.}
|
| 187 |
+
Let $S$ be the direct limit of the sets $M$ under the maps
|
| 188 |
+
$x\mapsto xd_i$. Write $[x,i]$ for the image of $x$ at stage $i$.
|
| 189 |
+
Equality in this direct limit means equality at a finite common stage.
|
| 190 |
+
The transition maps need not be injective: no right cancellation has
|
| 191 |
+
been assumed. Nevertheless the left $M$-action on $S$ is injective
|
| 192 |
+
for each multiplier. Indeed, equality after multiplying two letters
|
| 193 |
+
by an old $u$ becomes $uX=uY$ at a common stage, where left
|
| 194 |
+
cancellation gives $X=Y$.
|
| 195 |
+
|
| 196 |
+
There are well-defined equivariant maps
|
| 197 |
+
\[
|
| 198 |
+
k([x,i])=xc_i,\qquad h(s)=k(s)e.
|
| 199 |
+
\]
|
| 200 |
+
The identity $d_ic_{i+1}=c_i$ proves well-definedness. Before imposing
|
| 201 |
+
the second relation in Equation~\eqref{eq:mono-probe-relations}, the
|
| 202 |
+
normal forms are strings
|
| 203 |
+
\[
|
| 204 |
+
s_1\cdots s_j y\qquad(s_i\in S,\ y\in M),
|
| 205 |
+
\]
|
| 206 |
+
including $j=0$. The letter $[x,i]$ represents $xp_i$.
|
| 207 |
+
Old factors between new generators are absorbed into the following
|
| 208 |
+
letter, and the transition relations are precisely equality in $S$.
|
| 209 |
+
Multiplication concatenates strings, using the left action to absorb
|
| 210 |
+
the terminal old factor of the first string.
|
| 211 |
+
|
| 212 |
+
The remaining reductions are
|
| 213 |
+
\begin{equation}\label{eq:mono-reduction}
|
| 214 |
+
s(bt)\longmapsto h(s)t,
|
| 215 |
+
\end{equation}
|
| 216 |
+
where $t$ is a letter of $S$ or a terminal old element. The quotient
|
| 217 |
+
$t$ is unique because the left $b$-action is injective. Each reduction
|
| 218 |
+
removes one new letter. The only overlapping reductions occur in
|
| 219 |
+
$s\,(bt)\,(bu)$, with the final factor possibly terminal. Reducing
|
| 220 |
+
in either order gives the same result by
|
| 221 |
+
\[
|
| 222 |
+
h(bt)=b h(t),\qquad h(h(s)t)=h(s)h(t).
|
| 223 |
+
\]
|
| 224 |
+
Disjoint reductions commute by associativity of the action. By Newman's
|
| 225 |
+
lemma \cite{Newman1942} (see \cite[Lemma~5.13]{DershowitzPlaisted2001}), these
|
| 226 |
+
local diamonds and termination give unique irreducibles: besides the
|
| 227 |
+
old elements, they are strings whose first letter is arbitrary and
|
| 228 |
+
whose later letters and terminal factor are not left-divisible by $b$.
|
| 229 |
+
|
| 230 |
+
Old left multipliers act injectively on these forms. Left multiplication
|
| 231 |
+
by a letter $s$ either prepends $s$, when the input is not a $b$-multiple,
|
| 232 |
+
or sends $bZ$ to $h(s)Z$. Both cases are injective. Their ranges are
|
| 233 |
+
disjoint, because
|
| 234 |
+
\begin{equation}\label{eq:mono-head-separation}
|
| 235 |
+
s\notin h(s)S.
|
| 236 |
+
\end{equation}
|
| 237 |
+
To see this, $s\in xS$ implies $x\sqsubseteq k(s)$, whereas
|
| 238 |
+
$k(s)e\not\sqsubseteq k(s)$ by conicality and left cancellation.
|
| 239 |
+
Thus every left multiplication is injective. A new word can become
|
| 240 |
+
old only by consuming its first letter, at which point it is a multiple
|
| 241 |
+
of $h(s)\ne1$. It cannot equal $1$, proving conicality.
|
| 242 |
+
|
| 243 |
+
\smallskip\noindent\textit{Old cones and the first-letter blocks.}
|
| 244 |
+
For $s\in S$, let $B_s$ consist of all irreducibles beginning with $s$.
|
| 245 |
+
For old $x$ the normal forms give
|
| 246 |
+
\begin{equation}\label{eq:mono-old-cone}
|
| 247 |
+
xM'=xM\ \cup\!\bigcup_{s\in xS}B_s.
|
| 248 |
+
\end{equation}
|
| 249 |
+
At a common stage in the direct limit,
|
| 250 |
+
$xS\cap yS$ is $(x\vee y)S$ if the old join exists, and is empty
|
| 251 |
+
if the old cones are disjoint. Thus old comparisons, their right
|
| 252 |
+
factors, joins and nonjoins are unchanged. Notice that this conclusion
|
| 253 |
+
has not used a join theorem for arbitrary new words.
|
| 254 |
+
|
| 255 |
+
\smallskip\noindent\textit{Exits and gates.}
|
| 256 |
+
Fix an irreducible $w=sY$. Right multiplication either leaves its
|
| 257 |
+
first letter intact or eventually consumes that letter. We prove the
|
| 258 |
+
following precise alternative: the set $wM'\setminus B_s$ is empty,
|
| 259 |
+
or it is one cone $g(w)M'$ whose root $g(w)$ is old. Thus the gate
|
| 260 |
+
will describe every exit from the fixed-head block, not only the old
|
| 261 |
+
multiples of $w$.
|
| 262 |
+
|
| 263 |
+
The first letter is consumed exactly when the suffix becomes a
|
| 264 |
+
$b$-multiple, so first calculate $YM'\cap bM'$. If $Y$ is old,
|
| 265 |
+
Equation~\eqref{eq:mono-old-cone} gives the old join $Y\vee b$,
|
| 266 |
+
or an empty intersection. If $Y$ is new with head $t$,
|
| 267 |
+
irreducibility gives $t\notin bS$. No member of $B_t$ is then a
|
| 268 |
+
$b$-multiple. By induction on the number of letters in the suffix,
|
| 269 |
+
all possible exits of $Y$ form the old-rooted cone $g(Y)M'$, if
|
| 270 |
+
there are any. Its intersection with $bM'$ is calculated by the
|
| 271 |
+
old join $g(Y)\vee b$.
|
| 272 |
+
|
| 273 |
+
In either case the suffix intersection is empty or is $zM'$ for
|
| 274 |
+
an old $z=bu$ with old $u$. The factor $u$ is old by conservation
|
| 275 |
+
of old comparisons. In the nonempty case, multiplication by $s$
|
| 276 |
+
and the reduction $sbu=h(s)u$ give
|
| 277 |
+
\begin{equation}\label{eq:mono-gate-formula}
|
| 278 |
+
wM'\setminus B_s=g(w)M',\qquad g(w)=h(s)u.
|
| 279 |
+
\end{equation}
|
| 280 |
+
This cone cannot return to $B_s$: every new head in it belongs to
|
| 281 |
+
$h(s)S$, whereas $s\notin h(s)S$ by
|
| 282 |
+
Equation~\eqref{eq:mono-head-separation}. This proves the exit
|
| 283 |
+
alternative. Every old multiple of $w$ lies outside $B_s$, so
|
| 284 |
+
$g(w)$ is in particular its least old multiple.
|
| 285 |
+
|
| 286 |
+
We record also the right factor $c(w)$ with $wc(w)=g(w)$.
|
| 287 |
+
If $Y$ is old, it is the old quotient of $z$ by $Y$.
|
| 288 |
+
If $Y$ is new and $Yc(Y)=g(Y)$, it is
|
| 289 |
+
\begin{equation}\label{eq:mono-gate-quotient}
|
| 290 |
+
c(w)=c(Y)v,
|
| 291 |
+
\qquad g(Y)v=z.
|
| 292 |
+
\end{equation}
|
| 293 |
+
All quotients in this recursion are old except the already constructed
|
| 294 |
+
$c(Y)$. This explicit calculation will ensure conservation of right
|
| 295 |
+
factors when the same presentation is simulated over a larger base.
|
| 296 |
+
|
| 297 |
+
Append an old $d$ to $w$. If the product leaves $B_s$, its first
|
| 298 |
+
letter has been consumed; that reduction can occur only after all
|
| 299 |
+
intervening letters have been consumed. The result is then entirely
|
| 300 |
+
old. Since the gate cone is disjoint from $B_s$, the hypothesis
|
| 301 |
+
$g(w)\sqsubseteq wd$ implies just such an exit. This proves
|
| 302 |
+
Equation~\eqref{eq:mono-gate-old}.
|
| 303 |
+
|
| 304 |
+
\smallskip\noindent\textit{All conditional joins.}
|
| 305 |
+
For two forms with the same head, cancel that head and intersect their
|
| 306 |
+
suffix cones, using induction on the total number of new letters.
|
| 307 |
+
For old $x$ and new $w\in B_s$, either $s\in xS$, in which case
|
| 308 |
+
$x\sqsubseteq w$, or every common multiple must leave $B_s$.
|
| 309 |
+
The latter intersection is computed through $g(w)$ and an old join.
|
| 310 |
+
For $w\in B_s$ and $v\in B_t$ with $s\ne t$, an intersection
|
| 311 |
+
inside $B_s$ requires $g(v)$ to divide a member of $B_s$. By
|
| 312 |
+
Equation~\eqref{eq:mono-old-cone} it then divides all of $B_s$, so
|
| 313 |
+
$v\sqsubseteq w$. The symmetric case is the same. Otherwise a
|
| 314 |
+
common multiple must leave both blocks, and the intersection is
|
| 315 |
+
computed by the old join of their gates. Missing gates or missing
|
| 316 |
+
old joins give an empty intersection. This proves conditional joins
|
| 317 |
+
in every case.
|
| 318 |
+
|
| 319 |
+
\smallskip\noindent\textit{The prescribed divisor profile.}
|
| 320 |
+
For any letter $s$, the old divisors of every element of $B_s$ form
|
| 321 |
+
\begin{equation}\label{eq:mono-letter-ideal}
|
| 322 |
+
P_s=\{x\in M:s\in xS\}\subseteq\downarrow k(s).
|
| 323 |
+
\end{equation}
|
| 324 |
+
This is an ideal: common-stage representatives and old joins prove
|
| 325 |
+
join closure. For the head $[1,0]$ of $m=p_0$, it is precisely
|
| 326 |
+
$\bigcup_i\downarrow_M n_i$, and the gate is $ae$. The defining
|
| 327 |
+
relation gives $mb=ae$. Since $ae\not\sqsubseteq a$, no member
|
| 328 |
+
of $B_{[1,0]}$ divides $a$; in particular $m\not\sqsubseteq a$.
|
| 329 |
+
|
| 330 |
+
Now let $x$ be a new divisor of $a$. It is outside that block and
|
| 331 |
+
has an old gate $g(x)\sqsubseteq a$. If $x\sqsubseteq m$, the
|
| 332 |
+
comparison leaves its block, so $g(x)\sqsubseteq m$, and the old
|
| 333 |
+
profile puts $g(x)$ below some $n_i$. Conversely $x\sqsubseteq n_i$
|
| 334 |
+
implies $x\sqsubseteq m$. If $x\not\sqsubseteq m$, its gate also
|
| 335 |
+
fails to divide $m$. The possibility $m\sqsubseteq x$ is excluded
|
| 336 |
+
by $x\sqsubseteq a$. The gate calculation consequently gives
|
| 337 |
+
$x\vee m=g(x)\vee m=ae$. The corresponding assertions for old
|
| 338 |
+
$x$ follow directly from its block membership. This proves
|
| 339 |
+
Equation~\eqref{eq:mono-probe-profile}, including new divisors of $a$.
|
| 340 |
+
\end{proof}
|
| 341 |
+
|
| 342 |
+
\subsection{Extending the real heights}
|
| 343 |
+
|
| 344 |
+
The gate description also controls the costs of all newly introduced
|
| 345 |
+
divisors. This is the reason for keeping a cost as well as a height:
|
| 346 |
+
pointwise strict inequalities alone would not control suprema at a
|
| 347 |
+
limit stage.
|
| 348 |
+
|
| 349 |
+
\begin{lemma}\label{lem:mono-probe-heights}
|
| 350 |
+
The height and cost functions on $M$ extend to the probe extension
|
| 351 |
+
$M'$ so that Equation~\eqref{eq:mono-margin} holds. For any old
|
| 352 |
+
comparison, its missed-cost supremum is unchanged.
|
| 353 |
+
\end{lemma}
|
| 354 |
+
\begin{proof}
|
| 355 |
+
Use $P_s$ from Equation~\eqref{eq:mono-letter-ideal}, and put
|
| 356 |
+
$A_s=\sup\rho[P_s]$. We place the whole block $B_s$ in a short
|
| 357 |
+
height interval above its old divisors and below $\rho(h(s))$.
|
| 358 |
+
Here $h(s)$ is the gate of the bare letter $s$; the gate of a longer
|
| 359 |
+
word in $B_s$, when present, is a multiple of $h(s)$ and need not
|
| 360 |
+
equal it. The interval must leave enough room for the costs of both
|
| 361 |
+
the old divisors and the new words. More precisely, there are
|
| 362 |
+
positive $u_s,\delta_s$ with
|
| 363 |
+
\begin{equation}\label{eq:mono-height-interval}
|
| 364 |
+
\begin{split}
|
| 365 |
+
u_s-A_s&>\delta_s,\\
|
| 366 |
+
\rho(h(s))-u_s-\delta_s
|
| 367 |
+
&>\sup\{\epsilon_d:d\sqsubseteq h(s),\ d\in M\setminus P_s\}.
|
| 368 |
+
\end{split}
|
| 369 |
+
\end{equation}
|
| 370 |
+
Indeed, put $p=\rho(k(s))-A_s\geq0$ and
|
| 371 |
+
$q=\rho(h(s))-\rho(k(s))>0$. For $d\sqsubseteq k(s)$ missing
|
| 372 |
+
$P_s$, every $x\in P_s$ misses $d$, and the old margin yields
|
| 373 |
+
$\epsilon_d<\rho(k(s))-\rho(x)$. The supremum of these costs is
|
| 374 |
+
at most $p$. The supremum for $d\sqsubseteq h(s)$ not dividing
|
| 375 |
+
$k(s)$ is strictly below $q$. Thus the full supremum on the right
|
| 376 |
+
of Equation~\eqref{eq:mono-height-interval} is strictly less than
|
| 377 |
+
$p+q=\rho(h(s))-A_s$, also when $p=0$. This leaves the required
|
| 378 |
+
positive room for $u_s$ and $\delta_s$.
|
| 379 |
+
|
| 380 |
+
Define recursively on irreducibles
|
| 381 |
+
\begin{equation}\label{eq:mono-probe-height-definition}
|
| 382 |
+
\begin{gathered}
|
| 383 |
+
\rho(sY)=u_s+\delta_s\rho(Y),\qquad
|
| 384 |
+
0<\epsilon_{sY}\leq\delta_s\epsilon_Y,\\
|
| 385 |
+
\epsilon_{sY}\leq\epsilon_{g(sY)}
|
| 386 |
+
\quad\text{whenever the gate exists}.
|
| 387 |
+
\end{gathered}
|
| 388 |
+
\end{equation}
|
| 389 |
+
These choices give heights in $(0,1)$ and costs in $(0,1]$.
|
| 390 |
+
We verify all comparisons, including the suprema.
|
| 391 |
+
|
| 392 |
+
For two elements in one block $B_s$, a divisor of the upper element
|
| 393 |
+
from outside that block also divides the lower one. An old divisor
|
| 394 |
+
belongs to $P_s$; a new divisor with a different head must enter by
|
| 395 |
+
its old gate, which then divides every member of $B_s$.
|
| 396 |
+
Inside the block, cancellation removes $s$, and the margin follows
|
| 397 |
+
by induction from the factor $\delta_s$ in both height differences
|
| 398 |
+
and cost bounds.
|
| 399 |
+
|
| 400 |
+
Suppose an old $x$ lies strictly below $sY$. Then $x\in P_s$.
|
| 401 |
+
A missed divisor outside $B_s$ is old in $P_s$, or has an old gate
|
| 402 |
+
there of at least its cost. For such an old divisor $d$ missing
|
| 403 |
+
$x$, the join $x\vee d$ lies in $P_s$, and hence
|
| 404 |
+
\[
|
| 405 |
+
\epsilon_d<\rho(x\vee d)-\rho(x)\leq A_s-\rho(x).
|
| 406 |
+
\]
|
| 407 |
+
Their supremum is at most $A_s-\rho(x)$. Divisors inside $B_s$
|
| 408 |
+
have cost at most $\delta_s$. Equation~\eqref{eq:mono-height-interval}
|
| 409 |
+
makes $\rho(sY)-\rho(x)$ strictly larger than both bounds.
|
| 410 |
+
|
| 411 |
+
Suppose $sY$ lies strictly below an old $y$. Then
|
| 412 |
+
$h(s)\sqsubseteq y$. Every divisor of $y$ missing $sY$ is old
|
| 413 |
+
outside $P_s$, or has a gate there with at least its cost: a gate
|
| 414 |
+
in $P_s$ would put the divisor below all of $B_s$.
|
| 415 |
+
Among these old costs, those for divisors of $h(s)$ are bounded by
|
| 416 |
+
Equation~\eqref{eq:mono-height-interval}. If $y\ne h(s)$, the
|
| 417 |
+
remaining costs have supremum strictly below
|
| 418 |
+
$\rho(y)-\rho(h(s))$ by the old margin. The total gap
|
| 419 |
+
$\rho(y)-\rho(sY)$ is the sum of two positive gaps and exceeds both
|
| 420 |
+
cost suprema. This proves this comparison case.
|
| 421 |
+
|
| 422 |
+
Distinct comparable new blocks have an intervening old gate, so the
|
| 423 |
+
preceding cases apply transitively. To justify this use, if
|
| 424 |
+
$x<z<y$, any divisor of $y$ missing $x$ either divides $z$ and
|
| 425 |
+
misses $x$, or misses $z$; the sum of the two positive height gaps
|
| 426 |
+
strictly dominates both relevant suprema.
|
| 427 |
+
|
| 428 |
+
Finally, for old $x<y$, any new divisor $d$ of $y$ missing $x$
|
| 429 |
+
has an old gate $g(d)\sqsubseteq y$ missing $x$, with
|
| 430 |
+
$\epsilon_d\leq\epsilon_{g(d)}$. No new cost increases the old
|
| 431 |
+
supremum, while every old divisor remains present. The supremum is
|
| 432 |
+
therefore exactly unchanged. This also proves persistence of the
|
| 433 |
+
margins at unions of a conservative tower of these extensions.
|
| 434 |
+
\end{proof}
|
| 435 |
+
|
| 436 |
+
\subsection{The extension that merges finitely many copies}
|
| 437 |
+
|
| 438 |
+
\begin{lemma}\label{lem:mono-merger}
|
| 439 |
+
Let $M$ satisfy the algebraic and margin hypotheses, and let a finite
|
| 440 |
+
nonempty overlap prescription on copies of $M$ be valid. There is a
|
| 441 |
+
conservative extension realizing it by left translations. The
|
| 442 |
+
extension is left cancellative and conical, has conditional joins,
|
| 443 |
+
and admits extending heights and costs satisfying
|
| 444 |
+
Equation~\eqref{eq:mono-margin}. No new element divides an old one.
|
| 445 |
+
\end{lemma}
|
| 446 |
+
\begin{proof}
|
| 447 |
+
Let $D$ be the prescribed quotient of the copies, writing $t_i x$
|
| 448 |
+
for the image of $x$ in copy $i$. This quotient carries one layer
|
| 449 |
+
of the required overlaps; strings of its elements will complete that
|
| 450 |
+
layer to a monoid. It is a right $M$-set and each
|
| 451 |
+
map $x\mapsto t_i x$ is injective. On $D$ use the order
|
| 452 |
+
$z\sqsubseteq w$ when $zq=w$ for some $q\in M$; left cancellation
|
| 453 |
+
and conicality inside a representing copy make this a partial order.
|
| 454 |
+
Its right cones have conditional joins. Within one copy this is the
|
| 455 |
+
old join. For elements represented in different copies, every common
|
| 456 |
+
multiple must lie in their specified overlap, if there is one.
|
| 457 |
+
In each copy join the element with the start of that overlap; transfer
|
| 458 |
+
the two resulting elements into the overlap and join there. A missing
|
| 459 |
+
join at any step means that the original cones are disjoint. This
|
| 460 |
+
calculates exactly their intersection, because every common multiple
|
| 461 |
+
must pass through both of those preliminary joins.
|
| 462 |
+
|
| 463 |
+
Adjoin generators $l_i$ with the specified relations
|
| 464 |
+
$l_i a_{ij}=l_j a_{ji}$. The normal forms are
|
| 465 |
+
\begin{equation}\label{eq:mono-merger-forms}
|
| 466 |
+
xz_1\cdots z_j\qquad(x\in M,\ z_i\in D),
|
| 467 |
+
\end{equation}
|
| 468 |
+
including $j=0$. Each relation acts inside a new-generator/old-factor
|
| 469 |
+
pair, exactly as in $D$; it changes neither the number of new letters
|
| 470 |
+
nor the preceding old coefficient. This proves uniqueness of the
|
| 471 |
+
forms. Multiplication acts by the leading old coefficient of the
|
| 472 |
+
second word on the last $D$-letter of the first, and then appends the
|
| 473 |
+
remaining letters. For a fixed $z=t_i a$, the map $y\mapsto zy$
|
| 474 |
+
is injective by left cancellation in copy $i$. Together with old
|
| 475 |
+
left cancellation, this proves cancellation for arbitrary products of
|
| 476 |
+
forms. Letter count proves conicality and that no new word divides
|
| 477 |
+
an old element.
|
| 478 |
+
|
| 479 |
+
Unlike the probe extension, this construction never consumes a new
|
| 480 |
+
letter. Its cones are therefore read from the final letter rather
|
| 481 |
+
than from the first-letter blocks used above. For a positive-length
|
| 482 |
+
word, right multiplication fixes the prefix before its final letter,
|
| 483 |
+
advances that letter within its $D$-cone, and possibly appends further
|
| 484 |
+
letters. More explicitly, compare
|
| 485 |
+
$xz_1\cdots z_p$ and $yt_1\cdots t_q$ with $p,q>0$.
|
| 486 |
+
A common multiple requires $x=y$ and equality of the letters before
|
| 487 |
+
position $\min(p,q)$. If $p=q$, their intersection is obtained by
|
| 488 |
+
joining $z_p$ and $t_p$ in $D$, or is empty if that join is absent.
|
| 489 |
+
If $p<q$, a common multiple exists exactly when $z_p$ divides $t_p$
|
| 490 |
+
in the right $M$-set $D$; then the first word divides the second and
|
| 491 |
+
the second is their join. The case $q<p$ is symmetric.
|
| 492 |
+
An old $x$ and a positive-length word with head $y$ have a common
|
| 493 |
+
multiple exactly when $x\sqsubseteq y$, in which case $x$ divides
|
| 494 |
+
that word. Two old words use their old join, because the heads of
|
| 495 |
+
common multiples are precisely their old common multiples.
|
| 496 |
+
These descriptions prove conditional joins and preserve old comparisons,
|
| 497 |
+
quotients and nonjoins. The words $l_i x$ have exactly the
|
| 498 |
+
identifications in $D$, as required.
|
| 499 |
+
|
| 500 |
+
It remains to supply margins. If the number of copies is $r$, set
|
| 501 |
+
\[
|
| 502 |
+
\rho_D(z)=\frac1r\sum_{i<r}\rho_i(z),\qquad
|
| 503 |
+
\rho_i(z)=
|
| 504 |
+
\begin{cases}
|
| 505 |
+
\rho(x),&z=t_i x,\\
|
| 506 |
+
0,&z\text{ has no representation in copy }i.
|
| 507 |
+
\end{cases}
|
| 508 |
+
\]
|
| 509 |
+
Each coordinate is nondecreasing along a comparison, and some
|
| 510 |
+
coordinate increases strictly in a proper comparison. Choose positive
|
| 511 |
+
costs with
|
| 512 |
+
\[
|
| 513 |
+
\epsilon^D_z\leq\frac1r
|
| 514 |
+
\min\bigl(\{\rho(1)/2\}\cup
|
| 515 |
+
\{\epsilon_x:z=t_i x\text{ for some }i\}\bigr).
|
| 516 |
+
\]
|
| 517 |
+
For $u<v$ in $D$, classify a divisor $d$ of $v$ missing $u$ by a
|
| 518 |
+
copy representing $d$. That copy also represents $v$. If it
|
| 519 |
+
represents $u$, its old margin bounds the supremum of these costs
|
| 520 |
+
strictly below its coordinate increase divided by $r$. Otherwise
|
| 521 |
+
that increase is at least $\rho(1)$, while each such cost is at most
|
| 522 |
+
$\rho(1)/(2r)$. There are only finitely many copies, so their strict
|
| 523 |
+
bounds still give the required strict supremum bound for
|
| 524 |
+
$\rho_D(v)-\rho_D(u)$.
|
| 525 |
+
|
| 526 |
+
Choose $\theta,\phi>0$ with $\theta+\phi<1$, and recursively set
|
| 527 |
+
\begin{equation}\label{eq:mono-merger-heights}
|
| 528 |
+
\begin{split}
|
| 529 |
+
\rho(wz)&=\rho(w)+(1-\rho(w))(\theta+\phi\rho_D(z)),\\
|
| 530 |
+
0<\epsilon_{wz}&\leq
|
| 531 |
+
(1-\rho(w))\min(\theta/2,\phi\epsilon^D_z).
|
| 532 |
+
\end{split}
|
| 533 |
+
\end{equation}
|
| 534 |
+
For comparable new words of equal length only their last letters
|
| 535 |
+
vary; missed divisors of that length are handled by the scaled
|
| 536 |
+
$D$-margin, and all shorter divisors divide both words. For a word
|
| 537 |
+
$w$ compared with $wz$, every missed divisor has the new length and
|
| 538 |
+
prefix $w$, so its cost is at most $(1-\rho(w))\theta/2$, strictly
|
| 539 |
+
less than the height increase. An arbitrary comparison factors
|
| 540 |
+
through these comparisons, and, when the lower word is old, an old
|
| 541 |
+
comparison of leading coefficients. Transitivity of the margin,
|
| 542 |
+
proved in Lemma~\ref{lem:mono-probe-heights}, finishes the check.
|
| 543 |
+
Old cost suprema are unchanged because there are no new old divisors.
|
| 544 |
+
\end{proof}
|
| 545 |
+
|
| 546 |
+
\subsection{Conservation under simulation}
|
| 547 |
+
|
| 548 |
+
We next establish the compatibility needed to reorder the construction.
|
| 549 |
+
This step also explains why overlap prescriptions remain valid when
|
| 550 |
+
operations are scheduled before they are executed.
|
| 551 |
+
|
| 552 |
+
\begin{lemma}\label{lem:mono-simulation}
|
| 553 |
+
Suppose $B\subseteq M$ is conservative and both monoids have the
|
| 554 |
+
algebraic properties above. Either extension operation with parameters
|
| 555 |
+
in $B$ is valid over $M$, and the extension of $B$ conservatively
|
| 556 |
+
embeds into the corresponding extension of $M$ by the same generators.
|
| 557 |
+
A finite overlap prescription with parameters in $B$ is valid in $B$
|
| 558 |
+
if and only if it is valid in $M$.
|
| 559 |
+
\end{lemma}
|
| 560 |
+
\begin{proof}
|
| 561 |
+
For the last assertion, the only nontrivial transitivity check passes
|
| 562 |
+
through three copies. In the middle copy, intersect the two prescribed
|
| 563 |
+
overlap starts. If their old cones are disjoint, conservativity keeps
|
| 564 |
+
them disjoint. Otherwise their old join and its right quotients are
|
| 565 |
+
unchanged. Every later common multiple is a multiple of that join.
|
| 566 |
+
The two endpoint identifications at the join already agree in a valid
|
| 567 |
+
prescription over $B$, so right multiplication gives agreement at all
|
| 568 |
+
later common multiples. This proves validity over $M$. Conversely,
|
| 569 |
+
restrict a valid prescription to $B$. Comparisons between its old
|
| 570 |
+
parameters have their quotients in $B$, so no identification or
|
| 571 |
+
transitivity witness between elements of $B$ requires leaving $B$.
|
| 572 |
+
The restriction has exactly the indicated pair relations and is valid.
|
| 573 |
+
|
| 574 |
+
For probes, equality of two letters in the smaller direct limit is
|
| 575 |
+
preserved and reflected because it is an equality at a common finite
|
| 576 |
+
stage. If an old $b\in B$ divides a smaller letter $[x,i]$ in the
|
| 577 |
+
larger direct limit, there is a common stage at which
|
| 578 |
+
\[
|
| 579 |
+
by=x d_i\cdots d_{j-1}.
|
| 580 |
+
\]
|
| 581 |
+
Both endpoints of this comparison belong to $B$, so its right factor
|
| 582 |
+
$y$ belongs to $B$. Thus divisibility of a smaller letter by an old
|
| 583 |
+
smaller multiplier, including its quotient, is unchanged. The same
|
| 584 |
+
irreducible words therefore embed. The gate recursion uses only the
|
| 585 |
+
previous gates and old joins and quotients, so it has the same outcome,
|
| 586 |
+
including the absence of a gate. The join calculations in
|
| 587 |
+
Lemma~\ref{lem:mono-probe-algebra} now preserve and reflect joins and
|
| 588 |
+
nonjoins.
|
| 589 |
+
|
| 590 |
+
For clarity, preservation of right quotients between new forms follows
|
| 591 |
+
by a separate division argument. If both forms are old, use the base
|
| 592 |
+
hypothesis. If the divisor is old and the dividend new, divide its
|
| 593 |
+
first direct-limit letter by the preceding common-stage calculation,
|
| 594 |
+
and retain its suffix. If both forms have the same new head, cancel
|
| 595 |
+
that head and recurse on their suffixes. In the remaining cases the
|
| 596 |
+
new divisor must leave its first-letter block. Factor through its
|
| 597 |
+
gate, using the quotient in Equation~\eqref{eq:mono-gate-quotient},
|
| 598 |
+
and divide that old gate into the dividend by the first two cases.
|
| 599 |
+
Every factor obtained lies in the smaller extension. Left
|
| 600 |
+
cancellation makes their product the unique required quotient.
|
| 601 |
+
|
| 602 |
+
For mergers, representation in an overlap and intersections of cones
|
| 603 |
+
in $D$ were calculated solely using old joins and their right
|
| 604 |
+
quotients. These calculations are consequently unchanged. The
|
| 605 |
+
normal forms in Equation~\eqref{eq:mono-merger-forms} then preserve
|
| 606 |
+
comparisons, their right factors, joins and nonjoins. This proves
|
| 607 |
+
conservative simulation for both operations.
|
| 608 |
+
\end{proof}
|
| 609 |
+
|
| 610 |
+
\begin{lemma}\label{lem:mono-profile-persistence}
|
| 611 |
+
Suppose a probe satisfies Equation~\eqref{eq:mono-probe-profile} in
|
| 612 |
+
one stage of a tower of the two operations. It continues to satisfy
|
| 613 |
+
that equation at every later stage and at the union, with the full
|
| 614 |
+
later downward closure of its original path. Previously constructed
|
| 615 |
+
joins between probes are also preserved.
|
| 616 |
+
\end{lemma}
|
| 617 |
+
\begin{proof}
|
| 618 |
+
A merger introduces no new divisor of the old $a$. At a probe
|
| 619 |
+
extension, a new $x\sqsubseteq a$ has an old gate
|
| 620 |
+
$g(x)\sqsubseteq a$. If $x$ also divides the old probe, its gate
|
| 621 |
+
lies below that probe and hence below some original path element;
|
| 622 |
+
then $x$ does too. If $x$ does not divide the old probe, its gate
|
| 623 |
+
does not either. The old probe cannot divide $x$, because it does
|
| 624 |
+
not divide $a$. The join calculation through the gate therefore
|
| 625 |
+
gives $ae$ in this case. This proves both alternatives at a successor
|
| 626 |
+
step. At a limit every tested element has already appeared, and all
|
| 627 |
+
comparisons and joins have been preserved. Conservativity directly
|
| 628 |
+
preserves joins between existing probes.
|
| 629 |
+
\end{proof}
|
| 630 |
+
|
| 631 |
+
\subsection{The schedule and the countable-base rearrangement}
|
| 632 |
+
|
| 633 |
+
We now assemble the operations. The height bound ensures that the
|
| 634 |
+
apparently arbitrary ideal requirements can be scheduled using only
|
| 635 |
+
countable paths. The rearrangement proved afterward concerns the
|
| 636 |
+
same resulting monoid, not a separately constructed substitute.
|
| 637 |
+
|
| 638 |
+
\begin{proof}[Proof of Theorem~\ref{thm:monoid}]
|
| 639 |
+
\smallskip\noindent\textit{Saturating the geometric requirements.}
|
| 640 |
+
Start with the free monoid on $e$. For $n<\omega$, for example, put
|
| 641 |
+
\[
|
| 642 |
+
\rho(e^n)=1-2^{-n-1},\qquad \epsilon_{e^n}=2^{-n-3}.
|
| 643 |
+
\]
|
| 644 |
+
These satisfy Equation~\eqref{eq:mono-margin}. Perform $\omega_1$
|
| 645 |
+
rounds. At the start of a round schedule every available probe datum
|
| 646 |
+
$(a,b,(n_i))$ with the fixed $e$, and every available finite valid
|
| 647 |
+
merger. For each probe datum schedule $\mu$ successive insertions.
|
| 648 |
+
Execute the resulting wellordered list with the two lemmas, and take
|
| 649 |
+
unions at limits. Lemma~\ref{lem:mono-simulation} keeps every
|
| 650 |
+
scheduled merger valid until it is executed.
|
| 651 |
+
|
| 652 |
+
A monoid of size at most $\mu$ has at most $\mu^{\aleph_0}=\mu$
|
| 653 |
+
countable paths and at most $\mu$ finite prescriptions. A probe
|
| 654 |
+
extension uses a quotient of $M\times\omega$ and finite strings;
|
| 655 |
+
a merger uses finitely many copies and finite strings. Thus every
|
| 656 |
+
operation preserves size at most $\mu$, and each round has at most
|
| 657 |
+
$\mu$ steps. The union of $\omega_1$ such rounds still has size
|
| 658 |
+
at most $\mu$. The margin lemmas ensure that old values are never
|
| 659 |
+
changed and that old missed-cost suprema never increase, so the final
|
| 660 |
+
union $T$ has Equation~\eqref{eq:mono-margin} as well as all the
|
| 661 |
+
algebraic properties.
|
| 662 |
+
|
| 663 |
+
Given an ideal in $\downarrow_T a$, use
|
| 664 |
+
Lemma~\ref{lem:mono-countable-ideal} to obtain a cofinal path starting
|
| 665 |
+
at $1$. Its elements, $a,b$, and all its transition and terminal
|
| 666 |
+
quotients occur before one round: the set is countable and the rounds
|
| 667 |
+
have cofinality $\omega_1$. Alternatively, quotient conservativity
|
| 668 |
+
already puts every quotient into any stage containing its endpoints.
|
| 669 |
+
The corresponding requirement is scheduled. Its final lower closure
|
| 670 |
+
is the given ideal, and Lemma~\ref{lem:mono-profile-persistence}
|
| 671 |
+
therefore gives Equation~\eqref{eq:mono-probes} for the $\mu$
|
| 672 |
+
insertions. For any earlier and later insertion with the same datum, the
|
| 673 |
+
earlier probe is old but is not a divisor of $a$, so it is not an old
|
| 674 |
+
divisor of the new probe. Joining through the new probe's gate gives
|
| 675 |
+
$ae$. This join persists in the final union, proving independence.
|
| 676 |
+
|
| 677 |
+
Every final finite overlap prescription has its parameters in one
|
| 678 |
+
stage. Its validity reflects to that stage by
|
| 679 |
+
Lemma~\ref{lem:mono-simulation}, and the schedule realizes it later.
|
| 680 |
+
The realization remains exact by conservation of comparisons and
|
| 681 |
+
quotients: equality $l_i x=l_j y$ in a later stage must still factor
|
| 682 |
+
through the preserved join of the two roots, with its prescribed
|
| 683 |
+
quotients. Thus later right factors add exactly the stipulated
|
| 684 |
+
identifications and no others. Finally use $a=1,b=e$ and $U=\{1\}$.
|
| 685 |
+
Its probes have no old divisor $e$, so there are $\mu$ elements of
|
| 686 |
+
$T\setminus eT$. This proves both cardinality assertions.
|
| 687 |
+
|
| 688 |
+
\smallskip\noindent\textit{Extracting a countable initial base.}
|
| 689 |
+
It remains to prove the local construction property for this same $T$.
|
| 690 |
+
We first select countably many operations containing any prescribed
|
| 691 |
+
countable set of elements, and then perform all omitted operations over
|
| 692 |
+
their union. The resulting tower must retain the gate rule: this is what
|
| 693 |
+
will let a later descent replace a position by one born at an earlier
|
| 694 |
+
stage. Regard the
|
| 695 |
+
entire schedule as a continuous tower $(M_\alpha)_{\alpha\leq\lambda}$
|
| 696 |
+
of individual operations. Record each parameter by a finite word in
|
| 697 |
+
previous generators. Every element of the presented monoid has such
|
| 698 |
+
a word, and each equality has a finite derivation from the relations.
|
| 699 |
+
This does not assert that a whole countable path has finite support.
|
| 700 |
+
|
| 701 |
+
Choose a sufficiently large regular $\Theta$ and a countable elementary
|
| 702 |
+
submodel $N$ of $H_\Theta$ containing the tower, its presentations and
|
| 703 |
+
an enumeration of the prescribed countable subset of $T$.
|
| 704 |
+
Countable objects in $N$, in particular the parameter paths of
|
| 705 |
+
operations indexed in $N$, have all their entries in $N$.
|
| 706 |
+
First perform just the operations whose indices belong to $N$, in
|
| 707 |
+
their original order. Let $S_\alpha$ denote this subconstruction
|
| 708 |
+
using selected indices below the cut $\alpha$.
|
| 709 |
+
|
| 710 |
+
At cuts $\alpha\in N$ we have
|
| 711 |
+
\begin{equation}\label{eq:mono-elementary-cut}
|
| 712 |
+
S_\alpha=M_\alpha\cap N,
|
| 713 |
+
\end{equation}
|
| 714 |
+
with a conservative inclusion in $M_\alpha$. Here is the induction
|
| 715 |
+
justifying the assertion. Old comparisons, their quotients and joins
|
| 716 |
+
in an elementary intersection are reflected by elementarity; a
|
| 717 |
+
nonjoin remains a nonjoin in the larger monoid. Before a selected
|
| 718 |
+
operation, every parameter is already present: its finite term code
|
| 719 |
+
belongs to $N$, and all entries of a countable path in $N$ belong to
|
| 720 |
+
$N$. Conservative simulation makes that operation legal in the
|
| 721 |
+
subconstruction and embeds its result. Conversely, every element of
|
| 722 |
+
$M_\alpha\cap N$ has by elementarity a finite term code in $N$;
|
| 723 |
+
all of its finitely many generator indices belong to $N$ and precede
|
| 724 |
+
$\alpha$. It is therefore produced by the selected subconstruction.
|
| 725 |
+
This proves Equation~\eqref{eq:mono-elementary-cut} and the successor
|
| 726 |
+
step of the induction. At a cut $\alpha\notin N$, fix the finitely
|
| 727 |
+
many words in a comparison or join test. If they use selected operation
|
| 728 |
+
indices, let $\gamma$ be the greatest such index and put
|
| 729 |
+
$\beta=\gamma+1$; if there are no such indices, put $\beta=0$.
|
| 730 |
+
Then $\beta\in N$, $\beta<\alpha$, and all the words belong to
|
| 731 |
+
$S_\beta=M_\beta\cap N$. The original inclusion
|
| 732 |
+
$M_\beta\subseteq M_\alpha$ is conservative. Any right quotient or
|
| 733 |
+
conditional join required by the test therefore already lies in
|
| 734 |
+
$M_\beta$ and, by elementarity, in $N$, hence in $S_\beta$.
|
| 735 |
+
This also preserves nonjoins and proves conservation at $\alpha$.
|
| 736 |
+
Unions introduce no additional finite relation. This completes the
|
| 737 |
+
induction.
|
| 738 |
+
|
| 739 |
+
The resulting selected submonoid $T_0$ is countable: the initial
|
| 740 |
+
monoid is countable, there are countably many selected steps, and each
|
| 741 |
+
operation over a countable base adds only countably many elements.
|
| 742 |
+
It contains the prescribed sequence by its finite term codes.
|
| 743 |
+
The set of selected indices need not be an initial segment; the
|
| 744 |
+
argument has used Equation~\eqref{eq:mono-elementary-cut} only at
|
| 745 |
+
cuts belonging to $N$.
|
| 746 |
+
|
| 747 |
+
\smallskip\noindent\textit{Reinserting the omitted operations.}
|
| 748 |
+
Append now the omitted steps in their original order. Before an
|
| 749 |
+
omitted step $\alpha$, the current presentation is the union of the
|
| 750 |
+
original relations below $\alpha$ and all selected relations. It has
|
| 751 |
+
an alternative realization: start with $M_\alpha$, and then perform
|
| 752 |
+
the selected steps at indices at least $\alpha$ in their order.
|
| 753 |
+
Indeed $S_\alpha\subseteq M_\alpha$ is conservative, and repeatedly
|
| 754 |
+
simulating the selected subconstruction makes all these operations
|
| 755 |
+
legal. Each extends its whole base conservatively, so this alternative
|
| 756 |
+
realization conservatively contains $M_\alpha$. It has precisely
|
| 757 |
+
the same generators and relations as the current reordered
|
| 758 |
+
presentation. Consequently the original operation at $\alpha$ is
|
| 759 |
+
legal over the current base, by conservative simulation again.
|
| 760 |
+
Induction validates every appended step. At limits the presentations
|
| 761 |
+
are their unions; at the end their union is exactly the original
|
| 762 |
+
presentation of $T$.
|
| 763 |
+
|
| 764 |
+
Each step of this reordered tower is one of the two operations.
|
| 765 |
+
The merger has no new old divisors, and the probe extension has its
|
| 766 |
+
least-old-multiple rule, including
|
| 767 |
+
Equation~\eqref{eq:mono-gate-old}. Conservation allows those
|
| 768 |
+
comparisons to be tested in $T$. This proves the last assertion and
|
| 769 |
+
completes the theorem.
|
| 770 |
+
\end{proof}
|
| 771 |
+
|
| 772 |
+
We isolate the consequence of the local construction property that will
|
| 773 |
+
be used for symmetries. It makes explicit why a position below a
|
| 774 |
+
countable path can be moved to the countable base after finitely many
|
| 775 |
+
steps; it does not claim that every such position was in that base
|
| 776 |
+
already.
|
| 777 |
+
|
| 778 |
+
\begin{lemma}\label{lem:mono-descent}
|
| 779 |
+
Let $(n_i)$ be a nondecreasing sequence in $T$, and choose a
|
| 780 |
+
countable-base tower from Theorem~\ref{thm:monoid} whose initial
|
| 781 |
+
submonoid contains all $n_i$ and all right quotients between them.
|
| 782 |
+
Let $\mathcal A\subseteq\omega\times T$ be a set of pairs such that
|
| 783 |
+
each $(l,m)\in\mathcal A$ has $m\sqsubseteq n_N$ for some $N$.
|
| 784 |
+
Assume that for each $(l,m)\in\mathcal A$ and each $N$ there is
|
| 785 |
+
$(l',md)\in\mathcal A$ with $l'\geq l$, $n_ld=n_{l'}$, and
|
| 786 |
+
$n_N\sqsubseteq md$. Then, starting from any pair in $\mathcal A$,
|
| 787 |
+
a finite succession of these replacements reaches a pair whose second
|
| 788 |
+
coordinate belongs to the initial countable submonoid.
|
| 789 |
+
\end{lemma}
|
| 790 |
+
\begin{proof}
|
| 791 |
+
If $m$ is not in that submonoid, take its first birth step in the
|
| 792 |
+
reordered tower. It has the old multiple $n_N$, so this is a probe
|
| 793 |
+
step and its gate satisfies $g(m)\sqsubseteq n_N$. Choose an
|
| 794 |
+
admissible replacement with $n_N\sqsubseteq md$. The quotient
|
| 795 |
+
$d$ belongs to the initial submonoid and is therefore old at this
|
| 796 |
+
step. Conservation and Equation~\eqref{eq:mono-gate-old} imply
|
| 797 |
+
that $md$ belongs to the strictly earlier base. Repeat if necessary.
|
| 798 |
+
Each repetition strictly lowers the birth ordinal, so the process
|
| 799 |
+
terminates after finitely many repetitions. The resulting position
|
| 800 |
+
lies in the countable initial submonoid.
|
| 801 |
+
\end{proof}
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/build/sections/quotients.tex
ADDED
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|
| 1 |
+
\section{Exact fibers of a symbolic quotient}\label{sec:quotient-fibers}\label{sec:quotients}
|
| 2 |
+
|
| 3 |
+
Our next objective is a bijection between $A$ and each of its
|
| 4 |
+
nonwellorderable quotients. A local count of names is insufficient:
|
| 5 |
+
assignments made in two diagrams must agree whenever those diagrams
|
| 6 |
+
occur in one generic filter. We first classify local elements by the
|
| 7 |
+
subdiagrams on which they are available. We then construct bijections
|
| 8 |
+
which respect every restriction and every change of coordinates.
|
| 9 |
+
|
| 10 |
+
Throughout the quotient construction, the cardinal parameters are those
|
| 11 |
+
of Section~\ref{sec:forcing}, with the monoid $T$ supplied there by
|
| 12 |
+
Theorem~\ref{thm:monoid}. The forcing $\mathbb P$ remains the
|
| 13 |
+
ground set of diagrams, including when it is used after forcing with
|
| 14 |
+
$\mathbb R$. We use countable closure of $\mathbb R$, regularity of
|
| 15 |
+
$\kappa=\omega_1$, preservation of the ground cardinals $\mu,\mu^+$,
|
| 16 |
+
and the ground equality $\mu^{\aleph_0}=\mu$. Preservation of smaller
|
| 17 |
+
cardinals is unnecessary. In particular, $\mu$ always denotes the
|
| 18 |
+
chosen ground ordinal, not a cardinal recomputed from a new continuum.
|
| 19 |
+
All ground selections below are choices over specified sets in $V$.
|
| 20 |
+
|
| 21 |
+
Fix a hereditarily symmetric name $\dot E$ and a product condition
|
| 22 |
+
$(d_0,p)$ symmetrically forcing that $\dot E$ is an equivalence relation
|
| 23 |
+
on $A$ whose quotient is not wellorderable. Enlarge the diagram so that
|
| 24 |
+
$D_p$ supports $\dot E$ and contains $\supp_I(d_0)$. Choose $q$ with
|
| 25 |
+
$q_e=p$. Our bijection will have support $D_q$ and will be forced below
|
| 26 |
+
$(d_0,q)$. Write $G_q=\Fix(D_q)$. This group fixes $q,p,d_0$ and
|
| 27 |
+
$\dot E$ literally.
|
| 28 |
+
|
| 29 |
+
We write $F$ for an $\mathbb R$-generic filter containing $d_0$, and
|
| 30 |
+
work temporarily in $V[F]$. A product name $\tau$ determines an ordinary
|
| 31 |
+
$\mathbb P$-name $\tau[F]$ there. Thus an assertion such as
|
| 32 |
+
$r\forces\tau=\sigma$ in this section means ordinary $\mathbb P$-forcing
|
| 33 |
+
in $V[F]$, using these sections of the product names. The generic
|
| 34 |
+
notation abbreviates forcing arguments uniform below $d_0$; no claim
|
| 35 |
+
that a ground permutation acts on one fixed evaluated universe is used.
|
| 36 |
+
|
| 37 |
+
\subsection{Local names and their cardinal bound}
|
| 38 |
+
|
| 39 |
+
Recall the local name collection from
|
| 40 |
+
Equation~\eqref{eq:normalized-local-names}. A normalized subset name
|
| 41 |
+
means a subset of the ground set
|
| 42 |
+
\[
|
| 43 |
+
\{(\dot A_j,(d,s)):j\in I,
|
| 44 |
+
\ (d,s)\in\mathbb R\times\mathbb P\}.
|
| 45 |
+
\]
|
| 46 |
+
For a diagram $r$, $\mathcal X(r)$ is the ground set of all such
|
| 47 |
+
names fixed literally by $\Fix(D_r)$. Each is hereditarily symmetric,
|
| 48 |
+
since its member names are the individual label names. Normalization by
|
| 49 |
+
the forcing relation retains any given support. When $r\le q$, define
|
| 50 |
+
in $V[F]$
|
| 51 |
+
\[
|
| 52 |
+
\mathcal D_F(r)=
|
| 53 |
+
\{\tau\in\mathcal X(r):
|
| 54 |
+
r\forces\tau\text{ is an }\dot E\text{-class}\}/\mathord\sim_r,
|
| 55 |
+
\qquad
|
| 56 |
+
\tau\sim_r\sigma\ \Longleftrightarrow\ r\forces\tau=\sigma.
|
| 57 |
+
\]
|
| 58 |
+
These are quotients of ground sets, so they are sets. We sometimes omit
|
| 59 |
+
$F$ from the notation. Their elements are symbolic classes of names,
|
| 60 |
+
not yet the evaluated members of $A/E$ in a product extension.
|
| 61 |
+
Lemma~\ref{lem:local-decision} applies to the
|
| 62 |
+
class and equality tests. Consequently, for $r\le s\le q$, retaining
|
| 63 |
+
the same name defines an injection
|
| 64 |
+
\begin{equation}\label{eq:symbolic-inclusion}
|
| 65 |
+
\iota_{s,r}:\mathcal D_F(s)\longrightarrow\mathcal D_F(r).
|
| 66 |
+
\end{equation}
|
| 67 |
+
Indeed, if a stronger diagram forced two local names equal, the decision
|
| 68 |
+
at $s$ would already be equality. These maps compose literally on
|
| 69 |
+
representatives. Every $j\in D_r$ has a normalized name, supported by
|
| 70 |
+
$D_r$, for its $E$-class: use the forcing relation to name the labels
|
| 71 |
+
$E$-related to $\dot A_j$. Below the present hypothesis it is an
|
| 72 |
+
eligible member of $\mathcal D_F(r)$.
|
| 73 |
+
|
| 74 |
+
\begin{lemma}[Local quotient bound]\label{lem:local-quotient-bound}
|
| 75 |
+
For every $F$ as above and every ground $r\le q$,
|
| 76 |
+
$|\mathcal D_F(r)|\le\mu$ in $V[F]$.
|
| 77 |
+
\end{lemma}
|
| 78 |
+
\begin{proof}
|
| 79 |
+
For an element choose a representative $\tau$ and a diagram $t\le r$
|
| 80 |
+
forcing $\tau=[\dot A_j]_E$ for some $j\in D_t$. The ordinary forcing
|
| 81 |
+
theorem permits deciding a representative label; extending the diagram
|
| 82 |
+
includes its index. Write $r=t_b$. By Cohen restriction in
|
| 83 |
+
Lemma~\ref{lem:local-decision}, there is $d\in F$, supported in $D_t$,
|
| 84 |
+
witnessing this $\mathbb P$-forcing assertion. Record the triple
|
| 85 |
+
\[
|
| 86 |
+
(b,x,t^{-1}d),\qquad t(x)=j,
|
| 87 |
+
\]
|
| 88 |
+
where $t^{-1}d$ is the partial binary function on $T\times\kappa$
|
| 89 |
+
obtained by replacing each coordinate $t(y)$ with $y$. Its domain has
|
| 90 |
+
size less than $\kappa$. The ground set of possible records has size
|
| 91 |
+
at most $\mu$, since $|T|=\mu$, $\kappa\le\mu$, and
|
| 92 |
+
$\mu^{<\kappa}=\mu$. Its ground enumeration remains an enumeration in
|
| 93 |
+
$V[F]$.
|
| 94 |
+
|
| 95 |
+
Suppose two chosen representatives $\tau_1,\tau_2$ have the same
|
| 96 |
+
record, witnessed by $t_1,t_2,d_1,d_2,j_1,j_2$. The ground bijection
|
| 97 |
+
$t_1(y)\mapsto t_2(y)$ agrees with the identity on $D_r$: in both
|
| 98 |
+
diagrams $r=(t_i)_b$. It maps points outside $D_r$ to points outside
|
| 99 |
+
$D_r$. Extend it to a ground permutation $\pi$ of $I$ fixing $D_r$.
|
| 100 |
+
This is possible since the two ranges have size $\mu<|I|$ and their
|
| 101 |
+
complements have the same cardinality $|I|$. Then
|
| 102 |
+
\[
|
| 103 |
+
\pi t_1=t_2,\qquad \pi d_1=d_2,\qquad \pi j_1=j_2,
|
| 104 |
+
\qquad \pi\tau_1=\tau_1.
|
| 105 |
+
\]
|
| 106 |
+
Product symmetry makes $d_2$ witness at $t_2$ equality of both
|
| 107 |
+
$\tau_1$ and $\tau_2$ with $[\dot A_{j_2}]_E$. Since $d_2\in F$,
|
| 108 |
+
$t_2$ forces $\tau_1=\tau_2$ in $V[F]$. Decision at $r$ gives the
|
| 109 |
+
same equality there. Thus distinct elements have distinct records.
|
| 110 |
+
Choosing representatives and records uses Choice in the ordinary
|
| 111 |
+
extension $V[F]$, not in the symmetric model.
|
| 112 |
+
\end{proof}
|
| 113 |
+
|
| 114 |
+
\subsection{Availability and exact multiplicities}
|
| 115 |
+
|
| 116 |
+
For $r\le q$, write $q=r_a$. For $h\in\mathcal D_F(r)$ and
|
| 117 |
+
$j\in D_r$, respectively, define
|
| 118 |
+
\begin{align}
|
| 119 |
+
U_h&=\{n\sqsubseteq a:
|
| 120 |
+
h\in\ran(\iota_{r_n,r})\},\label{eq:class-availability}\\
|
| 121 |
+
U_j&=\{n\sqsubseteq a:j\in D_{r_n}\}.
|
| 122 |
+
\label{eq:label-availability}
|
| 123 |
+
\end{align}
|
| 124 |
+
An ideal here is nonempty, downward closed, and closed under finite
|
| 125 |
+
joins. All joins needed within $\downarrow a$ exist.
|
| 126 |
+
|
| 127 |
+
\begin{lemma}[Availability ideals]\label{lem:availability-ideals}
|
| 128 |
+
Each set in Equations~\eqref{eq:class-availability} and
|
| 129 |
+
\eqref{eq:label-availability} is an ideal of $\downarrow a$.
|
| 130 |
+
Every ideal of $\downarrow a$ in $V[F]$ belongs to $V$.
|
| 131 |
+
\end{lemma}
|
| 132 |
+
\begin{proof}
|
| 133 |
+
Both sets contain $1$ and are downward closed by inclusion of
|
| 134 |
+
subdiagrams. Suppose $n,n'\in U_h$ and put $k=n\vee n'$. The ranges
|
| 135 |
+
of $r_n,r_{n'}$ intersect exactly in $D_{r_k}$. Choose supported names
|
| 136 |
+
for their representations of $h$. They are forced equal by $r$.
|
| 137 |
+
Lemma~\ref{lem:support-descent}, with root $r_k$, supplies a
|
| 138 |
+
$D_{r_k}$-supported name equal to them. Normalize it without changing
|
| 139 |
+
support. Decision at $r_k$ shows it is an $E$-class there: its
|
| 140 |
+
negation would persist to the extension $r$. Thus $k\in U_h$.
|
| 141 |
+
For labels the identical argument is the literal equality of cone
|
| 142 |
+
intersections, without any name descent.
|
| 143 |
+
|
| 144 |
+
For the final assertion, apply Lemma~\ref{lem:mono-countable-ideal}
|
| 145 |
+
in $V[F]$. The ground monoid, order, heights and costs retain their
|
| 146 |
+
meanings there, so every nonempty ideal has a countable cofinal sequence.
|
| 147 |
+
It consists of ground elements of $T$, so countable closure of
|
| 148 |
+
$\mathbb R$ puts it in $V$. Its downward closure, computed with the
|
| 149 |
+
unchanged ground order, is the original ideal. The argument applies
|
| 150 |
+
to every ideal in $V[F]$, not only to ground ideals.
|
| 151 |
+
\end{proof}
|
| 152 |
+
|
| 153 |
+
For a nonempty ideal $U\subseteq\downarrow a$, put
|
| 154 |
+
\[
|
| 155 |
+
B_{r,U}(F)=\{h\in\mathcal D_F(r):U_h=U\},\qquad
|
| 156 |
+
L_{r,U}=\{j\in D_r:U_j=U\}.
|
| 157 |
+
\]
|
| 158 |
+
The second set is ground data; the first can depend on $F$.
|
| 159 |
+
These exact fibers, rather than the whole local sets $\mathcal D_F(r)$,
|
| 160 |
+
are the pieces on which a bijection can respect restriction: a label
|
| 161 |
+
and its assigned class must remain available at precisely the same
|
| 162 |
+
subdiagrams.
|
| 163 |
+
|
| 164 |
+
\begin{lemma}[Exact fibers]\label{lem:exact-fibers}
|
| 165 |
+
For every $r\le q$ and every nonempty ideal
|
| 166 |
+
$U\subseteq\downarrow a$, where $q=r_a$, both $B_{r,U}(F)$ and
|
| 167 |
+
$L_{r,U}$ have cardinality $\mu$ in $V[F]$. The label fiber already
|
| 168 |
+
has that cardinality in $V$.
|
| 169 |
+
\end{lemma}
|
| 170 |
+
\begin{proof}
|
| 171 |
+
The common root $p$ will separate the copies used in this proof.
|
| 172 |
+
We first find a class with no representation supported by $D_p$.
|
| 173 |
+
Copying it into diagrams whose unwanted intersections are exactly
|
| 174 |
+
$D_p$ will then rule out both coincidences between copies and
|
| 175 |
+
availability at forbidden subdiagrams, by support descent.
|
| 176 |
+
|
| 177 |
+
\smallskip\noindent\textit{A class unavailable at the root.}
|
| 178 |
+
Enumerate
|
| 179 |
+
$\mathcal X(p)$ in $V$ as $(\tau_\xi:\xi<\lambda)$. The canonical
|
| 180 |
+
name for the sequence of its evaluations is hereditarily symmetric
|
| 181 |
+
with support $D_p$. Explicitly, its entries are the canonical pairs
|
| 182 |
+
$(\check\xi,\tau_\xi)$, each placed under every product condition.
|
| 183 |
+
Every member of $\Fix(D_p)$ fixes each entry literally. The range
|
| 184 |
+
of this sequence is wellorderable inside $W$: map each value to its
|
| 185 |
+
least index of occurrence. If it contained every $E$-class, the same
|
| 186 |
+
map restricted to $A/E$ would wellorder that quotient. The hypothesis
|
| 187 |
+
therefore implies, ordinarily below $(d_0,p)$, that some $E$-class
|
| 188 |
+
lies outside the evaluations of all names in $\mathcal X(p)$.
|
| 189 |
+
|
| 190 |
+
Fix $F$ containing $d_0$. By the ordinary forcing theorem choose
|
| 191 |
+
$t\le p$ and $j\in D_t$ such that $t$ forces the class of $A_j$
|
| 192 |
+
outside that entire evaluation list. Choose a witnessing Cohen
|
| 193 |
+
condition $d\in F$ supported in $D_t$, using
|
| 194 |
+
Lemma~\ref{lem:local-decision}. Write $p=t_b$. Necessarily $b\ne1$,
|
| 195 |
+
since a class represented by a label in $D_p$ has a name in
|
| 196 |
+
$\mathcal X(p)$.
|
| 197 |
+
|
| 198 |
+
\smallskip\noindent\textit{Independent copies with active Cohen conditions.}
|
| 199 |
+
As $p=r_{ae}$, the probe property of Theorem~\ref{thm:monoid}
|
| 200 |
+
supplies $\mu$ elements $m$ with $mb=ae$ and the prescribed ideal
|
| 201 |
+
$U$. The diagrams $r_m$ are copies of $t$ over $p$, with pairwise
|
| 202 |
+
intersection exactly $D_p$. Choose the ground permutations taking
|
| 203 |
+
$t$ to these diagrams and fixing $D_p$, and transport $d$ and the
|
| 204 |
+
class name along them. Their nonroot coordinate sets are disjoint.
|
| 205 |
+
This is the role of the earlier extension $q_e=p$: the availability
|
| 206 |
+
pattern is prescribed among divisors of $a$, while the common root
|
| 207 |
+
lies at $ae$, strictly beyond $a$.
|
| 208 |
+
|
| 209 |
+
There are $\mu$ copies whose transported Cohen conditions belong to
|
| 210 |
+
$F$. To see this without any $\mu$-closure assertion, partition the
|
| 211 |
+
ground family into $\mu$ ground subfamilies of size $\mu$. In each
|
| 212 |
+
subfamily the conditions extending at least one transported copy of
|
| 213 |
+
$d$ form a dense set below $d\restriction D_p$. Indeed, a Cohen
|
| 214 |
+
condition uses countably many coordinate indices; among the pairwise
|
| 215 |
+
disjoint nonroot ranges there is one it misses, and on the root the
|
| 216 |
+
two conditions agree. Their union is a Cohen condition. Genericity
|
| 217 |
+
meets each of these ground dense sets. A hit in each disjoint
|
| 218 |
+
subfamily yields $\mu$ different hits.
|
| 219 |
+
|
| 220 |
+
\smallskip\noindent\textit{Distinct classes with the prescribed exact ideal.}
|
| 221 |
+
Each hit gives a $D_{r_m}$-supported class name forced at $r_m$
|
| 222 |
+
to lie outside the evaluations of $\mathcal X(p)$. The diagram
|
| 223 |
+
$r_m$ extends $p$ but need not extend $q$; we use its class name,
|
| 224 |
+
not a set $\mathcal D_F(r_m)$. As $r$ extends $r_m$, this name
|
| 225 |
+
represents a symbolic class in the defined set $\mathcal D_F(r)$.
|
| 226 |
+
Two such
|
| 227 |
+
classes cannot be equal there: support descent over their common
|
| 228 |
+
root $p$ would supply a name in $\mathcal X(p)$ for their common
|
| 229 |
+
value, contrary to the outside assertion. If $n\in U$, then
|
| 230 |
+
$n\sqsubseteq m$, so $r_n$ extends $r_m$ and the class is available
|
| 231 |
+
at $r_n$. If $n\sqsubseteq a$ and $n\notin U$, the exact probe
|
| 232 |
+
intersection gives
|
| 233 |
+
\[
|
| 234 |
+
nT\cap mT=aeT,
|
| 235 |
+
\qquad D_{r_n}\cap D_{r_m}=D_p.
|
| 236 |
+
\]
|
| 237 |
+
Availability at $r_n$ would again descend to a name in
|
| 238 |
+
$\mathcal X(p)$, a contradiction. Its exact availability ideal is
|
| 239 |
+
therefore $U$. This gives $\mu$ distinct elements of $B_{r,U}(F)$;
|
| 240 |
+
Lemma~\ref{lem:local-quotient-bound} bounds that fiber from above.
|
| 241 |
+
|
| 242 |
+
\smallskip\noindent\textit{The label fiber.}
|
| 243 |
+
For labels use the probe centers $r(m)$. Their availability ideals
|
| 244 |
+
are exactly $\downarrow m\cap\downarrow a=U$, and distinct probes
|
| 245 |
+
have distinct centers. This supplies a ground $\mu$-subset of
|
| 246 |
+
$L_{r,U}$; the upper bound follows from $|D_r|=\mu$.
|
| 247 |
+
\end{proof}
|
| 248 |
+
|
| 249 |
+
\section{Components of subdiagrams and their stabilizers}
|
| 250 |
+
\label{sec:quotient-components}
|
| 251 |
+
|
| 252 |
+
The exact fibers have equal cardinality, but choosing their bijections
|
| 253 |
+
independently would not preserve assignments when a diagram is replaced
|
| 254 |
+
by a subdiagram. We first show that restriction identifies entire
|
| 255 |
+
exact fibers, not merely subsets of them. Following these canonical
|
| 256 |
+
identifications groups the fibers into components. Only after forming
|
| 257 |
+
the components will we choose bijections; their stabilizers determine
|
| 258 |
+
which symmetries those choices must respect.
|
| 259 |
+
|
| 260 |
+
\subsection{Contractions and canonical identifications}
|
| 261 |
+
|
| 262 |
+
A vertex is a pair $v=(r,U)$, where $r\le q$, $q=r_a$, and $U$ is a
|
| 263 |
+
nonempty ideal of $\downarrow a$. Vertices form a ground set by
|
| 264 |
+
Lemma~\ref{lem:availability-ideals}. For $n\in U$ define a
|
| 265 |
+
\emph{contraction}
|
| 266 |
+
\begin{equation}\label{eq:quotient-contraction}
|
| 267 |
+
(r,U)\longrightarrow(r_n,U_n),\qquad
|
| 268 |
+
U_n=\{x\sqsubseteq c:nx\in U\},\quad nc=a.
|
| 269 |
+
\end{equation}
|
| 270 |
+
Left multiplication preserves conditional joins. In fact cancellation
|
| 271 |
+
and the common-cone description of a join give
|
| 272 |
+
$n(x\vee y)=nx\vee ny$ whenever these elements have a common right
|
| 273 |
+
multiple. It follows that $U_n$ is an ideal. Contractions compose;
|
| 274 |
+
there is at most one contraction between fixed endpoints, since the
|
| 275 |
+
center of $r_n$ is $r(n)$ and $r$ is injective. Write $B_v(F)$ and
|
| 276 |
+
$L_v$ for the two fibers at a vertex.
|
| 277 |
+
|
| 278 |
+
\begin{lemma}[Contraction identifications]\label{lem:contraction-fibers}
|
| 279 |
+
For every contraction $v\to w$, the label fibers satisfy $L_v=L_w$,
|
| 280 |
+
and inclusion of symbolic elements gives a bijection
|
| 281 |
+
$B_w(F)\longrightarrow B_v(F)$. These identifications commute with
|
| 282 |
+
composition.
|
| 283 |
+
\end{lemma}
|
| 284 |
+
\begin{proof}
|
| 285 |
+
Let $v=(r,U)$, $w=(r_n,U_n)$, and first take a symbolic class
|
| 286 |
+
available at $r_n$. Its full availability ideal $J$ at $r$ contains
|
| 287 |
+
$n$. For $z\sqsubseteq a$, ideal closure gives
|
| 288 |
+
\[
|
| 289 |
+
z\in J\quad\Longleftrightarrow\quad z\vee n\in J.
|
| 290 |
+
\]
|
| 291 |
+
Write $z\vee n=nx$. Availability at $r_{z\vee n}$ is exactly the
|
| 292 |
+
corresponding availability at the subdiagram $(r_n)_x$ of $r_n$.
|
| 293 |
+
Thus the restricted ideal at $r_n$ determines the full ideal at $r$.
|
| 294 |
+
If that restricted ideal is $U_n$, the last test is equivalent to
|
| 295 |
+
$z\vee n\in U$, and hence to $z\in U$. Conversely, an element of
|
| 296 |
+
$B_v(F)$ is available at $r_n$ because $n\in U$, and its restricted
|
| 297 |
+
ideal is $U_n$. This proves surjectivity; injectivity follows from
|
| 298 |
+
Equation~\eqref{eq:symbolic-inclusion}. For labels use the same
|
| 299 |
+
argument with literal membership in ranges. Commutation follows
|
| 300 |
+
because all the symbolic maps retain the same representative names.
|
| 301 |
+
\end{proof}
|
| 302 |
+
|
| 303 |
+
Let a component be a connected component of the vertex system when
|
| 304 |
+
the direction of contractions is ignored. The successors of each
|
| 305 |
+
vertex are directed: contract at the join of two contraction indices.
|
| 306 |
+
Any two vertices in one component have a common successor. Indeed,
|
| 307 |
+
this holds along a single edge; along a finite path combine a common
|
| 308 |
+
successor of its initial part with the final edge, using directedness
|
| 309 |
+
of successors at the shared vertex. The same induction gives a common
|
| 310 |
+
successor for any finite set of vertices in a component.
|
| 311 |
+
|
| 312 |
+
Consequently all finite chains of the identifications in
|
| 313 |
+
Lemma~\ref{lem:contraction-fibers} are consistent. One can compare a
|
| 314 |
+
finite chain at a common successor, where both composites are the
|
| 315 |
+
same map. In a component $C$, glue the disjoint union of its $B_v(F)$
|
| 316 |
+
by these identifications and call the resulting set $B_C(F)$. Each
|
| 317 |
+
fiber maps bijectively onto $B_C(F)$. In particular, the gluing creates
|
| 318 |
+
no new identifications within one fiber. All label fibers in $C$
|
| 319 |
+
are the same ground subset of $I$; denote it by $L_C$. Both sets have
|
| 320 |
+
cardinality $\mu$ in $V[F]$.
|
| 321 |
+
|
| 322 |
+
Choose in $V$ a vertex $(r,U)$ of $C$ and a nondecreasing cofinal
|
| 323 |
+
sequence $(n_i:i<\omega)$ in $U$, with $n_0=1$. Let $v_i$ be its
|
| 324 |
+
contraction at $n_i$. This chain is cofinal in the entire component.
|
| 325 |
+
To check this, compare any vertex with $v_0$ at a common successor,
|
| 326 |
+
which is a contraction of $v_0$ at some $n\in U$. Choose $i$ with
|
| 327 |
+
$n\sqsubseteq n_i$. Then $v_i$ is a successor of that common
|
| 328 |
+
successor and hence of the given vertex.
|
| 329 |
+
|
| 330 |
+
\subsection{Only countably many residual symmetries}
|
| 331 |
+
|
| 332 |
+
The group $G_q$ acts on the ground vertex system. On symbolic fibers
|
| 333 |
+
it acts by transport between generics:
|
| 334 |
+
\begin{equation}\label{eq:symbolic-transport}
|
| 335 |
+
T_\pi^F:\mathcal D_F(r)\longrightarrow
|
| 336 |
+
\mathcal D_{\pi F}(\pi r),
|
| 337 |
+
\qquad [\tau]_r\longmapsto[\pi\tau]_{\pi r}.
|
| 338 |
+
\end{equation}
|
| 339 |
+
The forcing symmetry lemma makes this well defined, and it commutes
|
| 340 |
+
with all contraction identifications. We use the same notation for
|
| 341 |
+
transport on the glued fibers, and suppress the superscript when its
|
| 342 |
+
source generic is specified by the argument.
|
| 343 |
+
|
| 344 |
+
Let $G_C$ be the setwise stabilizer of $C$ in $G_q$. Define
|
| 345 |
+
\[
|
| 346 |
+
K_C=\bigcup_{i<\omega}\Fix(D_{r_{n_i}}).
|
| 347 |
+
\]
|
| 348 |
+
Each displayed fixer is a subgroup of $G_q$, because $D_q$ is contained
|
| 349 |
+
in every chain range. It fixes a vertex and therefore lies in $G_C$.
|
| 350 |
+
The ranges decrease, so the subgroups increase and their union is a
|
| 351 |
+
subgroup. For $\sigma\in G_C$, the moved chain is also cofinal.
|
| 352 |
+
For every $i$ there is $j$ with
|
| 353 |
+
$D_{r_{n_j}}\subseteq D_{\sigma r_{n_i}}$. Hence
|
| 354 |
+
\[
|
| 355 |
+
\sigma\Fix(D_{r_{n_i}})\sigma^{-1}
|
| 356 |
+
=\Fix(D_{\sigma r_{n_i}})\subseteq\Fix(D_{r_{n_j}}).
|
| 357 |
+
\]
|
| 358 |
+
Applying the same reasoning to $\sigma^{-1}$ proves that $K_C$ is
|
| 359 |
+
normal in $G_C$.
|
| 360 |
+
|
| 361 |
+
\begin{lemma}[Countable stabilizer quotient]\label{lem:countable-germs}
|
| 362 |
+
In the ground model, $|G_C/K_C|\le\aleph_0$.
|
| 363 |
+
\end{lemma}
|
| 364 |
+
\begin{proof}
|
| 365 |
+
Choose the countable-base tower of Theorem~\ref{thm:monoid} so that
|
| 366 |
+
its initial submonoid $T_0$ contains all $n_i$ and all right
|
| 367 |
+
quotients between them. For $\pi\in G_C$, consider its alignments
|
| 368 |
+
with contractions of the chosen vertex:
|
| 369 |
+
\[
|
| 370 |
+
\mathcal A_\pi=
|
| 371 |
+
\{(l,m)\in\omega\times U:\pi r_{n_l}=r_m\}.
|
| 372 |
+
\]
|
| 373 |
+
This set is nonempty: the moved chain is cofinal in $C$, so one of
|
| 374 |
+
its terms is a successor of $v_0$. Every second coordinate $m$ of
|
| 375 |
+
an alignment divides some $n_N$, by cofinality of $(n_i)$ in $U$.
|
| 376 |
+
|
| 377 |
+
To apply Lemma~\ref{lem:mono-descent}, fix $(l,m)\in\mathcal A_\pi$
|
| 378 |
+
and any $N$. Choose $l'\ge l$ so that $\pi v_{l'}$ is a successor
|
| 379 |
+
of $v_N$. Its diagram is $r_k$ for some $k\in U$ with
|
| 380 |
+
$n_N\sqsubseteq k$. Let $d\in T_0$ be the right quotient
|
| 381 |
+
$n_ld=n_{l'}$. Then
|
| 382 |
+
\[
|
| 383 |
+
r_k=\pi r_{n_{l'}}=(\pi r_{n_l})_d=r_{md}.
|
| 384 |
+
\]
|
| 385 |
+
Injectivity of $r$ gives $k=md$. Consequently $md\in U$,
|
| 386 |
+
$n_N\sqsubseteq md$, and $(l',md)\in\mathcal A_\pi$.
|
| 387 |
+
These are exactly the replacement hypotheses of
|
| 388 |
+
Lemma~\ref{lem:mono-descent}. Its conclusion supplies an alignment
|
| 389 |
+
$(l,m)$ with $m\in T_0$.
|
| 390 |
+
|
| 391 |
+
There are countably many resulting alignment pairs
|
| 392 |
+
$(l,m)\in\omega\times T_0$. Two permutations giving the same pair
|
| 393 |
+
agree pointwise on $D_{r_{n_l}}$; if they are $\pi$ and $\rho$,
|
| 394 |
+
then $\pi^{-1}\rho\in\Fix(D_{r_{n_l}})\subseteq K_C$.
|
| 395 |
+
Enumerate the pairs, and assign to each coset the first
|
| 396 |
+
pair realized by any of its members. Distinct cosets receive distinct
|
| 397 |
+
pairs. This proves the bound.
|
| 398 |
+
\end{proof}
|
| 399 |
+
|
| 400 |
+
\section{Equivariant assignments and the quotient bijection}
|
| 401 |
+
\label{sec:quotient-equivariance}
|
| 402 |
+
|
| 403 |
+
For each component $C$ we seek a bijection
|
| 404 |
+
$f_C(F):L_C\to B_C(F)$ satisfying
|
| 405 |
+
\begin{equation}\label{eq:component-covariance}
|
| 406 |
+
f_C(\sigma F)(\sigma j)=T_\sigma^F(f_C(F)(j))
|
| 407 |
+
\qquad(\sigma\in G_C).
|
| 408 |
+
\end{equation}
|
| 409 |
+
This is an identity between computations at different generics, not
|
| 410 |
+
an action on one fixed extension. We first construct a bijection
|
| 411 |
+
covariant under $K_C$: its elements fix a sufficiently late subdiagram,
|
| 412 |
+
so they fix the tails of suitable name codes. We then handle the
|
| 413 |
+
remaining countable quotient $G_C/K_C$. Bounded Cohen-row patterns
|
| 414 |
+
distinguish its cosets and select a transported bijection with the
|
| 415 |
+
full covariance in Equation~\eqref{eq:component-covariance}.
|
| 416 |
+
|
| 417 |
+
\subsection{An assignment invariant under a tail fixer}
|
| 418 |
+
|
| 419 |
+
For the chosen chain of $C$, let $\mathcal Q_C$ be the ground set of
|
| 420 |
+
sequences
|
| 421 |
+
\[
|
| 422 |
+
c=(\tau_i:i<\omega),\qquad \tau_i\in\mathcal X(r_{n_i}).
|
| 423 |
+
\]
|
| 424 |
+
Say that $c$ represents $b\in B_C(F)$ if, from some index onward,
|
| 425 |
+
$\tau_i$ represents an element of the exact fiber $B_{v_i}(F)$ and
|
| 426 |
+
its image in $B_C(F)$ is $b$. Finite initial segments are ignored.
|
| 427 |
+
Every $b$ has such a code: choose representatives at all chain
|
| 428 |
+
vertices in $V[F]$, using their bijections with $B_C(F)$. This is a
|
| 429 |
+
countable sequence of ground name codes, and hence belongs to $V$
|
| 430 |
+
by countable closure of $\mathbb R$.
|
| 431 |
+
|
| 432 |
+
Fix a ground wellordering of $\mathcal Q_C$, of order type $\lambda_C$.
|
| 433 |
+
Assign to $b$ its least representing code. Distinct $b$ have different
|
| 434 |
+
codes, so this defines a wellorder $<_F$ of $B_C(F)$.
|
| 435 |
+
|
| 436 |
+
\begin{lemma}[Covariance of the least-code order]
|
| 437 |
+
\label{lem:least-code-covariance}
|
| 438 |
+
For every $k\in K_C$, transport $T_k^F$ is an order isomorphism
|
| 439 |
+
from $(B_C(F),<_F)$ to $(B_C(kF),<_{kF})$. The group $K_C$ fixes
|
| 440 |
+
$L_C$ pointwise.
|
| 441 |
+
\end{lemma}
|
| 442 |
+
\begin{proof}
|
| 443 |
+
Choose $N$ such that $k$ fixes $D_{r_{n_N}}$ pointwise. For $i\ge N$
|
| 444 |
+
it fixes $r_{n_i}$ and every name in $\mathcal X(r_{n_i})$ literally.
|
| 445 |
+
Consequently each particular ground code $c$ represents $b$ at $F$
|
| 446 |
+
if and only if the \emph{same code} represents $T_k^F(b)$ at $kF$.
|
| 447 |
+
The forcing symmetry lemma proves this on the tail; the definition
|
| 448 |
+
ignores the remaining finite prefix. Thus the sets of functioning
|
| 449 |
+
codes are identical, and their minima under the fixed ground
|
| 450 |
+
wellorder are identical. This proves the order assertion. Also
|
| 451 |
+
$L_C\subseteq D_{r_{n_i}}$ for every $i$, so $k$ fixes its every
|
| 452 |
+
member.
|
| 453 |
+
\end{proof}
|
| 454 |
+
|
| 455 |
+
Let $\theta_C(F)$ be the order type of this order. It is at most
|
| 456 |
+
$\lambda_C$, since it is the order induced on a subset of the ordered
|
| 457 |
+
code set. It has cardinality $\mu$ in $V[F]$. Preservation of $\mu$
|
| 458 |
+
and $\mu^+$ implies
|
| 459 |
+
\[
|
| 460 |
+
\mu\le\theta_C(F)<\mu^+,
|
| 461 |
+
\qquad |\theta_C(F)|^V=\mu.
|
| 462 |
+
\]
|
| 463 |
+
Here the order type is an ordinal, hence a ground ordinal. The two
|
| 464 |
+
preserved cardinal endpoints justify the last equality even if smaller
|
| 465 |
+
cardinals have collapsed. In $V$, choose bijections
|
| 466 |
+
$e_\theta:\mu\longrightarrow\theta$ for the set of ordinals
|
| 467 |
+
$\theta\le\lambda_C$ with ground cardinality $\mu$. Also fix a ground
|
| 468 |
+
bijection $l_C:\mu\longrightarrow L_C$. If
|
| 469 |
+
$b_F:\theta_C(F)\longrightarrow B_C(F)$ is the unique order
|
| 470 |
+
isomorphism, define
|
| 471 |
+
\[
|
| 472 |
+
f_C^0(F)=b_F\circ e_{\theta_C(F)}\circ l_C^{-1}.
|
| 473 |
+
\]
|
| 474 |
+
This is a bijection $L_C\to B_C(F)$. All choices have been restricted
|
| 475 |
+
to sets; no simultaneous choice over a proper class of ordinals occurs.
|
| 476 |
+
Lemma~\ref{lem:least-code-covariance} gives
|
| 477 |
+
\begin{equation}\label{eq:preliminary-covariance}
|
| 478 |
+
f_C^0(kF)(j)=T_k^F\bigl(f_C^0(F)(j)\bigr)
|
| 479 |
+
\qquad(k\in K_C,\ j\in L_C).
|
| 480 |
+
\end{equation}
|
| 481 |
+
The ground wellorder of all codes need not be invariant under $k$.
|
| 482 |
+
The proof uses eventual fixation of each code's entries instead.
|
| 483 |
+
|
| 484 |
+
\subsection{Detecting and choosing a coset}
|
| 485 |
+
|
| 486 |
+
Put $\Gamma_C=G_C/K_C$, writing cosets as $\pi K_C$. It is a
|
| 487 |
+
countable ground
|
| 488 |
+
group by Lemma~\ref{lem:countable-germs}. For each nonidentity coset
|
| 489 |
+
$\delta$, choose a ground representative $\gamma_\delta$ and points
|
| 490 |
+
\[
|
| 491 |
+
s_{\delta,i}\in D_{r_{n_i}},\qquad
|
| 492 |
+
\gamma_\delta(s_{\delta,i})\ne s_{\delta,i}
|
| 493 |
+
\quad(i<\omega).
|
| 494 |
+
\]
|
| 495 |
+
Such a point exists for every $i$, since otherwise
|
| 496 |
+
$\gamma_\delta\in K_C$. Fix an enumeration of the set of nonidentity
|
| 497 |
+
cosets. For $\alpha<\kappa$ and $\pi\in G_C$, define the pattern
|
| 498 |
+
\begin{equation}\label{eq:detector-pattern}
|
| 499 |
+
P_F^\alpha(\pi K_C)=
|
| 500 |
+
\left(
|
| 501 |
+
\left[\left(A_{\pi(s_{\delta,i})}^F
|
| 502 |
+
\restriction\alpha:i<\omega\right)\right]_{\rm ev}
|
| 503 |
+
:\delta\in\Gamma_C\setminus\{1\}\right),
|
| 504 |
+
\end{equation}
|
| 505 |
+
where $[\cdot]_{\rm ev}$ denotes equivalence modulo eventual equality
|
| 506 |
+
of sequences. We regard each row as its binary characteristic
|
| 507 |
+
function. The equivalence classes in this formula are taken in the
|
| 508 |
+
ground set of sequences of subsets of $\alpha$.
|
| 509 |
+
|
| 510 |
+
This ground interpretation is legitimate. Every $\alpha<\omega_1$
|
| 511 |
+
is countable. The bounded row restrictions and all their countably
|
| 512 |
+
many coordinates, for all detectors, form a countable sequence of
|
| 513 |
+
ground bits and indices. Since $\mathbb R$ adds no such sequences,
|
| 514 |
+
these data belong to $V$. Eventual equality between ground sequences
|
| 515 |
+
has the same meaning in the extension. For all $\alpha<\kappa$
|
| 516 |
+
together the possible patterns form a ground set, on which choose a
|
| 517 |
+
ground wellorder, separately for each $\alpha$ if desired.
|
| 518 |
+
|
| 519 |
+
\begin{lemma}[A covariant coset selector]\label{lem:coset-selector}
|
| 520 |
+
Formula~\eqref{eq:detector-pattern} is independent of the
|
| 521 |
+
representative of $\pi K_C$. For each $F$ there is an
|
| 522 |
+
$\alpha<\kappa$ at which all distinct cosets have distinct patterns.
|
| 523 |
+
There is a definable selection $c_C(F)\in\Gamma_C$ satisfying
|
| 524 |
+
\begin{equation}\label{eq:coset-selector-covariance}
|
| 525 |
+
c_C(\sigma F)=\sigma c_C(F)\qquad(\sigma\in G_C).
|
| 526 |
+
\end{equation}
|
| 527 |
+
\end{lemma}
|
| 528 |
+
\begin{proof}
|
| 529 |
+
If $k\in K_C$, it fixes all $s_{\delta,i}$ once $i$ is sufficiently
|
| 530 |
+
large. Replacing $\pi$ with $\pi k$ therefore changes each detector
|
| 531 |
+
sequence in only finitely many places, proving representative
|
| 532 |
+
independence.
|
| 533 |
+
|
| 534 |
+
Suppose $\pi K_C\ne\pi'K_C$. Use the detector for
|
| 535 |
+
$\delta=(\pi^{-1}\pi')K_C$ and write
|
| 536 |
+
$\pi^{-1}\pi'=\gamma_\delta k$ with $k\in K_C$. Eventually
|
| 537 |
+
$k(s_{\delta,i})=s_{\delta,i}$, and hence
|
| 538 |
+
\[
|
| 539 |
+
\pi(s_{\delta,i})\ne\pi'(s_{\delta,i}).
|
| 540 |
+
\]
|
| 541 |
+
Distinct label indices give distinct Cohen rows. For each of these
|
| 542 |
+
tail positions choose a bit where the two rows differ. The countably
|
| 543 |
+
many bit ordinals are bounded below regular $\kappa$. Above that
|
| 544 |
+
bound the two restricted sequences disagree at every position on a
|
| 545 |
+
tail, so are unequal modulo eventual equality. There are countably
|
| 546 |
+
many pairs of cosets; a further countable supremum supplies one bound
|
| 547 |
+
that distinguishes all pairs. These choices take place in $V[F]$.
|
| 548 |
+
They use regularity of $\kappa$, not closure of $\mathbb P$.
|
| 549 |
+
|
| 550 |
+
At the least distinguishing $\alpha$, choose the coset whose pattern
|
| 551 |
+
is least in the fixed ground wellorder. If $\Gamma_C$ is trivial,
|
| 552 |
+
choose its sole element and use $\alpha=0$. For $\sigma\in G_C$,
|
| 553 |
+
label transport gives, for every $s\in I$,
|
| 554 |
+
$A_{\sigma s}^{\sigma F}=A_s^F$. Thus
|
| 555 |
+
\begin{equation}\label{eq:pattern-covariance}
|
| 556 |
+
P_{\sigma F}^\alpha((\sigma\pi)K_C)
|
| 557 |
+
=P_F^\alpha(\pi K_C).
|
| 558 |
+
\end{equation}
|
| 559 |
+
The actual ground pattern objects on the two sides are equal. Left
|
| 560 |
+
multiplication permutes the coset set, so the least distinguishing
|
| 561 |
+
bound is unchanged and the same pattern object is minimal. This
|
| 562 |
+
proves Equation~\eqref{eq:coset-selector-covariance}.
|
| 563 |
+
\end{proof}
|
| 564 |
+
|
| 565 |
+
For a coset $\gamma=\pi K_C$, define a transported preliminary
|
| 566 |
+
bijection by
|
| 567 |
+
\begin{equation}\label{eq:coset-assignment}
|
| 568 |
+
f_C^\gamma(F)(j)=
|
| 569 |
+
T_\pi^{\pi^{-1}F}
|
| 570 |
+
\left(f_C^0(\pi^{-1}F)(\pi^{-1}j)\right),\qquad j\in L_C.
|
| 571 |
+
\end{equation}
|
| 572 |
+
Equivalently, the square in Figure~\ref{fig:moved-generic-transport}
|
| 573 |
+
commutes.
|
| 574 |
+
|
| 575 |
+
\input{figures/moved-generic-transport}
|
| 576 |
+
|
| 577 |
+
This is independent of $\pi$. Replacing $\pi$ with $\pi k$ inserts
|
| 578 |
+
$k^{-1}$ in the source generic, and
|
| 579 |
+
Equation~\eqref{eq:preliminary-covariance} cancels its transport;
|
| 580 |
+
$k$ fixes every label of $L_C$. Define
|
| 581 |
+
$f_C(F)=f_C^{c_C(F)}(F)$. Equations~\eqref{eq:coset-selector-covariance}
|
| 582 |
+
and~\eqref{eq:coset-assignment} now give the required
|
| 583 |
+
Equation~\eqref{eq:component-covariance}.
|
| 584 |
+
This calculation explains why the preliminary computation in
|
| 585 |
+
Equation~\eqref{eq:coset-assignment} is made at $\pi^{-1}F$.
|
| 586 |
+
An arbitrary transport of the computation at $F$ would not give the
|
| 587 |
+
required identity.
|
| 588 |
+
|
| 589 |
+
\subsection{Transport over all components}
|
| 590 |
+
|
| 591 |
+
Choose in $V$ one representative from each $G_q$-orbit of components
|
| 592 |
+
and perform the preceding set-sized choices for these representatives.
|
| 593 |
+
For $C'=\sigma C$, transport $f_C(\sigma^{-1}F)$ by $\sigma$ to
|
| 594 |
+
obtain $f_{C'}(F)$. Two possible choices of $\sigma$ differ by an
|
| 595 |
+
element of $G_C$, so Equation~\eqref{eq:component-covariance} proves
|
| 596 |
+
that this definition is independent of the choice. It yields
|
| 597 |
+
bijections for every component, covariant under all $G_q$. Pulling
|
| 598 |
+
back along the canonical maps $B_v(F)\to B_C(F)$ gives bijections
|
| 599 |
+
\begin{equation}\label{eq:coherent-fiber-bijections}
|
| 600 |
+
f_{r,U}(F):L_{r,U}\longrightarrow B_{r,U}(F).
|
| 601 |
+
\end{equation}
|
| 602 |
+
They commute with every contraction, and their transports under every
|
| 603 |
+
$\pi\in G_q$ are the corresponding bijections at $\pi F$.
|
| 604 |
+
|
| 605 |
+
We record the definability needed to convert these computations into
|
| 606 |
+
one symmetric name. The ground sets of vertices, components, name
|
| 607 |
+
codes, code wellorders, patterns and auxiliary bijections are all
|
| 608 |
+
sets. The sections of the product names can be constructed in an
|
| 609 |
+
$\mathbb R$-extension from its generic filter; the ordinary forcing
|
| 610 |
+
relation for the ground set poset $\mathbb P$ is definable there.
|
| 611 |
+
Symbolic quotients and their gluing use equivalence relations on sets.
|
| 612 |
+
All remaining steps use set operations, least elements of prescribed
|
| 613 |
+
wellorders, and unique order isomorphisms. They therefore define,
|
| 614 |
+
by an ordinary set-theoretic formula in an $\mathbb R$-extension, the
|
| 615 |
+
predicate
|
| 616 |
+
\begin{equation}\label{eq:assignment-predicate}
|
| 617 |
+
\Phi(F,r,j,\tau):
|
| 618 |
+
\quad \tau\in\mathcal X(r)\text{ represents }
|
| 619 |
+
f_{r,U_j}(F)(j)\text{ in }\mathcal D_F(r).
|
| 620 |
+
\end{equation}
|
| 621 |
+
Here $U_j$ is ground data from Equation~\eqref{eq:label-availability}.
|
| 622 |
+
One formal implementation uses a ground set of all normalized name
|
| 623 |
+
codes and its ordinary name-evaluation relation to construct their
|
| 624 |
+
$\mathbb P$-sections. The variable for a ground code and the actual
|
| 625 |
+
forcing name that it codes are kept distinct. In particular, we never
|
| 626 |
+
use the false assertion that an automorphism moves a check-name for a
|
| 627 |
+
ground code to the check-name for its transported code.
|
| 628 |
+
|
| 629 |
+
The proved semantic covariance is the identity
|
| 630 |
+
\[
|
| 631 |
+
\Phi(F,r,j,\tau)\quad\Longleftrightarrow\quad
|
| 632 |
+
\Phi(\pi F,\pi r,\pi j,\pi\tau)
|
| 633 |
+
\qquad(\pi\in G_q).
|
| 634 |
+
\]
|
| 635 |
+
These computations are ordinary forcing arguments for this fixed
|
| 636 |
+
formula. More explicitly, let
|
| 637 |
+
\[
|
| 638 |
+
\dot F^{\pi}=
|
| 639 |
+
\{(\check{\pi d},d):d\in\mathbb R\},
|
| 640 |
+
\]
|
| 641 |
+
whose value at $F$ is $\pi F$. The preceding covariance proof gives
|
| 642 |
+
the equivalence, forced by $d_0$ in $\mathbb R$, between
|
| 643 |
+
$\Phi(\dot F,r,j,\tau)$ and
|
| 644 |
+
$\Phi(\dot F^{\pi},\pi r,\pi j,\pi\tau)$, with all auxiliary
|
| 645 |
+
ground choices fixed. Under the name action,
|
| 646 |
+
$\pi\dot F^{\pi}=\dot F$ literally, while check names for the
|
| 647 |
+
displayed ground arguments remain fixed. Applying ordinary forcing
|
| 648 |
+
symmetry therefore gives
|
| 649 |
+
\begin{equation}\label{eq:assignment-forcing-covariance}
|
| 650 |
+
d\forces_{\mathbb R}\Phi(\dot F,r,j,\tau)
|
| 651 |
+
\quad\Longleftrightarrow\quad
|
| 652 |
+
\pi d\forces_{\mathbb R}
|
| 653 |
+
\Phi(\dot F,\pi r,\pi j,\pi\tau)
|
| 654 |
+
\qquad(d\le d_0).
|
| 655 |
+
\end{equation}
|
| 656 |
+
All auxiliary ground choices are already fixed in the defining
|
| 657 |
+
formula; covariance was proved for this one construction. The
|
| 658 |
+
$\mathbb R$-forcing values in this display are ground sets of
|
| 659 |
+
conditions. Equivalently, if $F'$ contains $\pi d$, put
|
| 660 |
+
$F=\pi^{-1}F'$ and apply covariance to the computation at $F$;
|
| 661 |
+
the converse uses $\pi^{-1}$. This generic description abbreviates
|
| 662 |
+
the fixed-formula argument above and requires no transitive-ground
|
| 663 |
+
assumption in the consistency deduction.
|
| 664 |
+
|
| 665 |
+
\subsection{One hereditarily symmetric graph}
|
| 666 |
+
|
| 667 |
+
\begin{theorem}[Quotient classification]\label{thm:quotient-classification}
|
| 668 |
+
In $W$, every nonwellorderable surjective image of $A$ is in bijection
|
| 669 |
+
with $A$.
|
| 670 |
+
\end{theorem}
|
| 671 |
+
\begin{proof}
|
| 672 |
+
We first finish the construction for the equivalence relation fixed
|
| 673 |
+
at the start of Section~\ref{sec:quotient-fibers}. Use canonical
|
| 674 |
+
equivariant ordered-pair names and form the product name
|
| 675 |
+
\begin{equation}\label{eq:quotient-bijection-name}
|
| 676 |
+
\dot J=
|
| 677 |
+
\left\{
|
| 678 |
+
\left(\langle\dot A_j,\tau\rangle^{\bullet},(d,r)\right):
|
| 679 |
+
\begin{array}{l}
|
| 680 |
+
r\le q,\ j\in D_r,\ \tau\in\mathcal X(r),\ d\le d_0,\\
|
| 681 |
+
d\forces_{\mathbb R}\Phi(\dot F,r,j,\tau)
|
| 682 |
+
\end{array}\right\}.
|
| 683 |
+
\end{equation}
|
| 684 |
+
The superscript denotes the name for the ordered pair. This is a set
|
| 685 |
+
name: every index ranges over a ground set and the defining forcing
|
| 686 |
+
relation is a ground relation. Equation~\eqref{eq:assignment-forcing-covariance}
|
| 687 |
+
sends each entry under $\pi\in G_q$ to another entry. Applying
|
| 688 |
+
$\pi^{-1}$ gives equality of the sets of entries, so $G_q$ fixes
|
| 689 |
+
$\dot J$ literally. Each member name is a pair of HS names; thus
|
| 690 |
+
$\dot J$ is HS with support $D_q$. The individual member names may
|
| 691 |
+
have different supports. Hereditary symmetry does not require all of
|
| 692 |
+
them to use $D_q$.
|
| 693 |
+
|
| 694 |
+
Take a product generic $(F,H)$ containing $(d_0,q)$. For every
|
| 695 |
+
$r\in H$ below $q$, the graph contains exactly the local assignments
|
| 696 |
+
of Equation~\eqref{eq:coherent-fiber-bijections}. In detail, whenever
|
| 697 |
+
$\Phi(F,r,j,\tau)$ holds, the $\mathbb R$ truth lemma gives a
|
| 698 |
+
condition of $F$ forcing it; strengthening with $d_0$ retains a
|
| 699 |
+
condition of $F$, and Equation~\eqref{eq:quotient-bijection-name}
|
| 700 |
+
includes its entry. Conversely, every active entry forces its
|
| 701 |
+
asserted assignment. All classes are represented by names in their
|
| 702 |
+
symbolic equivalence classes, so the local assignments are complete.
|
| 703 |
+
|
| 704 |
+
We check the comparison when the diagram is strengthened. Suppose
|
| 705 |
+
$t\le r\le q$, $r=t_b$, and $j\in D_r$. The availability ideal
|
| 706 |
+
of $j$ at $t$ contains $b$. Hence
|
| 707 |
+
\[
|
| 708 |
+
(t,U_j\text{ computed at }t)
|
| 709 |
+
\longrightarrow(r,U_j\text{ computed at }r)
|
| 710 |
+
\]
|
| 711 |
+
is a contraction. Equation~\eqref{eq:coherent-fiber-bijections}
|
| 712 |
+
therefore gives the same assigned symbolic element under inclusion.
|
| 713 |
+
In particular, its product-name evaluations are equal in every
|
| 714 |
+
$\mathbb P$-generic containing $t$.
|
| 715 |
+
|
| 716 |
+
Any two active entries of $\dot J$ occur together below a common
|
| 717 |
+
stronger diagram in $H$. At that diagram the union of the
|
| 718 |
+
exact-fiber bijections is a bijection
|
| 719 |
+
$D_t\to\mathcal D_F(t)$: availability ideals partition both sets.
|
| 720 |
+
The preceding comparison proves single-valuedness and injectivity of
|
| 721 |
+
$\dot J^{F,H}$. Distinct symbolic elements are forced unequal there
|
| 722 |
+
by local decision, and distinct indices have distinct Cohen labels.
|
| 723 |
+
Thus these are also single-valuedness and injectivity for the actual
|
| 724 |
+
sets of the graph.
|
| 725 |
+
|
| 726 |
+
Every label index belongs to a diagram in $H$ below $q$, by the
|
| 727 |
+
density of extending diagrams to contain prescribed supports.
|
| 728 |
+
Therefore the graph has domain $A$. To reach an arbitrary $E$-class,
|
| 729 |
+
take any label belonging to that class and include its index in such
|
| 730 |
+
a diagram $r$. Its canonical supported class name represents an
|
| 731 |
+
element of $\mathcal D_F(r)$. The local fiber bijection is onto the
|
| 732 |
+
fiber containing that element, so the graph reaches the class.
|
| 733 |
+
This is a pointwise existence argument; no simultaneous selection
|
| 734 |
+
of representatives of all classes has been made. The range is
|
| 735 |
+
exactly $A/E$. The graph belongs to $W$ because its name is HS.
|
| 736 |
+
|
| 737 |
+
The construction was made on an extension of an arbitrary symmetric
|
| 738 |
+
condition asserting the nonwellorderable-quotient hypothesis. Applying
|
| 739 |
+
the symmetric forcing theorem and truth lemma therefore proves in
|
| 740 |
+
$W$ that every such quotient $A/E$ is in bijection with $A$.
|
| 741 |
+
Finally, for a surjection $h:A\to Y$ in $W$, form its kernel
|
| 742 |
+
relation $E$ in $W$. The map $[a]_E\mapsto h(a)$ is a bijection
|
| 743 |
+
$A/E\to Y$, defined by its unique values without choosing class
|
| 744 |
+
representatives. If $Y$ is nonwellorderable, so is $A/E$, and composing
|
| 745 |
+
this bijection with the one just constructed proves the theorem.
|
| 746 |
+
\end{proof}
|
preprints/The-Partition-Principle-does-not-imply-Choice-September-24-2026/partition-principle-without-choice.pdf
ADDED
|
@@ -0,0 +1,3 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
version https://git-lfs.github.com/spec/v1
|
| 2 |
+
oid sha256:7101fb4828d8d2ba26e000ee813f467bc38fb974f00ed38d8da37926e4386005
|
| 3 |
+
size 610408
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/README.md
ADDED
|
@@ -0,0 +1,18 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
# [The Penrose inequality for maximal asymptotically hyperbolic initial data](paper.pdf)
|
| 2 |
+
|
| 3 |
+
**Author:** OpenAI
|
| 4 |
+
|
| 5 |
+
**Date:** October 5, 2026
|
| 6 |
+
|
| 7 |
+
## Citation
|
| 8 |
+
|
| 9 |
+
```bibtex
|
| 10 |
+
@misc{OAI:The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026,
|
| 11 |
+
author = {{OpenAI}},
|
| 12 |
+
title = {{The Penrose inequality for maximal asymptotically hyperbolic initial data}},
|
| 13 |
+
howpublished = {OpenAI Math Release preprint
|
| 14 |
+
\href{https://github.com/openai/math/blob/main/preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/paper.pdf}{OAI:The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026}},
|
| 15 |
+
year = {2026}
|
| 16 |
+
}
|
| 17 |
+
```
|
| 18 |
+
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/paper.tex
ADDED
|
@@ -0,0 +1,32 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
\newcommand{\DoNotLoadEpstopdf}{}
|
| 2 |
+
\documentclass[11pt]{article}
|
| 3 |
+
\input{preamble}
|
| 4 |
+
\title{The Penrose inequality for maximal\\asymptotically hyperbolic initial data}
|
| 5 |
+
\author{OpenAI}
|
| 6 |
+
\date{October 5, 2026}
|
| 7 |
+
\begin{document}
|
| 8 |
+
\maketitle
|
| 9 |
+
\begin{abstract}
|
| 10 |
+
We prove the sharp Penrose inequality for three-dimensional maximal
|
| 11 |
+
asymptotically hyperbolic initial data with spherical conformal infinity.
|
| 12 |
+
Under the dominant energy condition, the stated decay and integrability
|
| 13 |
+
assumptions, and a future-timelike mass covector, the invariant mass is bounded below
|
| 14 |
+
by the Schwarzschild--anti-de Sitter mass associated with the minimum
|
| 15 |
+
enclosing area of a weakly future outer-trapped boundary.
|
| 16 |
+
The boundary may be disconnected, and no restriction is imposed on the
|
| 17 |
+
compact topology.
|
| 18 |
+
\end{abstract}
|
| 19 |
+
\tableofcontents
|
| 20 |
+
\input{sections/01-introduction}
|
| 21 |
+
\input{sections/02-preliminaries}
|
| 22 |
+
\input{sections/03-graph-calculus}
|
| 23 |
+
\input{sections/04-area-transfer}
|
| 24 |
+
\input{sections/05-maximal-reduction}
|
| 25 |
+
\input{sections/06-stress-extension}
|
| 26 |
+
\input{sections/07-compact-construction}
|
| 27 |
+
\input{sections/08-transmission-analysis}
|
| 28 |
+
\input{sections/09-scalar-error}
|
| 29 |
+
\input{sections/10-completion}
|
| 30 |
+
\bibliographystyle{plainnat}
|
| 31 |
+
\bibliography{references/references}
|
| 32 |
+
\end{document}
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/preamble.tex
ADDED
|
@@ -0,0 +1,45 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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+
\usepackage[T1]{fontenc}
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\usepackage[utf8]{inputenc}
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+
\usepackage{lmodern,microtype}
|
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+
\usepackage[margin=1.05in]{geometry}
|
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+
\usepackage{amsmath,amssymb,amsthm,mathtools,mathrsfs}
|
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+
\usepackage{enumitem,booktabs,array,graphicx,xcolor,tikz}
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+
\usetikzlibrary{arrows.meta,positioning,calc}
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+
\usepackage[numbers,sort&compress]{natbib}
|
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\usepackage{xurl}
|
| 10 |
+
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|
| 11 |
+
urlcolor=teal!55!black,bookmarksnumbered=true]{hyperref}
|
| 12 |
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|
| 13 |
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bookmarksdepth=2}
|
| 14 |
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|
| 15 |
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| 16 |
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|
| 17 |
+
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|
| 18 |
+
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|
| 19 |
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|
| 20 |
+
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|
| 21 |
+
\newtheorem{corollary}[theorem]{Corollary}
|
| 22 |
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|
| 23 |
+
\newtheorem{definition}[theorem]{Definition}
|
| 24 |
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|
| 25 |
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\newtheorem{remark}[theorem]{Remark}
|
| 26 |
+
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|
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|
| 32 |
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|
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+
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|
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|
| 35 |
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|
| 36 |
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|
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|
| 42 |
+
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|
| 43 |
+
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|
| 44 |
+
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|
| 45 |
+
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|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/references/references.bib
ADDED
|
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|
|
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
|
| 2 |
+
@article{Penrose1973,
|
| 3 |
+
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| 4 |
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@article{Bray2001,
|
| 26 |
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@article{BrayLee2009,
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| 38 |
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@article{CH2003,
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| 50 |
+
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+
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@article{DGS2013,
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| 77 |
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| 88 |
+
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| 194 |
+
journal = {Acta Mathematica},
|
| 195 |
+
volume = {88},
|
| 196 |
+
year = {1952},
|
| 197 |
+
pages = {85--139},
|
| 198 |
+
doi = {10.1007/BF02392130}
|
| 199 |
+
}
|
| 200 |
+
|
| 201 |
+
@book{Stein1970,
|
| 202 |
+
author = {Stein, Elias M.},
|
| 203 |
+
title = {Singular Integrals and Differentiability Properties of Functions},
|
| 204 |
+
series = {Princeton Mathematical Series},
|
| 205 |
+
volume = {30},
|
| 206 |
+
publisher = {Princeton University Press},
|
| 207 |
+
address = {Princeton, NJ},
|
| 208 |
+
year = {1970},
|
| 209 |
+
url = {https://assets.press.princeton.edu/about_pup/PUP100/book/5gStein.pdf}
|
| 210 |
+
}
|
| 211 |
+
|
| 212 |
+
@book{Maggi2012,
|
| 213 |
+
author = {Maggi, Francesco},
|
| 214 |
+
title = {Sets of Finite Perimeter and Geometric Variational Problems: An Introduction to Geometric Measure Theory},
|
| 215 |
+
series = {Cambridge Studies in Advanced Mathematics},
|
| 216 |
+
volume = {135},
|
| 217 |
+
publisher = {Cambridge University Press},
|
| 218 |
+
address = {Cambridge},
|
| 219 |
+
year = {2012},
|
| 220 |
+
doi = {10.1017/CBO9781139108133},
|
| 221 |
+
isbn = {978-1-107-02103-7},
|
| 222 |
+
url = {https://cvgmt.sns.it/paper/1880/}
|
| 223 |
+
}
|
| 224 |
+
|
| 225 |
+
@article{ChoiKim2013,
|
| 226 |
+
author = {Choi, Jongkeun and Kim, Seick},
|
| 227 |
+
title = {Neumann functions for second order elliptic systems with measurable coefficients},
|
| 228 |
+
journal = {Transactions of the American Mathematical Society},
|
| 229 |
+
volume = {365},
|
| 230 |
+
number = {12},
|
| 231 |
+
year = {2013},
|
| 232 |
+
pages = {6283--6307},
|
| 233 |
+
doi = {10.1090/S0002-9947-2013-05886-2},
|
| 234 |
+
eprint = {1112.2436v3},
|
| 235 |
+
archivePrefix = {arXiv},
|
| 236 |
+
primaryClass = {math.AP},
|
| 237 |
+
url = {https://arxiv.org/pdf/1112.2436v3}
|
| 238 |
+
}
|
| 239 |
+
|
| 240 |
+
@misc{Simon2014,
|
| 241 |
+
author = {Simon, Leon},
|
| 242 |
+
title = {Introduction to Geometric Measure Theory},
|
| 243 |
+
year = {2014},
|
| 244 |
+
howpublished = {Author's lecture notes, Stanford University},
|
| 245 |
+
note = {Tsinghua lectures; version updated December 3, 2014},
|
| 246 |
+
url = {https://web.stanford.edu/class/math285/ts-gmt.pdf}
|
| 247 |
+
}
|
| 248 |
+
|
| 249 |
+
@article{Miao2002,
|
| 250 |
+
author = {Miao, Pengzi},
|
| 251 |
+
title = {Positive mass theorem on manifolds admitting corners along a hypersurface},
|
| 252 |
+
journal = {Advances in Theoretical and Mathematical Physics},
|
| 253 |
+
volume = {6},
|
| 254 |
+
pages = {1163--1182},
|
| 255 |
+
year = {2002},
|
| 256 |
+
url = {https://arxiv.org/abs/math-ph/0212025}
|
| 257 |
+
}
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/01-introduction.tex
ADDED
|
@@ -0,0 +1,239 @@
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|
|
| 1 |
+
\section{Introduction and statement of the result}
|
| 2 |
+
\label{sec:hypotheses}
|
| 3 |
+
|
| 4 |
+
The Penrose inequality relates the mass of an initial-data set to the
|
| 5 |
+
area needed to enclose a trapped region. Penrose's original argument
|
| 6 |
+
\citep{Penrose1973} connects such a bound with gravitational collapse
|
| 7 |
+
and the expected behavior of black holes. In the asymptotically flat
|
| 8 |
+
Riemannian case, Huisken and Ilmanen proved the connected-horizon
|
| 9 |
+
inequality by weak inverse mean curvature flow \citep{HI2001}, and
|
| 10 |
+
Bray proved the inequality for the total area of a possibly disconnected
|
| 11 |
+
horizon \citep{Bray2001}. Bray and Lee extended the Riemannian result to
|
| 12 |
+
dimensions below eight \citep{BrayLee2009}.
|
| 13 |
+
|
| 14 |
+
For negative cosmological constant the natural comparison metric is
|
| 15 |
+
Schwarzschild--anti-de Sitter. Its horizon of area $4\pi a^2$ has mass
|
| 16 |
+
$(a+a^3)/2$ when the cosmological constant is $-3$.
|
| 17 |
+
The additional cubic term is accompanied by a different asymptotic mass:
|
| 18 |
+
the four fluxes at spherical conformal infinity form a Lorentz covector
|
| 19 |
+
\citep{CH2003}. For asymptotically hyperbolic graphs,
|
| 20 |
+
Dahl, Gicquaud, and Sakovich established mass identities and Penrose-type
|
| 21 |
+
bounds \citep{DGS2013}; de Lima and Gir\~ao proved the sharp bound for
|
| 22 |
+
a class of balanced graphs whose horizons are star-shaped and mean
|
| 23 |
+
convex in the reference slice
|
| 24 |
+
\citep{deLimaGirao2016}. Directly passing to infinity along
|
| 25 |
+
inverse mean curvature flow has a distinct obstruction in this setting
|
| 26 |
+
\citep{Neves2010}.
|
| 27 |
+
|
| 28 |
+
Here we prove the global maximal asymptotically hyperbolic Penrose
|
| 29 |
+
inequality in the class specified below. Thus the corresponding maximal
|
| 30 |
+
formulation of the Penrose conjecture is resolved positively, with
|
| 31 |
+
arbitrary compact topology and without an outermostness assumption on
|
| 32 |
+
the original boundary. The area in the statement is the minimum
|
| 33 |
+
\emph{enclosing} area, not necessarily the area of that boundary.
|
| 34 |
+
The proof does not require a spacetime development or an additional
|
| 35 |
+
null-expansion condition. We make no assertion about nonmaximal
|
| 36 |
+
initial data or equality rigidity.
|
| 37 |
+
|
| 38 |
+
\subsection{Geometry, decay, and mass}
|
| 39 |
+
|
| 40 |
+
Let $(\Omega,g)$ be a smooth connected orientable three-manifold with
|
| 41 |
+
nonempty compact smooth boundary $S$. The metric space obtained by
|
| 42 |
+
including $S$ is complete. There is one end, with coordinates
|
| 43 |
+
$(r,\omega)\in(r_0,\infty)\times\Sph^2$ outside a compact region.
|
| 44 |
+
Write
|
| 45 |
+
\begin{equation}\label{eq:background}
|
| 46 |
+
b=\frac{\dd r^2}{1+r^2}+r^2\sigma,
|
| 47 |
+
\qquad \eta=\operatorname{arsinh}r,
|
| 48 |
+
\qquad V_0=\sqrt{1+r^2},\qquad V_i=r\omega_i\quad(1\le i\le3),
|
| 49 |
+
\end{equation}
|
| 50 |
+
where $\sigma$ is the unit round metric and $\omega_i$ are the coordinate
|
| 51 |
+
functions of the unit sphere. The Laplacian is $\Delta=\divg\nabla$;
|
| 52 |
+
mean curvature is the sum of the principal curvatures.
|
| 53 |
+
|
| 54 |
+
Fix $0<\alpha<1$ and $3/2<\tau<3$. On the end, a tensor belongs to
|
| 55 |
+
$C^{k,\alpha}_\tau$ if its $b$-covariant derivatives through order $k$
|
| 56 |
+
are $O(e^{-\tau\eta})$, and its order-$k$ local H\"older seminorms
|
| 57 |
+
on uniform $b$-unit coordinate balls have the same weight. Equivalently,
|
| 58 |
+
the $C^{k,\alpha}$ norms of its components in uniform background charts,
|
| 59 |
+
multiplied by $e^{\tau\eta}$ at the chart centers, are bounded.
|
| 60 |
+
This convention is a tensor-norm convention. It does not mean
|
| 61 |
+
Euclidean coordinate-component decay. On compact subsets, including
|
| 62 |
+
the finite boundary, all fields below are smooth.
|
| 63 |
+
|
| 64 |
+
Let $K$ be a smooth symmetric covariant two-tensor on $\Omega$, smooth
|
| 65 |
+
up to $S$, and assume
|
| 66 |
+
\begin{equation}\label{eq:decay}
|
| 67 |
+
g-b\in C^{2,\alpha}_\tau,
|
| 68 |
+
\qquad K\in C^{1,\alpha}_\tau.
|
| 69 |
+
\end{equation}
|
| 70 |
+
For $e=g-b$, define the mass fluxes in the chosen chart by
|
| 71 |
+
\begin{align}\label{eq:ah-mass}
|
| 72 |
+
p_\mu(g)&=\frac1{16\pi}\lim_{R\to\infty}
|
| 73 |
+
\int_{\{r=R\}}\mathbb U(V_\mu,e)(\nu_b)\dd A_b,
|
| 74 |
+
&&0\le\mu\le3,\\
|
| 75 |
+
\mathbb U(V,e)&=V(\divg_b e-\dd\tr_b e)
|
| 76 |
+
+(\tr_b e)\dd V-e(\nabla_b V,\cdot).
|
| 77 |
+
\label{eq:mass-integrand}
|
| 78 |
+
\end{align}
|
| 79 |
+
Here $(\divg_b e)_i=\nabla_b^j e_{ji}$, and $\nu_b$ points toward
|
| 80 |
+
increasing $r$. Every operator and measure in this definition uses $b$.
|
| 81 |
+
We require the four limits to exist and be finite. When the covector
|
| 82 |
+
is future timelike, its invariant mass is
|
| 83 |
+
\begin{equation}\label{eq:invariant-mass}
|
| 84 |
+
m_{\AH}(g)=\sqrt{p_0(g)^2-p_1(g)^2-p_2(g)^2-p_3(g)^2},
|
| 85 |
+
\qquad p_0(g)>\sqrt{p_1(g)^2+p_2(g)^2+p_3(g)^2}.
|
| 86 |
+
\end{equation}
|
| 87 |
+
The spatial entries in this covector are metric mass charges; they are
|
| 88 |
+
not ADM momentum or angular momentum.
|
| 89 |
+
|
| 90 |
+
\subsection{Constraints, boundary, and enclosing area}
|
| 91 |
+
|
| 92 |
+
We use units $G=c=1$ and cosmological constant $\Lambda=-3$.
|
| 93 |
+
Maximality and the noncosmological constraint densities are
|
| 94 |
+
\begin{equation}\label{eq:constraints}
|
| 95 |
+
\tr_gK=0,
|
| 96 |
+
\qquad 16\pi\mu=R_g+6-|K|_g^2,
|
| 97 |
+
\qquad 8\pi J_i=\nabla_g^jK_{ij}.
|
| 98 |
+
\end{equation}
|
| 99 |
+
Assume the dominant energy condition and weighted integrability
|
| 100 |
+
\begin{equation}\label{eq:dec-integrability}
|
| 101 |
+
\mu\ge|J|_g,
|
| 102 |
+
\qquad \int_{\mathrm{end}}V_0
|
| 103 |
+
\bigl(\mu+|J|_g+|K|_g^2\bigr)\dd V_g<\infty.
|
| 104 |
+
\end{equation}
|
| 105 |
+
In particular $R_g+6\ge0$ and its $V_0$-weighted integral is finite.
|
| 106 |
+
|
| 107 |
+
On each component of $S$, choose the unit normal $\nu$ pointing into
|
| 108 |
+
$\Omega$, toward the designated exterior. Set
|
| 109 |
+
\begin{equation}\label{eq:future-trapping}
|
| 110 |
+
H=\divg_S\nu,
|
| 111 |
+
\qquad \tr_SK=(g^{ij}-\nu^i\nu^j)K_{ij},
|
| 112 |
+
\qquad \theta_+=H+\tr_SK.
|
| 113 |
+
\end{equation}
|
| 114 |
+
We assume only $\theta_+\le0$ on every component, with this same future
|
| 115 |
+
orientation. For comparison with a spacetime convention, the sign is
|
| 116 |
+
$K(X,Y)=\overline g(\overline\nabla_Xn_{\mathrm{future}},Y)$.
|
| 117 |
+
There is no assumption on the inward null expansion.
|
| 118 |
+
|
| 119 |
+
\begin{definition}[Minimum enclosing area]\label{def:minimum-area}
|
| 120 |
+
An admissible end-side domain is a connected smooth codimension-zero
|
| 121 |
+
submanifold-with-boundary $D\subset\Omega$, closed as a subset of
|
| 122 |
+
$\Omega$, such that
|
| 123 |
+
\[
|
| 124 |
+
\operatorname{int}D\subset\operatorname{int}\Omega
|
| 125 |
+
\quad\hbox{and}\quad
|
| 126 |
+
\{r>R\}\subset D\quad\hbox{for some }R.
|
| 127 |
+
\]
|
| 128 |
+
Its entire intrinsic manifold boundary $\partial D$ must be compact,
|
| 129 |
+
smooth, embedded, and two-sided, with any portions coinciding with $S$
|
| 130 |
+
included. Define
|
| 131 |
+
\begin{equation}\label{eq:minimum-area}
|
| 132 |
+
A_{\min}(S;g)=\inf_D\Area_g(\partial D).
|
| 133 |
+
\end{equation}
|
| 134 |
+
In particular $D=\Omega$ is admissible and contributes $\partial D=S$.
|
| 135 |
+
An empty relative frontier is not an admissible replacement for this
|
| 136 |
+
intrinsic boundary.
|
| 137 |
+
\end{definition}
|
| 138 |
+
|
| 139 |
+
Neither the number nor the genus of the boundary components is
|
| 140 |
+
restricted. No trapping condition is imposed on the competitors in
|
| 141 |
+
Definition~\ref{def:minimum-area}.
|
| 142 |
+
|
| 143 |
+
\begin{theorem}[Global maximal AH Penrose inequality]\label{thm:main}
|
| 144 |
+
Under \eqref{eq:decay}--\eqref{eq:future-trapping}, the completeness,
|
| 145 |
+
one-end, and smoothness assumptions above, and the future-timelike
|
| 146 |
+
condition \eqref{eq:invariant-mass}, one has
|
| 147 |
+
\begin{equation}\label{eq:main-inequality}
|
| 148 |
+
m_{\AH}(g)\ge\frac12\bigl(r_A+r_A^3\bigr),
|
| 149 |
+
\qquad r_A=\sqrt{\frac{A_{\min}(S;g)}{4\pi}}.
|
| 150 |
+
\end{equation}
|
| 151 |
+
The coefficient is sharp: equality holds for every positive-mass
|
| 152 |
+
time-symmetric Schwarzschild--anti-de Sitter exterior bounded by its
|
| 153 |
+
minimal horizon.
|
| 154 |
+
\end{theorem}
|
| 155 |
+
|
| 156 |
+
The proof establishes a time-component statement for Riemannian data
|
| 157 |
+
which is useful independently and which does not require a causal
|
| 158 |
+
condition on their mass covector.
|
| 159 |
+
|
| 160 |
+
\begin{theorem}[Time-symmetric time-component inequality]\label{thm:ts}
|
| 161 |
+
Let $(\Omega,g)$ have the smoothness, topology, completeness, and end
|
| 162 |
+
structure above. Suppose $g-b\in C^{2,\alpha}_\tau$, $3/2<\tau<3$,
|
| 163 |
+
the four fluxes \eqref{eq:ah-mass} are finite, and
|
| 164 |
+
\[
|
| 165 |
+
R_g\ge-6,\qquad H_g(S)\le0,
|
| 166 |
+
\qquad \int_{\mathrm{end}}V_0(R_g+6)\dd V_g<\infty.
|
| 167 |
+
\]
|
| 168 |
+
In every such fixed end chart,
|
| 169 |
+
\begin{equation}\label{eq:ts-inequality}
|
| 170 |
+
p_0(g)\ge\frac12(a+a^3),
|
| 171 |
+
\qquad a=\sqrt{A_{\min}(S;g)/(4\pi)}.
|
| 172 |
+
\end{equation}
|
| 173 |
+
\end{theorem}
|
| 174 |
+
|
| 175 |
+
\subsection{Structure and new ingredients}
|
| 176 |
+
|
| 177 |
+
The first deformation solves a finite-height graph problem together
|
| 178 |
+
with a positive lapse and a conformal factor. It changes maximal data
|
| 179 |
+
into Riemannian AH data with scalar curvature at least $-6$ and a free
|
| 180 |
+
minimal boundary. Its mass cost tends to zero. The conformal factor
|
| 181 |
+
can contract area, so pointwise comparison alone is insufficient.
|
| 182 |
+
A volume penalty and a finite-time weak-flow argument recover the
|
| 183 |
+
enclosing-area comparison. A continuous choice of inner flux, based
|
| 184 |
+
on all possible perimeter-minimizer contact sets, removes contact with
|
| 185 |
+
the original weakly trapped boundary.
|
| 186 |
+
|
| 187 |
+
For Theorem~\ref{thm:ts}, a nonlinear electrostatic potential produces a
|
| 188 |
+
divergence-free stress. Its algebraic constraint encodes the cubic
|
| 189 |
+
term $a^3/2$ in the mass budget of an AF attachment. A second graph
|
| 190 |
+
construction on a compact interior joined to that attachment yields
|
| 191 |
+
an AF comparison exterior to which the ordinary Riemannian Penrose
|
| 192 |
+
inequality applies. We prove the coupled transmission estimates and
|
| 193 |
+
continuation needed for this construction. Where a trace cutoff can
|
| 194 |
+
spoil the scalar-curvature sign, blowup gives uniformly controlled
|
| 195 |
+
metric neighborhoods; additional obstacles then put these regions
|
| 196 |
+
strictly inside a free minimizing enclosure.
|
| 197 |
+
|
| 198 |
+
The area comparison uses weak inverse mean curvature flow only over
|
| 199 |
+
a fixed interval of relative areas. Its curvature estimate depends on
|
| 200 |
+
a scalar lower bound and fixed topology, and accommodates disconnected
|
| 201 |
+
leaves. It therefore has a role different from taking an asymptotic
|
| 202 |
+
limit of hyperbolic Hawking mass.
|
| 203 |
+
|
| 204 |
+
The numerical argument can be seen before entering these constructions.
|
| 205 |
+
In the positive-area time-symmetric case, fix a metric after the
|
| 206 |
+
preliminary approximation and write
|
| 207 |
+
$A_{\min}(S;g)=4\pi a^2$. Let $E_0$ denote the comparison enclosure of
|
| 208 |
+
the auxiliary caps alone and $E$ the enclosure that also contains the
|
| 209 |
+
regions where scalar curvature may be negative. Given small positive
|
| 210 |
+
tolerances $\eps_m,\eps_A$, the attachment and comparison constructions,
|
| 211 |
+
followed by area transfer, give
|
| 212 |
+
\[
|
| 213 |
+
\begin{aligned}
|
| 214 |
+
m_o&\le p_0(g)-a^3/2+\eps_m,
|
| 215 |
+
&m_{\AF}(h')&\le m_o+\eps_m,\\
|
| 216 |
+
\Area_{h'}(\partial E)&\ge\Area_{h'}(\partial E_0)
|
| 217 |
+
\ge(1-\eps_A)4\pi a^2.
|
| 218 |
+
\end{aligned}
|
| 219 |
+
\]
|
| 220 |
+
(Propositions~\ref{prop:af-attachment}, \ref{prop:af-comparison},
|
| 221 |
+
and~\ref{prop:area-transfer}).
|
| 222 |
+
The AF Penrose inequality applies to the exterior of $E$ and yields
|
| 223 |
+
\[
|
| 224 |
+
p_0(g)\ge \frac{a^3}{2}
|
| 225 |
+
+\frac a2\sqrt{1-\eps_A}-2\eps_m.
|
| 226 |
+
\]
|
| 227 |
+
Thus the attachment supplies the cubic term and the AF inequality the
|
| 228 |
+
linear term. The errors tend to zero through successive finite choices;
|
| 229 |
+
no convergence of the comparison metrics is required.
|
| 230 |
+
Theorem~\ref{thm:ah-reduction} then transfers the time-symmetric bound
|
| 231 |
+
to maximal data. The original mass covector is put in a rest chart
|
| 232 |
+
before any deformation, so its time component is the invariant mass.
|
| 233 |
+
|
| 234 |
+
Sections~\ref{sec:graph-calculus} and~\ref{sec:area-transfer} develop
|
| 235 |
+
the shared identities and area comparison. Section~\ref{sec:maximal-reduction}
|
| 236 |
+
reduces Theorem~\ref{thm:main} to Theorem~\ref{thm:ts}.
|
| 237 |
+
Sections~\ref{sec:stress-extension}--\ref{sec:scalar-error} construct
|
| 238 |
+
the AF comparison for the latter. Section~\ref{sec:completion}
|
| 239 |
+
assembles the inequalities and checks sharpness.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/02-preliminaries.tex
ADDED
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|
| 1 |
+
\section{Preliminaries}
|
| 2 |
+
\label{sec:preliminaries}
|
| 3 |
+
|
| 4 |
+
\subsection{Compact cores and auxiliary caps}
|
| 5 |
+
|
| 6 |
+
\begin{lemma}\label{lem:compact-core}
|
| 7 |
+
The sufficiently large coordinate spheres bound connected compact
|
| 8 |
+
truncations of $\Omega$. Each component of $S$ can be capped on its
|
| 9 |
+
other side to produce a smooth complete connected one-ended manifold
|
| 10 |
+
$X$ without boundary, with the orientation extending that of $\Omega$.
|
| 11 |
+
Let $O$ denote the compact cap set, including its
|
| 12 |
+
boundary. For competitors containing $O$, perimeter depends only on
|
| 13 |
+
the metric on $\Omega$ and its boundary trace.
|
| 14 |
+
\end{lemma}
|
| 15 |
+
\begin{proof}
|
| 16 |
+
The end metric is uniformly comparable to $b$ sufficiently far out.
|
| 17 |
+
Radial infinity escapes compact subsets: otherwise a sequence tending
|
| 18 |
+
to radial infinity would accumulate in a compact coordinate
|
| 19 |
+
neighborhood, while pairwise disjoint background balls of a fixed small
|
| 20 |
+
radius about a subsequence would have uniformly positive metric
|
| 21 |
+
volumes and lie in a fixed compact neighborhood. This is impossible.
|
| 22 |
+
A large coordinate sphere separates the product end from an inner
|
| 23 |
+
side. If the latter were noncompact, a smooth compact exhaustion would
|
| 24 |
+
yield an end separated from the given product end. One may choose this
|
| 25 |
+
exhaustion with finitely many complement components at each stage,
|
| 26 |
+
since its smooth compact frontier has finitely many components.
|
| 27 |
+
Nested extraction then contradicts the one-end assumption. The inner
|
| 28 |
+
side is therefore compact. Paths between its points can be pushed
|
| 29 |
+
back across the product end, so the truncations can be taken connected.
|
| 30 |
+
|
| 31 |
+
Every component of $S$ is a closed orientable surface and bounds a
|
| 32 |
+
handlebody. Orient each handlebody and glue by a map reversing the
|
| 33 |
+
induced boundary orientations. The collars then extend the orientation
|
| 34 |
+
of $\Omega$ across each seam. Extend the metric smoothly across $S$.
|
| 35 |
+
The added region is compact; completeness
|
| 36 |
+
at infinity is unchanged. For a set containing $O$ up to a null set,
|
| 37 |
+
its characteristic function is constant almost everywhere in the
|
| 38 |
+
cap interiors. Its perimeter therefore uses no metric values there.
|
| 39 |
+
\end{proof}
|
| 40 |
+
|
| 41 |
+
We use the ordinary perimeter of a finite-perimeter set in the capped
|
| 42 |
+
manifold. In particular it is not a relative perimeter that discards
|
| 43 |
+
the original boundary.
|
| 44 |
+
|
| 45 |
+
\begin{lemma}\label{lem:cut-enclosure}
|
| 46 |
+
Every admissible cut from Definition~\ref{def:minimum-area} determines
|
| 47 |
+
a precompact finite-perimeter enclosure of $O$ whose perimeter is at
|
| 48 |
+
most the area of that cut. Conversely, a precompact enclosure of $O$
|
| 49 |
+
with smooth free boundary in $\operatorname{int}\Omega$ and connected
|
| 50 |
+
exterior gives an admissible cut with the same area. If this enclosure
|
| 51 |
+
is outward minimizing, its boundary realizes the minimum enclosing
|
| 52 |
+
area of its own closed exterior.
|
| 53 |
+
\end{lemma}
|
| 54 |
+
\begin{proof}
|
| 55 |
+
For an admissible $D$, complement its manifold interior in $X$.
|
| 56 |
+
The result contains $O$ and is precompact because $D$ contains the
|
| 57 |
+
whole sufficiently distant end. Local boundary coordinates show that
|
| 58 |
+
its perimeter is bounded by the entire intrinsic area of $\partial D$,
|
| 59 |
+
including any portions on $S$. This also follows by smoothing corners
|
| 60 |
+
and passing to the perimeter lower limit. For the converse, take the
|
| 61 |
+
closed exterior of the smooth enclosure. It is connected, has the
|
| 62 |
+
required end, and has precisely the stated intrinsic boundary.
|
| 63 |
+
Any admissible cut of this new exterior, complemented in $X$, encloses
|
| 64 |
+
the original enclosure; outward minimization gives the final claim.
|
| 65 |
+
\end{proof}
|
| 66 |
+
|
| 67 |
+
The compactness, lower semicontinuity, coarea, slicing, reduced-boundary
|
| 68 |
+
structure, and union/intersection inequalities for finite-perimeter
|
| 69 |
+
sets will be used below. These are local facts and hold in smooth
|
| 70 |
+
Riemannian coordinate charts; see \citet[Chapters 12--18]{Maggi2012}.
|
| 71 |
+
They also give compactness and lower semicontinuity for a uniformly
|
| 72 |
+
convergent family of uniformly positive continuous metrics on a fixed
|
| 73 |
+
compact set, by comparison with smooth metrics. A free locally
|
| 74 |
+
perimeter-minimizing boundary is smooth in ambient dimension three;
|
| 75 |
+
one may use the smooth-ambient regularity theorem in
|
| 76 |
+
\citet[Chapter 7, Section 5, Theorem 5.8]{Simon2014}, followed by
|
| 77 |
+
elliptic bootstrapping. We invoke this regularity only after excluding
|
| 78 |
+
contact with every obstacle and outer truncation.
|
| 79 |
+
|
| 80 |
+
\subsection{Mass covariance and small metric changes}
|
| 81 |
+
|
| 82 |
+
\begin{proposition}\label{prop:mass-covariance}
|
| 83 |
+
Suppose $g-b\in C^{2,\alpha}_\tau$, $\tau>3/2$, and
|
| 84 |
+
$\int V_0|R_g+6|\dd V_g<\infty$ on the end. The fluxes
|
| 85 |
+
\eqref{eq:ah-mass} transform as a Lorentz covector under hyperbolic
|
| 86 |
+
isometries of the asymptotic chart. Such chart changes preserve the
|
| 87 |
+
weighted decay and integrability hypotheses used here. Consequently
|
| 88 |
+
a future-timelike original covector admits a chart with
|
| 89 |
+
$p_0=m_{\AH}$ and $p_1=p_2=p_3=0$.
|
| 90 |
+
\end{proposition}
|
| 91 |
+
\begin{proof}
|
| 92 |
+
The potentials in \eqref{eq:background} are the ambient coordinate
|
| 93 |
+
functions of the future unit hyperboloid. Hyperbolic isometries act on
|
| 94 |
+
their span by Lorentz transformations. The flux integrand is tensorial
|
| 95 |
+
in $b$, linear in $V$, and natural under these isometries.
|
| 96 |
+
It remains to justify replacing the transformed integration surfaces
|
| 97 |
+
by the original large coordinate spheres. The static identity
|
| 98 |
+
$\nabla_b^2V=Vb$ gives
|
| 99 |
+
\[
|
| 100 |
+
\divg_b\mathbb U(V,e)=V\,D R_b(e).
|
| 101 |
+
\]
|
| 102 |
+
The difference between $D R_b(e)$ and $R_g+6$ is bounded by a constant
|
| 103 |
+
times
|
| 104 |
+
\[
|
| 105 |
+
|e|_b^2+|\nabla_be|_b^2+|e|_b|\nabla_b^2e|_b.
|
| 106 |
+
\]
|
| 107 |
+
Its $V_0$-weighted integral over $r>D$ is
|
| 108 |
+
$O(D^{3-2\tau})$, since $\dd V_b$ is comparable to
|
| 109 |
+
$r\dd r\dd A_\sigma$. Also $|V_i|\le V_0$.
|
| 110 |
+
Thus the divergence is absolutely integrable on the end for each
|
| 111 |
+
potential. The divergence theorem on regions between the two
|
| 112 |
+
families of spheres makes their flux difference tend to zero.
|
| 113 |
+
This is the covariance mechanism of
|
| 114 |
+
\citet[Proposition 2.2, Theorem 2.3, and Section 3]{CH2003} in the
|
| 115 |
+
normalization \eqref{eq:ah-mass}.
|
| 116 |
+
|
| 117 |
+
A fixed hyperbolic isometry changes distance from the chosen origin
|
| 118 |
+
by a bounded amount. The exponential weights and $V_0$ are therefore
|
| 119 |
+
comparable before and after the change, and uniform background balls
|
| 120 |
+
are carried to uniform background balls. The rest-chart assertion is
|
| 121 |
+
the elementary Lorentz normal form of a future-timelike covector.
|
| 122 |
+
\end{proof}
|
| 123 |
+
|
| 124 |
+
The boundary sign and the enclosing-area definition are intrinsic.
|
| 125 |
+
We will apply Proposition~\ref{prop:mass-covariance} to the original
|
| 126 |
+
data before constructing any comparison metric. No assertion that
|
| 127 |
+
intermediate covectors remain timelike is required.
|
| 128 |
+
|
| 129 |
+
If $(1-\eps)g\le\widetilde g\le(1+\eps)g$ as quadratic forms,
|
| 130 |
+
then for every two-surface its area changes by factors between
|
| 131 |
+
$1-\eps$ and $1+\eps$. Taking infima over the same admissible domains
|
| 132 |
+
gives the same comparison for $A_{\min}$. This observation will be
|
| 133 |
+
used when passing through the preliminary conformal approximation
|
| 134 |
+
and the later corner smoothing.
|
| 135 |
+
|
| 136 |
+
\subsection{The AF comparison theorem}
|
| 137 |
+
|
| 138 |
+
For an AF metric $h$ in a Euclidean end chart $y$, our normalization is
|
| 139 |
+
\begin{equation}\label{eq:adm-mass}
|
| 140 |
+
m_{\AF}(h)=\frac1{16\pi}\lim_{R\to\infty}
|
| 141 |
+
\int_{|y|=R}(\partial_jh_{ij}-\partial_ih_{jj})
|
| 142 |
+
n^i\dd A_{\mathrm{Eucl}}.
|
| 143 |
+
\end{equation}
|
| 144 |
+
|
| 145 |
+
\begin{theorem}[AF Riemannian Penrose inequality]\label{thm:af-penrose}
|
| 146 |
+
Let $(Y,h)$ be a complete connected one-ended three-dimensional AF
|
| 147 |
+
manifold with smooth compact outer-minimizing minimal boundary.
|
| 148 |
+
Assume $R_h\ge0$, $h-\delta=O_2(|y|^{-\beta})$ for some
|
| 149 |
+
$\beta>1/2$, and $R_h=O(|y|^{-q})$ for some $q>3$.
|
| 150 |
+
If the total boundary area is $A$, then
|
| 151 |
+
\begin{equation}\label{eq:af-penrose}
|
| 152 |
+
m_{\AF}(h)\ge\sqrt{A/(16\pi)}.
|
| 153 |
+
\end{equation}
|
| 154 |
+
Disconnected boundary is allowed.
|
| 155 |
+
\end{theorem}
|
| 156 |
+
|
| 157 |
+
This is the dimension-three case of the published
|
| 158 |
+
\citet[Theorem 1.4]{BrayLee2009}; its asymptotic definition is on
|
| 159 |
+
page 82 and its boundary convention on page 83.
|
| 160 |
+
Only the inequality is used. The smoothness, scalar sign, and
|
| 161 |
+
outer-minimization required here will be established for the AF
|
| 162 |
+
comparison exterior, rather than assumed for either original AH
|
| 163 |
+
metric.
|
| 164 |
+
|
| 165 |
+
\subsection{Local scalar elliptic estimates}
|
| 166 |
+
|
| 167 |
+
We specify the standard local analytic inputs, separating them from
|
| 168 |
+
the coupled transmission estimates proved in
|
| 169 |
+
Section~\ref{sec:transmission-analysis}.
|
| 170 |
+
|
| 171 |
+
\begin{proposition}[Scalar local estimates]\label{prop:elliptic-inputs}
|
| 172 |
+
On fixed coordinate balls in dimension three the following estimates
|
| 173 |
+
hold, with constants depending on the indicated ellipticity,
|
| 174 |
+
coefficient, and geometry bounds.
|
| 175 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 176 |
+
\item Bounded measurable uniformly elliptic divergence matrices admit
|
| 177 |
+
local subsolution bounds, weak Harnack estimates for nonnegative
|
| 178 |
+
supersolutions, and inhomogeneous Harnack and H\"older estimates for
|
| 179 |
+
nonnegative solutions. Bounded divergence drifts multiplying the
|
| 180 |
+
unknown, vector forcing in $L^q$, $q>3$, and scalar forcing in $L^p$,
|
| 181 |
+
$p>3/2$, are permitted in the corresponding estimates.
|
| 182 |
+
\item For Laplace equations with uniformly positive Lipschitz metric
|
| 183 |
+
coefficients in interior or flattened smooth boundary charts,
|
| 184 |
+
divergence forcing in $L^q$ gives local $W^{1,q}$ estimates.
|
| 185 |
+
Scalar forcing in $L^2$ can be included for $3<q<6$.
|
| 186 |
+
The same statements hold with local zero Dirichlet data or natural
|
| 187 |
+
Neumann data, with the divergence forcing included in the conormal
|
| 188 |
+
current. A boundary datum in $L^{p_1}$, $p_1>2$, permits a choice
|
| 189 |
+
$3<q<3p_1/2$ sufficiently close to $3$.
|
| 190 |
+
\item Smooth-coefficient scalar Dirichlet and conormal problems have
|
| 191 |
+
the usual Schauder estimates, including divergence-form
|
| 192 |
+
$C^{1,\gamma}$ estimates when the uniformly elliptic coefficients
|
| 193 |
+
and vector forcing are $C^\gamma$, with boundary data of the
|
| 194 |
+
corresponding regularity. These estimates are used only after their
|
| 195 |
+
coefficient hypotheses have been obtained.
|
| 196 |
+
\item For a bounded measurable symmetric uniformly elliptic matrix
|
| 197 |
+
$a$ on a ball, its positive Dirichlet Green kernel is bounded above
|
| 198 |
+
by $C|z-z'|^{-1}$, and below by $c|z-z'|^{-1}$ when the pole and
|
| 199 |
+
the nearby evaluation point lie in a fixed smaller ball.
|
| 200 |
+
\end{enumerate}
|
| 201 |
+
\end{proposition}
|
| 202 |
+
|
| 203 |
+
The local boundedness, Harnack, and H\"older estimates are the scalar
|
| 204 |
+
divergence theory of \citet{Serrin1964} and
|
| 205 |
+
\citet[Chapter 8]{GT2001}. The Laplace divergence estimates are the
|
| 206 |
+
local Calder\'on--Zygmund estimates, with smooth-boundary
|
| 207 |
+
localization; see \citet{Stein1970,GT2001}.
|
| 208 |
+
For natural Neumann data, an explicit estimate is given by
|
| 209 |
+
\citet[Appendix, proof of Lemma 6.1, (6.2), p.\ 19
|
| 210 |
+
of arXiv v3]{ChoiKim2013} on bounded $C^1$ localizations.
|
| 211 |
+
Our Lipschitz metric coefficients are VMO. A cutoff retains the
|
| 212 |
+
full conormal current and the larger-patch $W^{1,2}$ norm.
|
| 213 |
+
In dimension three the scalar and boundary forcing exponents are
|
| 214 |
+
$3q/(q+3)$ and $2q/3$, respectively, so approximation permits
|
| 215 |
+
$3<q<\min\{6,3p_1/2\}$ for the data in part~(ii).
|
| 216 |
+
For the boundary exponent in part~(ii), the trace embedding of
|
| 217 |
+
$W^{1,q'}$ into $L^{2q/(2q-3)}$ on a two-dimensional face allows
|
| 218 |
+
pairing with $L^{p_1}$ whenever $q<3p_1/2$.
|
| 219 |
+
Scalar $L^2$ forcing belongs locally to $W^{-1,q}$ when $q<6$.
|
| 220 |
+
Part~(iv) is the local Green comparison of
|
| 221 |
+
\citet[Theorem 7.1 and the discussion on pp.\ 66--67]{LSW1963}.
|
| 222 |
+
|
| 223 |
+
Natural homogeneous flux permits even reflection in a flattened
|
| 224 |
+
boundary chart, with the full current reflected. Smooth prescribed
|
| 225 |
+
flux errors can be placed in a bounded smooth vector field.
|
| 226 |
+
Fermi-coordinate metric matrices reflected at a smooth face are
|
| 227 |
+
Lipschitz. Constant Dirichlet data for a scalar height permit odd
|
| 228 |
+
reflection after subtraction of that constant. We spell out each
|
| 229 |
+
reflection where it is needed; none of these scalar statements is a
|
| 230 |
+
general nonlinear transmission theorem.
|
| 231 |
+
|
| 232 |
+
For the electrostatic equation we also use an exact degenerate
|
| 233 |
+
gradient regularity statement. Suppose
|
| 234 |
+
\[
|
| 235 |
+
A(z,0)=0,\qquad
|
| 236 |
+
\lambda|\xi|I\le A_\xi(z,\xi)\le C|\xi|I,
|
| 237 |
+
\qquad
|
| 238 |
+
|A(z,\xi)-A(z',\xi)|\le C|z-z'|\,|\xi|^2,
|
| 239 |
+
\]
|
| 240 |
+
with symmetric $A_\xi$, continuous dependence, and smooth dependence
|
| 241 |
+
on $\xi\ne0$. Then a bounded weak $W^{1,3}$ solution of
|
| 242 |
+
$\partial_iA^i(z,\dd u)=0$ is locally $C^{1,\gamma}$ for some
|
| 243 |
+
$\gamma>0$, with uniform estimates from the structural constants
|
| 244 |
+
and a local energy bound. Indeed $A_\xi(z,0)=0$ extends continuously,
|
| 245 |
+
and integration along a radial segment gives $|A(z,\xi)|\le C|\xi|^2$.
|
| 246 |
+
The assumptions of \citet[Theorem 1.1, (1.5)--(1.8)]{AraujoZhang2020}
|
| 247 |
+
therefore hold with $n=p=3$, zero forcing in $L^\infty$, and spatial
|
| 248 |
+
H\"older exponent $\sigma=1/2$. We use only an exponent
|
| 249 |
+
$0<\gamma<\min\{\alpha_m,1/4\}$, where $\alpha_m>0$ is a
|
| 250 |
+
constant-coefficient gradient exponent for the same structural constants.
|
| 251 |
+
No optimal exponent or endpoint estimate is required.
|
| 252 |
+
If these inequalities initially hold only on a known
|
| 253 |
+
bounded gradient range, the constitutive law must first be extended
|
| 254 |
+
with the same structure; that extension is constructed in
|
| 255 |
+
Section~\ref{sec:stress-extension}.
|
| 256 |
+
|
| 257 |
+
All global invertibility, weighted end estimates, seam regularity,
|
| 258 |
+
continuation, and uniform large-parameter conclusions used later are
|
| 259 |
+
proved below. The local estimates in this subsection supply only
|
| 260 |
+
their explicitly stated scalar ingredients.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/03-graph-calculus.tex
ADDED
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|
| 1 |
+
\section{Static graph identities and differential estimates}
|
| 2 |
+
\label{sec:graph-calculus}
|
| 3 |
+
|
| 4 |
+
This Section proves the differential identities used in both constructions.
|
| 5 |
+
They are identities on a Riemannian base; no spacetime satisfying field
|
| 6 |
+
equations is assumed. In particular, the reference tensor in this Section
|
| 7 |
+
may be either the given maximal tensor or the synthetic tensor constructed
|
| 8 |
+
later.
|
| 9 |
+
|
| 10 |
+
The curvature, current, and boundary identities give the scalar, mass,
|
| 11 |
+
and boundary inequalities in both deformations. The maximum estimate
|
| 12 |
+
controls finite slopes without differentiating the trace cutoff; the
|
| 13 |
+
energy and Newton-current estimates supply the seam-continuity argument
|
| 14 |
+
in Section~\ref{sec:transmission-analysis}.
|
| 15 |
+
|
| 16 |
+
Let $(U,g)$ be a smooth three-dimensional Riemannian manifold. Unless a
|
| 17 |
+
metric is displayed, covariant derivatives, norms, contractions, volume
|
| 18 |
+
forms, and divergences in this Section use $g$. For a symmetric covariant
|
| 19 |
+
tensor $C$, the notation $C p$ means the vector obtained by contracting with
|
| 20 |
+
$p$ and raising the remaining index with $g$. For a positive smooth
|
| 21 |
+
function $N$ and a smooth function $f$, define $s>0$ and $p$ by
|
| 22 |
+
\begin{equation}
|
| 23 |
+
p=s^2\nabla f,\qquad s^2+|\dd f|^2s^4=N^2,
|
| 24 |
+
\qquad v=\frac pN,\qquad W=\frac Ns,
|
| 25 |
+
\qquad \bar g=g+s^2\dd f\otimes\dd f.
|
| 26 |
+
\label{eq:calculus-constitutive}
|
| 27 |
+
\end{equation}
|
| 28 |
+
The positive root is unique, and it depends smoothly on $(N,\dd f)$,
|
| 29 |
+
including at $\dd f=0$, because
|
| 30 |
+
\begin{equation}
|
| 31 |
+
s^2=\frac{2N^2}{1+\sqrt{1+4N^2|\dd f|^2}}.
|
| 32 |
+
\label{eq:calculus-positive-root}
|
| 33 |
+
\end{equation}
|
| 34 |
+
We use $d=s/N=\sqrt{1-|v|^2}$ for a scalar in $(0,1]$; differentials are
|
| 35 |
+
written $\dd$. Direct rank-one inversion and the determinant formula give
|
| 36 |
+
\begin{equation}
|
| 37 |
+
\bar g^{-1}=g^{-1}-v\otimes v,\qquad
|
| 38 |
+
\dd V_{\bar g}=W\,\dd V_g.
|
| 39 |
+
\label{eq:calculus-volume-inverse}
|
| 40 |
+
\end{equation}
|
| 41 |
+
For a further positive function $w$ put
|
| 42 |
+
\begin{equation}
|
| 43 |
+
x=sw,\qquad h=x\bar g,\qquad A=Ns\bar g^{-1},
|
| 44 |
+
\qquad \pi=N^{-1}\operatorname{sym}\nabla p^\flat,
|
| 45 |
+
\label{eq:calculus-conformal-definitions}
|
| 46 |
+
\end{equation}
|
| 47 |
+
where $\operatorname{sym}$ is the half-sum. The tensor $\pi$ throughout
|
| 48 |
+
this Section is the graph second fundamental form, not the electrostatic
|
| 49 |
+
stress introduced in Section~\ref{sec:stress-extension}. The elementary
|
| 50 |
+
identities
|
| 51 |
+
\begin{equation}
|
| 52 |
+
p\cdot\dd f=W^2-1,\qquad
|
| 53 |
+
A(\dd f,\dd f)=W-W^{-1}\le p\cdot\dd f,
|
| 54 |
+
\qquad 0<A\le N^2g^{-1}
|
| 55 |
+
\label{eq:calculus-energy-algebra}
|
| 56 |
+
\end{equation}
|
| 57 |
+
will also be used in the penalty estimates.
|
| 58 |
+
|
| 59 |
+
\subsection{Curvature and the conserved current}
|
| 60 |
+
|
| 61 |
+
\begin{lemma}[Static graph curvature]\label{lem:graph-curvature}
|
| 62 |
+
Suppose that $\divg_g p=TN$, where $T$ is a smooth scalar function.
|
| 63 |
+
Then $\tr_g\pi=T$ and
|
| 64 |
+
\begin{align}
|
| 65 |
+
\bar\nabla\log s&=\nabla\log N-\pi(v),
|
| 66 |
+
\label{eq:calculus-lapse-differential}\\
|
| 67 |
+
R_{\bar g}
|
| 68 |
+
&=R_g+T^2-|\pi|^2-2(\divg_g\pi-\dd T)\cdot v.
|
| 69 |
+
\label{eq:calculus-static-curvature}
|
| 70 |
+
\end{align}
|
| 71 |
+
More generally, let $\mathcal K$ be any smooth symmetric covariant tensor,
|
| 72 |
+
and define
|
| 73 |
+
\begin{equation}
|
| 74 |
+
\kappa=\tr_g\mathcal K,\qquad
|
| 75 |
+
\ell=T-\kappa,\qquad \lambda=\pi-\mathcal K,
|
| 76 |
+
\qquad C=\lambda-\ell g,
|
| 77 |
+
\label{eq:calculus-trace-definitions}
|
| 78 |
+
\end{equation}
|
| 79 |
+
and
|
| 80 |
+
\begin{equation}
|
| 81 |
+
\mathscr D(v)=R_g+\kappa^2-|\mathcal K|^2
|
| 82 |
+
-2(\divg_g\mathcal K-\dd\kappa)\cdot v.
|
| 83 |
+
\label{eq:calculus-dominant-expression}
|
| 84 |
+
\end{equation}
|
| 85 |
+
Then
|
| 86 |
+
\begin{equation}
|
| 87 |
+
R_{\bar g}=\mathscr D(v)+|\lambda|^2-\ell^2
|
| 88 |
+
-\frac2N\divg_g(Cp).
|
| 89 |
+
\label{eq:calculus-completed-curvature}
|
| 90 |
+
\end{equation}
|
| 91 |
+
\end{lemma}
|
| 92 |
+
|
| 93 |
+
\begin{proof}
|
| 94 |
+
The trace assertion follows immediately from the definition of $\pi$.
|
| 95 |
+
To prove the first identity without any geometric interpretation, set
|
| 96 |
+
$a=\dd\log s$. Since $p^\flat=s^2\dd f$,
|
| 97 |
+
\[
|
| 98 |
+
\nabla_i p_j=N\pi_{ij}+a_i p_j-a_j p_i.
|
| 99 |
+
\]
|
| 100 |
+
Differentiating $s^2=N^2-|p|^2$ and substituting this formula gives
|
| 101 |
+
\[
|
| 102 |
+
N^2a_i-(a\cdot p)p_i=N\nabla_iN-N\pi_{ij}p^j.
|
| 103 |
+
\]
|
| 104 |
+
Division by $N^2$ and Equation~\eqref{eq:calculus-volume-inverse} give
|
| 105 |
+
Equation~\eqref{eq:calculus-lapse-differential}, as an equality of vectors.
|
| 106 |
+
|
| 107 |
+
For the curvature identity consider, solely for this computation, the
|
| 108 |
+
Lorentzian metric
|
| 109 |
+
\[
|
| 110 |
+
\widetilde g=-s^2\dd t^2+\bar g
|
| 111 |
+
\]
|
| 112 |
+
on $\R\times U$. The graph $t=f$ has induced metric $g$. If
|
| 113 |
+
$X^\mathrm{tan}=X+\dd f(X)\partial_t$, its future unit normal is
|
| 114 |
+
$n=(\partial_t+p^\mathrm{tan})/N$. Thus
|
| 115 |
+
$\partial_t=Nn-p^\mathrm{tan}$. The tangential part of the Killing
|
| 116 |
+
equation for $\partial_t$ is
|
| 117 |
+
$N\widetilde g(\widetilde\nabla_{X^\mathrm{tan}}n,Y^\mathrm{tan})
|
| 118 |
+
=\operatorname{sym}\nabla p^\flat(X,Y)$.
|
| 119 |
+
Its second fundamental form, with the sign convention specified after
|
| 120 |
+
\eqref{eq:future-trapping},
|
| 121 |
+
is therefore $\pi$.
|
| 122 |
+
|
| 123 |
+
Write $\widetilde G$ for the Einstein tensor and
|
| 124 |
+
$n_0=s^{-1}\partial_t$ for the normal to a static slice. The contracted
|
| 125 |
+
Gauss and Codazzi identities with timelike unit normal and second form
|
| 126 |
+
$\widetilde g(\widetilde\nabla n,\cdot)$ read
|
| 127 |
+
\[
|
| 128 |
+
2\widetilde G(n,n)=R_g+T^2-|\pi|^2,
|
| 129 |
+
\qquad
|
| 130 |
+
\widetilde G(n,X^\mathrm{tan})
|
| 131 |
+
=(\divg_g\pi-\dd T)(X).
|
| 132 |
+
\]
|
| 133 |
+
The static slices have zero second form. Applying these same contractions
|
| 134 |
+
to a static slice gives
|
| 135 |
+
$\widetilde G(n_0,n_0)=R_{\bar g}/2$ and
|
| 136 |
+
$\widetilde G(n_0,X)=0$ for spatial $X$. The static time component of
|
| 137 |
+
$n$ is $N/s$, whereas that of $\partial_t/N$ is $s/N$. Consequently
|
| 138 |
+
\[
|
| 139 |
+
\frac12R_{\bar g}
|
| 140 |
+
=\widetilde G(n,\partial_t/N)
|
| 141 |
+
=\widetilde G(n,n)-\widetilde G(n,v^\mathrm{tan}),
|
| 142 |
+
\]
|
| 143 |
+
which proves Equation~\eqref{eq:calculus-static-curvature} with the
|
| 144 |
+
claimed sign of the momentum term.
|
| 145 |
+
|
| 146 |
+
For completeness, the completion of the square uses symmetry to give
|
| 147 |
+
\[
|
| 148 |
+
\frac1N\divg_g(Cp)
|
| 149 |
+
=(\divg_g\lambda-\dd\ell)\cdot v
|
| 150 |
+
+\lambda:\pi-\ell T.
|
| 151 |
+
\]
|
| 152 |
+
Also $2\ell T-\ell^2=T^2-\kappa^2$ and
|
| 153 |
+
$|\lambda|^2-2\lambda:\pi=|\mathcal K|^2-|\pi|^2$.
|
| 154 |
+
Substituting these two equalities in the right side of
|
| 155 |
+
Equation~\eqref{eq:calculus-completed-curvature} recovers
|
| 156 |
+
Equation~\eqref{eq:calculus-static-curvature} term by term.
|
| 157 |
+
\end{proof}
|
| 158 |
+
|
| 159 |
+
\begin{lemma}[Graph current and conformal curvature]\label{lem:graph-current}
|
| 160 |
+
Under the hypotheses and notation of Lemma~\ref{lem:graph-curvature}, set
|
| 161 |
+
\begin{equation}
|
| 162 |
+
B=\nabla N-(\mathcal K+\ell g)p,\qquad
|
| 163 |
+
\divg_g B=\Phi,\qquad -\divg_g(A\dd w)=\Psi,
|
| 164 |
+
\qquad Q=B+A\dd w.
|
| 165 |
+
\label{eq:calculus-general-system}
|
| 166 |
+
\end{equation}
|
| 167 |
+
Then
|
| 168 |
+
\begin{align}
|
| 169 |
+
Q&=N\bar\nabla x+xCp-(x-1)B,\notag\\
|
| 170 |
+
\divg_g Q&=\Phi-\Psi,
|
| 171 |
+
\label{eq:calculus-general-current}\\
|
| 172 |
+
N\Delta_{\bar g}x+x\divg_g(Cp)&=x\Phi-\Psi,
|
| 173 |
+
\label{eq:calculus-general-x}\\
|
| 174 |
+
xR_h&=\mathscr D(v)+|\lambda|^2-\ell^2
|
| 175 |
+
-\frac{2\Phi}{N}+\frac{2\Psi}{Nx}
|
| 176 |
+
+\frac32|\dd\log x|_{\bar g}^2.
|
| 177 |
+
\label{eq:calculus-general-conformal}
|
| 178 |
+
\end{align}
|
| 179 |
+
In particular, the following two specializations hold.
|
| 180 |
+
|
| 181 |
+
\smallskip\noindent
|
| 182 |
+
\emph{The maximal AH system.} If $\tr_gK=0$ and
|
| 183 |
+
\begin{equation}
|
| 184 |
+
\divg_g p=0,\quad B=\nabla N-Kp,\quad
|
| 185 |
+
\divg_g B=3N+\Sigma,\quad
|
| 186 |
+
-\divg_g(A\dd w)=3N+\Sigma x+P,
|
| 187 |
+
\label{eq:calculus-ah-system}
|
| 188 |
+
\end{equation}
|
| 189 |
+
then, writing
|
| 190 |
+
$D=R_g+6-|K|^2-2\divg_gK\cdot v$, one has
|
| 191 |
+
\begin{align}
|
| 192 |
+
Q&=N\bar\nabla x+x(\pi-K)p-(x-1)B,\notag\\
|
| 193 |
+
\divg_g Q&=-(x-1)\Sigma-P,
|
| 194 |
+
\label{eq:calculus-ah-current}\\
|
| 195 |
+
\left(\Delta_{\bar g}-3+
|
| 196 |
+
N^{-1}\divg_g((\pi-K)p)\right)x&=-3-P/N,
|
| 197 |
+
\label{eq:calculus-ah-x}\\
|
| 198 |
+
x^2(R_h+6)
|
| 199 |
+
&=x\bigl(D+|\pi-K|^2\bigr)
|
| 200 |
+
+\frac{3}{2x}|\dd x|_{\bar g}^2
|
| 201 |
+
+6(x-1)^2+\frac{2P}{N}.
|
| 202 |
+
\label{eq:calculus-ah-curvature}
|
| 203 |
+
\end{align}
|
| 204 |
+
For the constraint densities in \eqref{eq:constraints},
|
| 205 |
+
$D=16\pi(\mu-J\cdot v)\ge0$ under the dominant energy condition.
|
| 206 |
+
|
| 207 |
+
\smallskip\noindent
|
| 208 |
+
\emph{The compact trace system.} Let $0\le u_*\le1$ be constant and
|
| 209 |
+
take $\mathcal K=u_*K$, $\kappa=u_*\tr_gK$, $\ell=T-\kappa$.
|
| 210 |
+
If
|
| 211 |
+
\begin{equation}
|
| 212 |
+
\begin{aligned}
|
| 213 |
+
\divg_g p&=TN,&
|
| 214 |
+
B&=\nabla N-(u_*K+\ell g)p,\\
|
| 215 |
+
\divg_g B&=\Sigma_++\Sigma_-,&
|
| 216 |
+
-\divg_g(A\dd w)&=\Sigma_+x+P,
|
| 217 |
+
\end{aligned}
|
| 218 |
+
\label{eq:calculus-compact-system}
|
| 219 |
+
\end{equation}
|
| 220 |
+
then
|
| 221 |
+
\begin{align}
|
| 222 |
+
Q&=N\bar\nabla x+x(\lambda-\ell g)p-(x-1)B,\notag\\
|
| 223 |
+
\divg_gQ&=-(x-1)\Sigma_+-P+\Sigma_-,
|
| 224 |
+
\label{eq:calculus-compact-current}\\
|
| 225 |
+
xR_h&=\mathscr D(v)+|\lambda|^2-\ell^2
|
| 226 |
+
-\frac{2\Sigma_-}{N}+\frac{2P}{Nx}
|
| 227 |
+
+\frac32|\dd\log x|_{\bar g}^2.
|
| 228 |
+
\label{eq:calculus-compact-curvature}
|
| 229 |
+
\end{align}
|
| 230 |
+
Here $\lambda=\pi-u_*K$. At $u_*=1$ this is the scalar identity for
|
| 231 |
+
the synthetic data. It also holds on the outer region with
|
| 232 |
+
$p=T=K=\ell=0$, $\Sigma_-=0$, and $\mathscr D=R_{g_o}$.
|
| 233 |
+
\end{lemma}
|
| 234 |
+
|
| 235 |
+
\begin{proof}
|
| 236 |
+
Since $w=x/s$, Equation~\eqref{eq:calculus-lapse-differential} gives
|
| 237 |
+
\[
|
| 238 |
+
A\dd w=N\bar\nabla x-Nx\bar\nabla\log s
|
| 239 |
+
=N\bar\nabla x-x\nabla N+x\pi p.
|
| 240 |
+
\]
|
| 241 |
+
Adding $B$ proves the first formula for $Q$. Its divergence from the
|
| 242 |
+
defining equations is $\Phi-\Psi$. To compute the divergence of its
|
| 243 |
+
other expression, Equation~\eqref{eq:calculus-volume-inverse} gives
|
| 244 |
+
\begin{align*}
|
| 245 |
+
\divg_g(N\bar\nabla x)
|
| 246 |
+
&=N\Delta_{\bar g}x
|
| 247 |
+
+N\bar g^{-1}(\dd\log s,\dd x)\\
|
| 248 |
+
&=N\Delta_{\bar g}x+(\nabla N-\pi p)\cdot\dd x.
|
| 249 |
+
\end{align*}
|
| 250 |
+
The derivative-of-$x$ terms in $\divg_g(xCp+(1-x)B)$ are
|
| 251 |
+
$(Cp-B)\cdot\dd x=(\pi p-\nabla N)\cdot\dd x$.
|
| 252 |
+
They cancel exactly, leaving
|
| 253 |
+
\[
|
| 254 |
+
\divg_gQ=N\Delta_{\bar g}x+x\divg_g(Cp)+(1-x)\Phi.
|
| 255 |
+
\]
|
| 256 |
+
This proves Equation~\eqref{eq:calculus-general-x}. In dimension three
|
| 257 |
+
the conformal change $h=x\bar g$ has scalar curvature
|
| 258 |
+
\[
|
| 259 |
+
xR_h=R_{\bar g}-2x^{-1}\Delta_{\bar g}x
|
| 260 |
+
+\frac32x^{-2}|\dd x|_{\bar g}^2.
|
| 261 |
+
\]
|
| 262 |
+
Substitution of Equations~\eqref{eq:calculus-completed-curvature} and
|
| 263 |
+
\eqref{eq:calculus-general-x} cancels the two occurrences of
|
| 264 |
+
$2N^{-1}\divg_g(Cp)$ and proves
|
| 265 |
+
Equation~\eqref{eq:calculus-general-conformal}.
|
| 266 |
+
The two stated systems now follow by substituting their values of
|
| 267 |
+
$T,\mathcal K,\Phi,\Psi$. In the AH case, the nondifferential
|
| 268 |
+
cosmological terms after multiplication by $x$ are
|
| 269 |
+
$6x^2-12x+6=6(x-1)^2$.
|
| 270 |
+
Finally, $|v|<1$ and the constraint definitions give the asserted sign
|
| 271 |
+
of $D$.
|
| 272 |
+
\end{proof}
|
| 273 |
+
|
| 274 |
+
For later use, the divergence theorem makes these current formulas into
|
| 275 |
+
exact finite-domain flux budgets. Let $S$ be the inner boundary, with
|
| 276 |
+
normal pointing into the domain, let $S_R$ have the outward normal, and
|
| 277 |
+
suppose $B_n=-b_S$ and $(A\dd w)_n=0$ on $S$. The scalar $b_S$ is a
|
| 278 |
+
boundary datum, unrelated to the hyperbolic reference metric $b$.
|
| 279 |
+
In the compact construction assume also that the two currents have
|
| 280 |
+
matching normal flux at their common face, measured toward the end.
|
| 281 |
+
Then
|
| 282 |
+
\begin{equation}
|
| 283 |
+
-\int_{S_R}Q_n\,\dd A=
|
| 284 |
+
\begin{cases}
|
| 285 |
+
\displaystyle\int_S b_S\,\dd A+
|
| 286 |
+
\int_{U_R}\bigl[(x-1)\Sigma+P\bigr]\,\dd V,
|
| 287 |
+
&\text{for \eqref{eq:calculus-ah-system}},\\[3pt]
|
| 288 |
+
\displaystyle\int_S b_S\,\dd A+
|
| 289 |
+
\int_{U_R}\bigl[(x-1)\Sigma_++P-\Sigma_-\bigr]\,\dd V,
|
| 290 |
+
&\text{for \eqref{eq:calculus-compact-system}}.
|
| 291 |
+
\end{cases}
|
| 292 |
+
\label{eq:calculus-flux-budget}
|
| 293 |
+
\end{equation}
|
| 294 |
+
Indeed, the outward normal at $S$ is $-n$, so its contribution to the
|
| 295 |
+
outward flux is $\int_S b_S$. The two face contributions cancel since
|
| 296 |
+
the base induced area forms and the directed fluxes agree. Conversion
|
| 297 |
+
of the outer flux into the relevant mass difference requires the end
|
| 298 |
+
estimates proved in the corresponding construction.
|
| 299 |
+
|
| 300 |
+
\subsection{Boundary identities}
|
| 301 |
+
|
| 302 |
+
\begin{lemma}[Constant-height boundary]\label{lem:graph-boundary}
|
| 303 |
+
Let $\mathcal S$ be a smooth two-sided hypersurface on which $f$ is
|
| 304 |
+
constant. Choose a $g$-unit normal $n$, and write $H=\divg_{\mathcal S}n$,
|
| 305 |
+
$\hat z=v\cdot n$, $y=\hat z^2$, and
|
| 306 |
+
$k_T=\tr_{\mathcal S}\mathcal K$. The same directed normal is used on
|
| 307 |
+
each side if $\mathcal S$ is a gluing face. Then
|
| 308 |
+
\begin{align}
|
| 309 |
+
d^2\partial_n\log s&=B_n/N-k_T\hat z+yH,
|
| 310 |
+
\label{eq:calculus-boundary-lapse}\\
|
| 311 |
+
s\sqrt{x}\,H_h
|
| 312 |
+
&=N(H-k_T\hat z)+B_n+(A\dd w)_n/x.
|
| 313 |
+
\label{eq:calculus-boundary}
|
| 314 |
+
\end{align}
|
| 315 |
+
In particular, in the maximal AH system with $v=-z n$,
|
| 316 |
+
$k=K(n,n)$, $B_n=-b_S$, and $(A\dd w)_n=0$,
|
| 317 |
+
\begin{equation}
|
| 318 |
+
s\sqrt{x}\,H_h=N(H-zk)-b_S=NH+\partial_nN.
|
| 319 |
+
\label{eq:calculus-ah-boundary}
|
| 320 |
+
\end{equation}
|
| 321 |
+
In the compact system, if $H\le0$, $k_T<0$, $\hat z\le0$,
|
| 322 |
+
$B_n=-b_*<0$, and $(A\dd w)_n=0$, then $H_h<0$.
|
| 323 |
+
|
| 324 |
+
Suppose, at a compact gluing face, that $N_o=s_i$, that $w$ and the
|
| 325 |
+
normal fluxes of $B,A\dd w$ agree, that $f$ is constant on the inner
|
| 326 |
+
face, and that $p=0$ outside. The induced $h$-metrics then agree.
|
| 327 |
+
If the inner base mean curvature satisfies $H_i>|k_T|$ and the outer
|
| 328 |
+
one is $H_o=\sqrt{H_i^2-k_T^2}$, then
|
| 329 |
+
$H_{h,i}\ge H_{h,o}$, both measured toward the end.
|
| 330 |
+
\end{lemma}
|
| 331 |
+
|
| 332 |
+
\begin{proof}
|
| 333 |
+
On $\mathcal S$, $p=N\hat z n$. For tangent vectors $X,Y$,
|
| 334 |
+
$\nabla^2f(X,Y)=f_n\operatorname{II}(X,Y)$; consequently
|
| 335 |
+
$\pi(X,Y)=\hat z\operatorname{II}(X,Y)$ and
|
| 336 |
+
$\pi(n,n)=T-\hat z H$. Taking the normal component in
|
| 337 |
+
Equation~\eqref{eq:calculus-lapse-differential} therefore yields
|
| 338 |
+
\[
|
| 339 |
+
d^2\partial_n\log s
|
| 340 |
+
=\partial_n\log N-\hat z T+yH.
|
| 341 |
+
\]
|
| 342 |
+
Since $\partial_nN=B_n+N(\mathcal K(n,n)+\ell)\hat z$ and
|
| 343 |
+
$\mathcal K(n,n)+\ell-T=-k_T$, this proves
|
| 344 |
+
Equation~\eqref{eq:calculus-boundary-lapse}.
|
| 345 |
+
|
| 346 |
+
In base normal coordinates, the tangential entries of $\bar g$ and
|
| 347 |
+
their first normal derivatives agree with those of $g$ at the face:
|
| 348 |
+
the extra products contain at least one tangential derivative of $f$.
|
| 349 |
+
The mixed entries vanish along the entire face, and the normal length
|
| 350 |
+
factor is $W$. Hence $\bar n=dn$ and $H_{\bar g}=dH$. The
|
| 351 |
+
mean-curvature formula for $h=x\bar g$ gives
|
| 352 |
+
\[
|
| 353 |
+
\sqrt{x}\,H_h=d(H+\partial_n\log x).
|
| 354 |
+
\]
|
| 355 |
+
Multiplication by $s=Nd$, followed by
|
| 356 |
+
Equation~\eqref{eq:calculus-boundary-lapse}, gives
|
| 357 |
+
\[
|
| 358 |
+
s\sqrt{x}\,H_h
|
| 359 |
+
=N(H-k_T\hat z)+B_n+Nd^2w_n/w.
|
| 360 |
+
\]
|
| 361 |
+
The final term equals $(A\dd w)_n/x$, proving
|
| 362 |
+
Equation~\eqref{eq:calculus-boundary}. In the maximal case
|
| 363 |
+
$k_T=-k$, $\hat z=-z$, and $\partial_nN=-Nzk-b_S$;
|
| 364 |
+
this proves Equation~\eqref{eq:calculus-ah-boundary}.
|
| 365 |
+
The asserted strict sign in the compact case follows because
|
| 366 |
+
$H-k_T\hat z\le0$ and $B_n<0$.
|
| 367 |
+
|
| 368 |
+
At the gluing face the tangential graph metrics equal their base
|
| 369 |
+
metrics, which agree, and $x_i=s_iw=N_ow=x_o$.
|
| 370 |
+
The remaining inequality reduces by
|
| 371 |
+
Equation~\eqref{eq:calculus-boundary} to
|
| 372 |
+
\[
|
| 373 |
+
N_i(H_i-k_T\hat z)\ge s_i\sqrt{H_i^2-k_T^2}.
|
| 374 |
+
\]
|
| 375 |
+
Both sides are nonnegative, and after division by $N_i$ its squared
|
| 376 |
+
difference is
|
| 377 |
+
\[
|
| 378 |
+
(H_i-k_T\hat z)^2-(1-\hat z^2)(H_i^2-k_T^2)
|
| 379 |
+
=(k_T-H_i\hat z)^2\ge0.
|
| 380 |
+
\]
|
| 381 |
+
This proves the mean-curvature ordering.
|
| 382 |
+
\end{proof}
|
| 383 |
+
|
| 384 |
+
\subsection{A maximum estimate without differentiating the cutoff}
|
| 385 |
+
|
| 386 |
+
\begin{lemma}[Gradient maximum estimate]\label{lem:gradient-maximum}
|
| 387 |
+
Let $N>0,f,\mathcal K,T$ be smooth and satisfy
|
| 388 |
+
$\divg_g p=TN$ and
|
| 389 |
+
$\divg_g[\nabla N-(\mathcal K+\ell g)p]=\Phi$, with the definitions
|
| 390 |
+
above. Suppose on the region in question that
|
| 391 |
+
\begin{equation}
|
| 392 |
+
|\Ric_g|+|\mathcal K|+
|
| 393 |
+
|\divg_g\mathcal K-\dd\tr_g\mathcal K|+|T|\le C_0,
|
| 394 |
+
\qquad \Phi\le C_0N+\Sigma,\qquad \Sigma\ge0.
|
| 395 |
+
\label{eq:calculus-maximum-hypotheses}
|
| 396 |
+
\end{equation}
|
| 397 |
+
At a point where $m=|\dd f|>0$, set
|
| 398 |
+
\begin{equation}
|
| 399 |
+
\begin{aligned}
|
| 400 |
+
l&=\log m,\quad u=\log N,\quad e=\nabla f/m,\quad y=|v|^2,\\
|
| 401 |
+
q&=\frac{1-y}{1+y},\quad \beta=1+q,\quad
|
| 402 |
+
\mathcal P=g^{-1}+(q-1)e\otimes e,\quad G=-\log s.
|
| 403 |
+
\end{aligned}
|
| 404 |
+
\label{eq:calculus-gradient-notation}
|
| 405 |
+
\end{equation}
|
| 406 |
+
Let $j$ be twice continuously differentiable with $j''>0$, with either
|
| 407 |
+
sign allowed for $j'$, and let $\eta$ be a twice continuously
|
| 408 |
+
differentiable localization function. At an interior local maximum of
|
| 409 |
+
$G+j(f)+\eta$ with $y\ge1/2$,
|
| 410 |
+
\begin{equation}
|
| 411 |
+
j''q m^2\le C\left[1+\frac\Sigma N
|
| 412 |
+
+(1-y)^2(j'm)^2+|\dd\eta|^2+|\nabla^2\eta|\right],
|
| 413 |
+
\label{eq:calculus-gradient-maximum}
|
| 414 |
+
\end{equation}
|
| 415 |
+
where $C$ depends only on $C_0$. In particular, at that point,
|
| 416 |
+
\begin{equation}
|
| 417 |
+
W^2\le\frac C{j''}\left[
|
| 418 |
+
N^2+N\Sigma+(j')^2
|
| 419 |
+
+N^2\bigl(|\dd\eta|^2+|\nabla^2\eta|\bigr)\right].
|
| 420 |
+
\label{eq:calculus-gradient-weighted}
|
| 421 |
+
\end{equation}
|
| 422 |
+
No positive lower bound for $N$, no derivative bound for $T$, and no
|
| 423 |
+
second derivative bound for $N$ enter these two estimates.
|
| 424 |
+
|
| 425 |
+
At a constant-height boundary, with the notation of
|
| 426 |
+
Lemma~\ref{lem:graph-boundary}, the exact normal derivative is
|
| 427 |
+
\begin{equation}
|
| 428 |
+
d^2\partial_n\bigl(G+j(f)+\eta\bigr)
|
| 429 |
+
=-B_n/N+k_T\hat z-yH+j'\hat z/N+d^2\partial_n\eta.
|
| 430 |
+
\label{eq:calculus-gradient-boundary}
|
| 431 |
+
\end{equation}
|
| 432 |
+
For the maximal AH inner boundary, if $H\le k$, $b_S\ge0$, and
|
| 433 |
+
$v=-zn$, this implies
|
| 434 |
+
\begin{equation}
|
| 435 |
+
G_n=-\frac{yH+u_n}{1-y}
|
| 436 |
+
=\frac{b_S/N+zk-z^2H}{1-z^2}
|
| 437 |
+
\ge\frac{zk}{1+z}.
|
| 438 |
+
\label{eq:calculus-ah-gradient-boundary}
|
| 439 |
+
\end{equation}
|
| 440 |
+
\end{lemma}
|
| 441 |
+
|
| 442 |
+
\begin{proof}
|
| 443 |
+
Use a $g$-orthonormal frame at the point with first vector $e$ and
|
| 444 |
+
transverse indices $a,b\in\{2,3\}$. Put
|
| 445 |
+
$U_{ab}=\nabla^2_{ab}f/m$ and $C_T=T/z$, where $z=\sqrt y$.
|
| 446 |
+
Differentiation of the constitutive law gives
|
| 447 |
+
\begin{equation}
|
| 448 |
+
\begin{aligned}
|
| 449 |
+
Nm&=\frac z{1-y},\qquad
|
| 450 |
+
q'=\frac{\dd q}{\dd(l+u)}=-\frac{4yq}{(1+y)^2},\\
|
| 451 |
+
\mathcal P:\nabla^2f&=mC_T-\beta\nabla f\cdot\dd u,
|
| 452 |
+
\qquad \tr U=C_T-ql_1-\beta u_1.
|
| 453 |
+
\end{aligned}
|
| 454 |
+
\label{eq:calculus-height-nondivergence}
|
| 455 |
+
\end{equation}
|
| 456 |
+
Here and below $q'$ differentiates the scalar constitutive function,
|
| 457 |
+
not a spatial coordinate. The derivative of the height flux with
|
| 458 |
+
respect to $\dd f$ is $s^2\mathcal P$; its derivative with respect to
|
| 459 |
+
$N$ is $s^2(\beta/N)\nabla f$. This also proves that the
|
| 460 |
+
nondivergence equation is smooth and elliptic through zero gradient.
|
| 461 |
+
|
| 462 |
+
Differentiating the height equation in direction $e$, commuting the
|
| 463 |
+
third derivatives of a scalar, and differentiating its norm gives
|
| 464 |
+
\begin{align}
|
| 465 |
+
\mathcal P:\nabla^2l={}&\Ric(e,e)-\beta u_{11}
|
| 466 |
+
-q'(l_1+u_1)^2-\beta\dd l\cdot\dd u
|
| 467 |
+
+|U|^2+(1-q)|\dd_\perp l|^2-ql_1^2 \notag\\
|
| 468 |
+
&+\frac{\partial_1T}{z}
|
| 469 |
+
+C_T\bigl[(1-q)l_1-qu_1\bigr].
|
| 470 |
+
\label{eq:calculus-log-gradient-equation}
|
| 471 |
+
\end{align}
|
| 472 |
+
Here is an explicit account of the norm and coefficient terms in this
|
| 473 |
+
calculation. In $m^{-1}\mathcal P:\nabla^2m$, the second derivatives
|
| 474 |
+
of the norm contribute $q|\dd_\perp l|^2+|U|^2$.
|
| 475 |
+
The contraction $m^{-1}(\nabla_e\mathcal P):\nabla^2f$ is
|
| 476 |
+
$q'(l_1+u_1)l_1+2(q-1)|\dd_\perp l|^2$.
|
| 477 |
+
Differentiating $-\beta m u_1$ contributes
|
| 478 |
+
$-\beta u_{11}-\beta\dd l\cdot\dd u
|
| 479 |
+
-q'(l_1+u_1)u_1$.
|
| 480 |
+
Passing from $m$ to $l$ subtracts
|
| 481 |
+
$\mathcal P(\dd l,\dd l)=ql_1^2+|\dd_\perp l|^2$.
|
| 482 |
+
Finally,
|
| 483 |
+
$m^{-1}\partial_1(mT/z)=T_1/z+C_T[(1-q)l_1-qu_1]$.
|
| 484 |
+
These are precisely all terms of
|
| 485 |
+
Equation~\eqref{eq:calculus-log-gradient-equation}.
|
| 486 |
+
|
| 487 |
+
Set $I=(1+y)^{-1}$ and $J=y/(1+y)$. Then
|
| 488 |
+
$G_l=J$, $G_u=-I$, and all four second partial derivatives of $G$
|
| 489 |
+
as a function of $(l,u)$ equal $-q'/2$.
|
| 490 |
+
Since $-I(q-1)=J\beta$, the Hessian terms in $u$ in
|
| 491 |
+
$\mathcal P:\nabla^2G$ reduce exactly to $-I\Delta u$.
|
| 492 |
+
The lapse equation, expanded using the symmetry of
|
| 493 |
+
$\mathcal K+\ell g$, is
|
| 494 |
+
\begin{equation}
|
| 495 |
+
\Delta u=\Phi/N+
|
| 496 |
+
[\divg_g\mathcal K-\dd\kappa+\dd T]\cdot v
|
| 497 |
+
+(\mathcal K+\ell g):\pi-|\dd u|^2.
|
| 498 |
+
\label{eq:calculus-log-lapse}
|
| 499 |
+
\end{equation}
|
| 500 |
+
The coefficient of $T_1$ is $J/z-Iz=0$. Thus no derivative of $T$
|
| 501 |
+
remains. More precisely, with $a_y=-q'/2$, the resulting identity is
|
| 502 |
+
\begin{align}
|
| 503 |
+
\mathcal P:\nabla^2G={}&J\Ric(e,e)-I\Phi/N
|
| 504 |
+
-I(\divg_g\mathcal K-\dd\kappa)\cdot v
|
| 505 |
+
-I(\mathcal K+\ell g):\pi \notag\\
|
| 506 |
+
&+\mathcal Q+JC_T[(1-q)l_1-qu_1],
|
| 507 |
+
\label{eq:calculus-master-gradient}\\
|
| 508 |
+
\mathcal Q={}&J|U|^2+a_y|\dd l+\dd u|^2
|
| 509 |
+
-J\beta\dd l\cdot\dd u
|
| 510 |
+
+J(1-q)|\dd_\perp l|^2-Jql_1^2+I|\dd u|^2.
|
| 511 |
+
\label{eq:calculus-gradient-quadratic}
|
| 512 |
+
\end{align}
|
| 513 |
+
In obtaining the coefficient $a_y$ of the normal square, one uses
|
| 514 |
+
$2J+q=1$: the two contributions are $-Jq'$ and $-qq'/2$.
|
| 515 |
+
|
| 516 |
+
At the specified maximum put $D_0=j'm$. The vanishing first derivative
|
| 517 |
+
is equivalent to
|
| 518 |
+
\begin{equation}
|
| 519 |
+
J(l_i+u_i)=u_i-D_0\delta_{i1}-\eta_i.
|
| 520 |
+
\label{eq:calculus-maximum-substitution}
|
| 521 |
+
\end{equation}
|
| 522 |
+
First take $\dd\eta=0$ and separate
|
| 523 |
+
$|U|^2=|U_{\rm tf}|^2+(\tr U)^2/2$.
|
| 524 |
+
The portion of
|
| 525 |
+
$\mathcal Q+j'\mathcal P:\nabla^2f$ independent of $C_T$ is exactly
|
| 526 |
+
\begin{align}
|
| 527 |
+
J|U_{\rm tf}|^2
|
| 528 |
+
&+\frac{(3-2y)u_1^2-6(1-y)D_0u_1
|
| 529 |
+
+3(1-y)^2D_0^2}{2y(1+y)} \notag\\
|
| 530 |
+
&+\frac{2-y}{y(1+y)}|\dd_\perp u|^2.
|
| 531 |
+
\label{eq:calculus-maximum-positive-form}
|
| 532 |
+
\end{align}
|
| 533 |
+
This follows by inserting
|
| 534 |
+
$l_1=(Iu_1-D_0)/J$, $l_a=Iu_a/J$, and
|
| 535 |
+
$\tr U=C_T+[-u_1+(1-y)D_0]/y$ in
|
| 536 |
+
Equation~\eqref{eq:calculus-gradient-quadratic}.
|
| 537 |
+
The terms containing $C_T$, including the last term of
|
| 538 |
+
Equation~\eqref{eq:calculus-master-gradient}, are
|
| 539 |
+
\begin{align}
|
| 540 |
+
\frac J2 C_T^2+
|
| 541 |
+
C_T[J(1-2q)l_1-J(\beta+q)u_1+D_0]
|
| 542 |
+
=\frac J2C_T^2+qC_T(2D_0-u_1).
|
| 543 |
+
\label{eq:calculus-trace-cancellation}
|
| 544 |
+
\end{align}
|
| 545 |
+
This last simplification is the gain needed for a bounded trace target:
|
| 546 |
+
$q|D_0|\le(1-y)|D_0|$, rather than an unweighted $|D_0|$.
|
| 547 |
+
|
| 548 |
+
For $y\in[1/2,1)$ the positive coefficients in
|
| 549 |
+
Equation~\eqref{eq:calculus-maximum-positive-form} are bounded below.
|
| 550 |
+
Young's inequality therefore bounds that expression below by
|
| 551 |
+
$c(|U_{\rm tf}|^2+|\dd u|^2)-C(1-y)^2D_0^2$.
|
| 552 |
+
The trace terms in Equation~\eqref{eq:calculus-trace-cancellation}
|
| 553 |
+
have the same lower bound after reducing $c$ and adding a constant,
|
| 554 |
+
because $|C_T|\le\sqrt2 C_0$.
|
| 555 |
+
For general $\dd\eta$, use $D_0+\eta_1$ in the normal substitutions.
|
| 556 |
+
The unchanged term $-\beta D_0u_1$ adds $\beta\eta_1u_1$ relative to
|
| 557 |
+
that substitution. The transverse substitutions add terms bounded by
|
| 558 |
+
$C(|\dd\eta|^2+|\dd\eta||\dd u|)$, and the additional trace term is
|
| 559 |
+
$-(1-2q)C_T\eta_1$. Another application of Young's inequality thus
|
| 560 |
+
adds only $C|\dd\eta|^2$ to the lower bound.
|
| 561 |
+
|
| 562 |
+
The components of the graph second form are
|
| 563 |
+
\begin{equation}
|
| 564 |
+
\pi_{11}=T-z\tr U,\qquad \pi_{ab}=zU_{ab},\qquad
|
| 565 |
+
\pi_{1a}=\frac{z\beta}{2}(u_a+l_a).
|
| 566 |
+
\label{eq:calculus-second-form-components}
|
| 567 |
+
\end{equation}
|
| 568 |
+
Equation~\eqref{eq:calculus-maximum-substitution} also gives
|
| 569 |
+
\[
|
| 570 |
+
|\tr U|\le C\bigl(1+|\dd u|+(1-y)|D_0|+|\dd\eta|\bigr).
|
| 571 |
+
\]
|
| 572 |
+
Thus the term $(\mathcal K+\ell g):\pi$ is absorbed in the same
|
| 573 |
+
positive quadratic expression, with an error
|
| 574 |
+
$C[1+(1-y)^2D_0^2+|\dd\eta|^2]$.
|
| 575 |
+
The curvature and momentum terms are bounded, and
|
| 576 |
+
$-I\Phi/N\ge-C-\Sigma/N$.
|
| 577 |
+
At a local maximum the positive definite tensor $\mathcal P$ has
|
| 578 |
+
nonpositive contraction with $\nabla^2(G+j(f)+\eta)$.
|
| 579 |
+
Its remaining height term is $j''\mathcal P(\dd f,\dd f)=j''qm^2$,
|
| 580 |
+
and $|\mathcal P:\nabla^2\eta|\le C|\nabla^2\eta|$.
|
| 581 |
+
This proves Equation~\eqref{eq:calculus-gradient-maximum}.
|
| 582 |
+
|
| 583 |
+
Multiply it by $N^2$ and use
|
| 584 |
+
$N^2qm^2=J/(1-y)$, $J\ge1/3$, and
|
| 585 |
+
$N^2(1-y)^2(j'm)^2=y(j')^2$.
|
| 586 |
+
This proves Equation~\eqref{eq:calculus-gradient-weighted} without a
|
| 587 |
+
lapse floor. Lastly, negate
|
| 588 |
+
Equation~\eqref{eq:calculus-boundary-lapse} and use
|
| 589 |
+
$d^2f_n=\hat z/N$ to obtain
|
| 590 |
+
Equation~\eqref{eq:calculus-gradient-boundary}.
|
| 591 |
+
In the AH case, $\tr\pi=0$ also gives
|
| 592 |
+
$d^2\partial_n\log s=u_n+yH$.
|
| 593 |
+
Substitution of $u_n=-zk-b_S/N$ and $H\le k$ proves
|
| 594 |
+
Equation~\eqref{eq:calculus-ah-gradient-boundary}.
|
| 595 |
+
\end{proof}
|
| 596 |
+
|
| 597 |
+
\subsection{Energy and Newton flux identities at finite slope}
|
| 598 |
+
|
| 599 |
+
\begin{lemma}[Differential energy inequality]\label{lem:gradient-energy}
|
| 600 |
+
Assume the two differential equations and the geometric coefficient
|
| 601 |
+
bounds of Lemma~\ref{lem:gradient-maximum}. On a region suppose, in
|
| 602 |
+
addition, that $N,s$ have positive lower bounds and finite upper bounds,
|
| 603 |
+
that $|\dd f|$ has a finite upper bound, and that $\Phi/N$ is bounded
|
| 604 |
+
above. Constants in this Lemma may depend on these finite bounds.
|
| 605 |
+
With
|
| 606 |
+
$E_i=|\nabla N|^2+|\nabla^2f|^2$ and
|
| 607 |
+
$\rho=(1+y)/d$, one has
|
| 608 |
+
\begin{equation}
|
| 609 |
+
\mathcal P:\nabla^2G\ge cE_i-C(1+|\dd G|^2).
|
| 610 |
+
\label{eq:calculus-energy-nondivergence}
|
| 611 |
+
\end{equation}
|
| 612 |
+
There is a finite $k_0>0$, depending only on the stated bounds, such
|
| 613 |
+
that for $Y=s^{-k_0}$,
|
| 614 |
+
\begin{equation}
|
| 615 |
+
\divg_g(\rho\mathcal P\dd Y)\ge cE_i-C.
|
| 616 |
+
\label{eq:calculus-energy-divergence}
|
| 617 |
+
\end{equation}
|
| 618 |
+
These inequalities hold also at $\dd f=0$, and their constants use no
|
| 619 |
+
derivatives of $T$.
|
| 620 |
+
|
| 621 |
+
On a region where $p=0$, $s=N$, and $\Delta N=\Phi$, the corresponding
|
| 622 |
+
inequality is $\Delta Y\ge c|\nabla N|^2-C$.
|
| 623 |
+
At a constant-height gluing face satisfying $N_o=s_i$ and matching
|
| 624 |
+
flux of $B$, the directed inner flux $(\rho\mathcal P\dd Y)_n$ and
|
| 625 |
+
outer flux $\partial_nY$ differ by a bounded amount. The bound
|
| 626 |
+
depends only on the finite field bounds and the fixed face geometry.
|
| 627 |
+
\end{lemma}
|
| 628 |
+
|
| 629 |
+
\begin{proof}
|
| 630 |
+
At nonzero gradient write $\gamma=\dd G$. The identity
|
| 631 |
+
$\gamma=J\dd l-I\dd u$ gives
|
| 632 |
+
$\dd u=y\dd l-(1+y)\gamma$.
|
| 633 |
+
Inserting it into Equation~\eqref{eq:calculus-gradient-quadratic}
|
| 634 |
+
gives the exact expression
|
| 635 |
+
\begin{align}
|
| 636 |
+
\mathcal Q={}&J\left[|U|^2+(1-y)l_1^2
|
| 637 |
+
+(2-y)|\dd_\perp l|^2\right]\notag\\
|
| 638 |
+
&-\frac{2y(2-y)}{1+y}\dd l\cdot\gamma
|
| 639 |
+
+\frac{1+4y-y^2}{1+y}|\gamma|^2.
|
| 640 |
+
\label{eq:calculus-energy-positive-form}
|
| 641 |
+
\end{align}
|
| 642 |
+
On the bounded field range, $1-y$ has a positive lower bound and
|
| 643 |
+
\[
|
| 644 |
+
\frac J{m^2}=\frac{N^2(1-y)^2}{1+y},\qquad
|
| 645 |
+
|\nabla^2f|^2=m^2(l_1^2+2|\dd_\perp l|^2+|U|^2).
|
| 646 |
+
\]
|
| 647 |
+
The first line of Equation~\eqref{eq:calculus-energy-positive-form}
|
| 648 |
+
therefore controls $|\nabla^2f|^2$. Its mixed term is at most
|
| 649 |
+
$Cy|\dd l||\gamma|$ and is absorbed with an error $C|\gamma|^2$.
|
| 650 |
+
Moreover,
|
| 651 |
+
$|\dd u|^2\le C(y^2|\dd l|^2+|\gamma|^2)$, so after reducing the
|
| 652 |
+
positive coefficient the same lower bound controls $E_i$.
|
| 653 |
+
|
| 654 |
+
In Equation~\eqref{eq:calculus-master-gradient}, the trace term has
|
| 655 |
+
$|JC_T|\le C z$. Its absolute value is bounded by
|
| 656 |
+
$C\sqrt{E_i}$, since $z$ is comparable to $m$ on this field range.
|
| 657 |
+
Equation~\eqref{eq:calculus-second-form-components}, or direct
|
| 658 |
+
differentiation of $p(N,\dd f)$, gives
|
| 659 |
+
$|\pi|\le C\sqrt{E_i}$.
|
| 660 |
+
The remaining terms in the master identity are bounded below by a
|
| 661 |
+
constant minus $C\sqrt{E_i}$. Young's inequality proves
|
| 662 |
+
Equation~\eqref{eq:calculus-energy-nondivergence}.
|
| 663 |
+
|
| 664 |
+
There is no singularity at zero slope. The expansion
|
| 665 |
+
$G=-\log N+\tfrac12N^2|\dd f|^2+O(|\dd f|^4)$ and the lapse equation
|
| 666 |
+
give, directly at a point with $\dd f=0$,
|
| 667 |
+
\[
|
| 668 |
+
\mathcal P:\nabla^2G
|
| 669 |
+
=N^2|\nabla^2f|^2+|\dd u|^2-\Phi/N
|
| 670 |
+
-N(\mathcal K+\ell g):\nabla^2f.
|
| 671 |
+
\]
|
| 672 |
+
This proves the same inequality there. The matrices
|
| 673 |
+
$\mathcal P$ and $\rho\mathcal P$ are smooth functions of
|
| 674 |
+
$(N,\dd f)$, despite their expressions in terms of $e$; for example
|
| 675 |
+
$q-1=-2y/(1+y)$ cancels the denominator in $e\otimes e$.
|
| 676 |
+
Their derivatives consequently satisfy
|
| 677 |
+
$|\divg_g(\rho\mathcal P)|\le C\sqrt{E_i}$.
|
| 678 |
+
|
| 679 |
+
For $Y=e^{k_0G}$ the product rule yields
|
| 680 |
+
\begin{align*}
|
| 681 |
+
\divg_g(\rho\mathcal P\dd Y)
|
| 682 |
+
=k_0Y\bigl[\rho\mathcal P:\nabla^2G
|
| 683 |
+
+\divg_g(\rho\mathcal P)\cdot\dd G
|
| 684 |
+
+k_0\rho\mathcal P(\dd G,\dd G)\bigr].
|
| 685 |
+
\end{align*}
|
| 686 |
+
The mixed coefficient term is bounded by $C\sqrt{E_i}|\dd G|$.
|
| 687 |
+
Absorb half the positive $E_i$ term with Young's inequality, and then
|
| 688 |
+
choose $k_0$ so the final term absorbs the resulting multiple of
|
| 689 |
+
$|\dd G|^2$. The upper and lower bounds on $s$ bound $Y$ on this
|
| 690 |
+
range and prove Equation~\eqref{eq:calculus-energy-divergence}.
|
| 691 |
+
Outside, direct differentiation gives
|
| 692 |
+
\[
|
| 693 |
+
\Delta N^{-k_0}=k_0N^{-k_0}
|
| 694 |
+
\left[(k_0+1)|\dd\log N|^2-\Phi/N\right],
|
| 695 |
+
\]
|
| 696 |
+
which proves the stated outer inequality.
|
| 697 |
+
|
| 698 |
+
On the face, $\rho q=d$ and
|
| 699 |
+
Equation~\eqref{eq:calculus-boundary-lapse} gives
|
| 700 |
+
\begin{equation}
|
| 701 |
+
(\rho\mathcal P\dd Y)_n
|
| 702 |
+
=-\frac{k_0YB_n}{s}
|
| 703 |
+
+\frac{k_0Y}{d}(k_T\hat z-yH),
|
| 704 |
+
\qquad
|
| 705 |
+
(\partial_nY)_o=-\frac{k_0YB_n}{s}.
|
| 706 |
+
\label{eq:calculus-energy-seam-flux}
|
| 707 |
+
\end{equation}
|
| 708 |
+
The second term in the inner expression is bounded under the stated
|
| 709 |
+
finite bounds; the first terms agree. This proves the flux assertion.
|
| 710 |
+
\end{proof}
|
| 711 |
+
|
| 712 |
+
\begin{lemma}[Newton flux and freezing its coefficient]\label{lem:newton-flux}
|
| 713 |
+
In the setting of Lemma~\ref{lem:gradient-energy}, let
|
| 714 |
+
$\mathcal T_f=\nabla^2f-(\Delta f)g$. The exact smooth vector identity
|
| 715 |
+
is
|
| 716 |
+
\begin{equation}
|
| 717 |
+
\rho\mathcal P\nabla G
|
| 718 |
+
=-\frac{\nabla N}{s}
|
| 719 |
+
+\mathcal T_f\left(\frac{s^3}{N}\nabla f\right)
|
| 720 |
+
+Ts\nabla f,
|
| 721 |
+
\qquad
|
| 722 |
+
\divg_g\mathcal T_f=\Ric_g(\nabla f,\cdot).
|
| 723 |
+
\label{eq:calculus-newton}
|
| 724 |
+
\end{equation}
|
| 725 |
+
The coefficient of $\mathcal T_f$ is smooth at $\dd f=0$.
|
| 726 |
+
|
| 727 |
+
More specifically, in a fixed smooth face chart take compatible
|
| 728 |
+
reference fields
|
| 729 |
+
$\mathcal V_*=(n_*,a_*\dd t,s_*)$ for
|
| 730 |
+
$\mathcal V=(N_i,\dd f,N_o)$, where $t$ is inner signed unit normal
|
| 731 |
+
distance, $n_*>0$, and $s_*=s(n_*,|a_*|)$.
|
| 732 |
+
Assume the reference ranges and the actual fields lie in a fixed
|
| 733 |
+
bounded positive lapse and finite slope range. Put
|
| 734 |
+
$Y_*=s_*^{-k_0}$ and
|
| 735 |
+
\[
|
| 736 |
+
c_*=(k_0Y_*/s_*) ,\qquad
|
| 737 |
+
\mathfrak b_*=k_0Y_*\frac{s_*^3}{n_*}a_*\nabla t.
|
| 738 |
+
\]
|
| 739 |
+
For the following assertion assume also that $\Phi$ is bounded
|
| 740 |
+
on each side. Modify the inner and outer energy fluxes by
|
| 741 |
+
\begin{equation}
|
| 742 |
+
\mathcal J_i=\rho\mathcal P\dd Y+c_*B-\mathcal T_f\mathfrak b_* ,
|
| 743 |
+
\qquad \mathcal J_o=\nabla Y+c_*B.
|
| 744 |
+
\label{eq:calculus-frozen-flux}
|
| 745 |
+
\end{equation}
|
| 746 |
+
They have bounded directed flux difference across the face, and
|
| 747 |
+
\begin{align}
|
| 748 |
+
|\mathcal J|&\le C\bigl(1+|\mathcal V-\mathcal V_*|\sqrt E\bigr),
|
| 749 |
+
\label{eq:calculus-frozen-flux-size}\\
|
| 750 |
+
\divg\mathcal J&\ge c'E-C-C\delta_{\mathcal C}
|
| 751 |
+
\label{eq:calculus-frozen-flux-divergence}
|
| 752 |
+
\end{align}
|
| 753 |
+
in the joined weak formulation, with $E=E_i$ inside and
|
| 754 |
+
$E=|\nabla N_o|^2$ outside. The second line is understood with the
|
| 755 |
+
smooth metric densities in coordinates, and $\delta_{\mathcal C}$ is
|
| 756 |
+
surface measure on the face. The same conclusion holds on an interior
|
| 757 |
+
chart with an arbitrary constant covector reference and no face term;
|
| 758 |
+
its metric-dependent reference coefficients are taken as smooth
|
| 759 |
+
functions of position.
|
| 760 |
+
\end{lemma}
|
| 761 |
+
|
| 762 |
+
\begin{proof}
|
| 763 |
+
At nonzero gradient the vector multiplying $\mathcal T_f$ can be
|
| 764 |
+
written as
|
| 765 |
+
\[
|
| 766 |
+
\frac{y\nabla f}{d m^2}=
|
| 767 |
+
\frac{s^3}{N}\nabla f,
|
| 768 |
+
\qquad \frac{zT}{d}e=Ts\nabla f.
|
| 769 |
+
\]
|
| 770 |
+
For a transverse component, multiplication of the proposed identity
|
| 771 |
+
by $d$ gives $-u_a+yl_a$ on both sides.
|
| 772 |
+
For its first component, the two terms preceding $Ts\nabla f$ on the
|
| 773 |
+
right side, multiplied by $d$, are
|
| 774 |
+
\[
|
| 775 |
+
-u_1-y\tr U=q(yl_1-u_1)-zT,
|
| 776 |
+
\]
|
| 777 |
+
by Equation~\eqref{eq:calculus-height-nondivergence}.
|
| 778 |
+
The last term adds $zT$, giving exactly the first component of the
|
| 779 |
+
left side. This proves the first identity, including at zero gradient
|
| 780 |
+
by smoothness. Commuting the covariant derivatives of $f$ gives
|
| 781 |
+
$\nabla^j\nabla^2_{ij}f=\nabla_i\Delta f+\Ric_{ik}\nabla^kf$,
|
| 782 |
+
which is the second identity.
|
| 783 |
+
|
| 784 |
+
Multiply the first identity by $k_0Y$. In
|
| 785 |
+
Equation~\eqref{eq:calculus-frozen-flux}, the coefficients of
|
| 786 |
+
$\nabla N$ and of $\mathcal T_f$ then vanish at the reference state:
|
| 787 |
+
\begin{align*}
|
| 788 |
+
\mathcal J_i={}&
|
| 789 |
+
\left(c_*-\frac{k_0Y}{s}\right)\nabla N
|
| 790 |
+
+\mathcal T_f\left(k_0Y\frac{s^3}{N}\nabla f-\mathfrak b_*\right)\\
|
| 791 |
+
&+c_*(B-\nabla N)+k_0YTs\nabla f.
|
| 792 |
+
\end{align*}
|
| 793 |
+
The last line is bounded, since
|
| 794 |
+
$B-\nabla N=-(\mathcal K+\ell g)p$.
|
| 795 |
+
The two coefficient differences in the first line are Lipschitz in
|
| 796 |
+
the bounded field variables, so they are bounded by
|
| 797 |
+
$C|\mathcal V-\mathcal V_*|$.
|
| 798 |
+
On the outer side,
|
| 799 |
+
$\mathcal J_o=(c_*-k_0N_o^{-k_0-1})\nabla N_o$,
|
| 800 |
+
whose coefficient also vanishes at $N_o=s_*$.
|
| 801 |
+
This proves Equation~\eqref{eq:calculus-frozen-flux-size}.
|
| 802 |
+
|
| 803 |
+
The reference vector $\mathfrak b_*$ and its covariant derivative are uniformly
|
| 804 |
+
bounded in the fixed chart. Equation~\eqref{eq:calculus-newton} gives
|
| 805 |
+
\[
|
| 806 |
+
|\divg_g(\mathcal T_f\mathfrak b_*)|
|
| 807 |
+
\le C(1+|\nabla^2f|).
|
| 808 |
+
\]
|
| 809 |
+
Adding $c_*B$ changes the divergence by the bounded scalar $c_*\Phi$.
|
| 810 |
+
Thus Equation~\eqref{eq:calculus-energy-divergence} and Young's
|
| 811 |
+
inequality give $\divg\mathcal J\ge c'E-C$ on each open side.
|
| 812 |
+
If reference coefficients vary smoothly with the metric in an interior
|
| 813 |
+
chart, their derivatives add only terms bounded by $C(1+\sqrt E)$;
|
| 814 |
+
these are absorbed in the same way.
|
| 815 |
+
|
| 816 |
+
Across the face, the energy flux difference is bounded by
|
| 817 |
+
Equation~\eqref{eq:calculus-energy-seam-flux}, and the added current has
|
| 818 |
+
matching normal flux. The vector $\mathfrak b_*$ is normal to the face. Its
|
| 819 |
+
Newton contraction there uses only
|
| 820 |
+
\[
|
| 821 |
+
\mathcal T_f(n,n)=-\tr_{\mathcal C}\nabla^2f=-f_nH_i,
|
| 822 |
+
\]
|
| 823 |
+
which is bounded by the constant height trace and the slope bound.
|
| 824 |
+
Consequently the modified normal flux difference is bounded. Integration
|
| 825 |
+
by parts on the two sides, whose face area densities agree, gives
|
| 826 |
+
the surface error in
|
| 827 |
+
Equation~\eqref{eq:calculus-frozen-flux-divergence}.
|
| 828 |
+
\end{proof}
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/04-area-transfer.tex
ADDED
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|
| 1 |
+
\section{Finite-time area transfer}\label{sec:area-transfer}
|
| 2 |
+
|
| 3 |
+
The two deformations used below can contract a metric on a set of small
|
| 4 |
+
weighted volume. The following argument shows that this contraction
|
| 5 |
+
cannot substantially decrease the minimum enclosing area. Its constants
|
| 6 |
+
use a scalar-curvature lower bound and the topology of the original
|
| 7 |
+
exterior. No curvature bound for the changing metrics, and no limit of a
|
| 8 |
+
hyperbolic Hawking mass, is needed.
|
| 9 |
+
|
| 10 |
+
\subsection{Caps, intrinsic boundaries, and the initial surface}
|
| 11 |
+
|
| 12 |
+
Attach a compact orientable handlebody to each component of the original
|
| 13 |
+
boundary $S$. Write $O$ for the union of these caps and $X$ for the
|
| 14 |
+
resulting connected manifold without boundary. This operation is
|
| 15 |
+
topological: whenever a comparison metric is given, extend it smoothly
|
| 16 |
+
across $S$ into the caps. The end is unchanged, and the extension is
|
| 17 |
+
complete. The topology of $X$ and $O$ will remain fixed. In particular,
|
| 18 |
+
\begin{equation}\label{eq:flow-topology-constant}
|
| 19 |
+
b_2=\dim_{\mathbb F_2}H_2(X\setminus\operatorname{int}O;\mathbb F_2)<\infty.
|
| 20 |
+
\end{equation}
|
| 21 |
+
Finiteness follows by retracting the product end onto its inner sphere;
|
| 22 |
+
what remains is a compact manifold with boundary.
|
| 23 |
+
|
| 24 |
+
We will start from a largest perimeter-minimizing enclosure $E_0$ of
|
| 25 |
+
$O$ alone. In each application, the obstacle and end barriers establish
|
| 26 |
+
that its boundary is smooth, free, minimal, and disjoint from $O$.
|
| 27 |
+
Thus $O\subset E_0$ and $\partial O\subset\operatorname{int}E_0$.
|
| 28 |
+
The open representative $E_0$ is precompact. Each component meets $O$,
|
| 29 |
+
since an extra component could be removed with a strict decrease of
|
| 30 |
+
perimeter. Bounded components of its complement can similarly be
|
| 31 |
+
filled. A largest minimizer is strictly outward minimizing: a larger
|
| 32 |
+
set with equal perimeter would also be a minimizer, contrary to
|
| 33 |
+
maximality. This assertion concerns all precompact competitors, because
|
| 34 |
+
the far-out barriers allow any such competitor to be trimmed into the
|
| 35 |
+
fixed truncation used in constructing $E_0$.
|
| 36 |
+
|
| 37 |
+
The cap construction respects the intrinsic-boundary convention in
|
| 38 |
+
Section~\ref{sec:hypotheses}. If $D$ is any admissible closed end-side
|
| 39 |
+
domain in the original exterior, then
|
| 40 |
+
$X\setminus\operatorname{int}_X D$ is a precompact finite-perimeter
|
| 41 |
+
enclosure of $O$. Its perimeter is bounded by the area of the
|
| 42 |
+
\emph{entire} intrinsic boundary of $D$. In particular, portions along
|
| 43 |
+
$S$ are counted; for $D=\Omega$ the perimeter is $|S|$, not zero.
|
| 44 |
+
Conversely, a smooth enclosure of $O$ whose boundary is disjoint from
|
| 45 |
+
$O$ and whose exterior is connected gives an admissible cut by taking
|
| 46 |
+
the closure of its exterior. These observations also apply when the
|
| 47 |
+
surfaces or the caps have several components.
|
| 48 |
+
|
| 49 |
+
\begin{lemma}[Adjustment at the initial surface]\label{lem:flow-initial-adjustment}
|
| 50 |
+
Let $\widehat h$ be a smooth complete metric on $X$, and suppose $E_0$
|
| 51 |
+
has the properties just described. If
|
| 52 |
+
$\Scal_{\widehat h}\ge-C_R$ on $X\setminus E_0$, then an arbitrarily
|
| 53 |
+
small, compactly supported smooth conformal change gives a metric
|
| 54 |
+
$\widetilde h$ for which
|
| 55 |
+
\begin{equation}\label{eq:flow-initial-adjustment}
|
| 56 |
+
|\partial E_0|_{\widetilde h}=|\partial E_0|_{\widehat h},\qquad
|
| 57 |
+
H_{\widetilde h}>0,\qquad
|
| 58 |
+
\int_{\partial E_0}H_{\widetilde h}^{2}\,\dd A_{\widetilde h}\le1,
|
| 59 |
+
\qquad \Scal_{\widetilde h}\ge-C_R-1
|
| 60 |
+
\quad\hbox{on }X\setminus E_0.
|
| 61 |
+
\end{equation}
|
| 62 |
+
The set $E_0$ remains strictly outward minimizing. The size of the
|
| 63 |
+
change may be chosen separately for every comparison metric.
|
| 64 |
+
\end{lemma}
|
| 65 |
+
|
| 66 |
+
\begin{proof}
|
| 67 |
+
In a two-sided signed-distance collar of $\partial E_0$, let $q$ be
|
| 68 |
+
positive on the exterior and choose
|
| 69 |
+
$\chi=q\zeta(q)$, where $\zeta$ is a nonnegative smooth cutoff equal to
|
| 70 |
+
one near zero. Extend $\chi$ by zero beyond the collar. Then
|
| 71 |
+
$\chi=0$ and $\partial_\nu\chi=1$ at the initial surface, while
|
| 72 |
+
$\chi\ge0$ outside $E_0$. Set
|
| 73 |
+
$\widetilde h=e^{2a\chi}\widehat h$, with $a>0$. The conformal
|
| 74 |
+
mean-curvature formula gives $H_{\widetilde h}=2a$ on $\partial E_0$.
|
| 75 |
+
Consequently its area is unchanged and its squared-mean-curvature
|
| 76 |
+
integral is $4a^2|\partial E_0|_{\widehat h}$.
|
| 77 |
+
|
| 78 |
+
Every outward competitor has its boundary outside $E_0$, where the
|
| 79 |
+
metric has only increased, so strict outward minimality is preserved.
|
| 80 |
+
Finally,
|
| 81 |
+
\begin{equation}\label{eq:flow-conformal-scalar}
|
| 82 |
+
\Scal_{\widetilde h}
|
| 83 |
+
=e^{-2a\chi}\bigl(\Scal_{\widehat h}
|
| 84 |
+
-4a\Delta_{\widehat h}\chi
|
| 85 |
+
-2a^2|\dd\chi|_{\widehat h}^2\bigr).
|
| 86 |
+
\end{equation}
|
| 87 |
+
Choose $a$ so that
|
| 88 |
+
$4a\|\Delta\chi\|_\infty+2a^2\|\dd\chi\|_\infty^2\le1$ and
|
| 89 |
+
$4a^2|\partial E_0|\le1$. Further decreasing $a$ gives any prescribed
|
| 90 |
+
$C^2$ or tensor-comparison tolerance. There is no need for a uniform
|
| 91 |
+
collar width or a uniform positive lower bound for the initial area.
|
| 92 |
+
This modification will be used only for the flow calculation; mass
|
| 93 |
+
inequalities are applied to the original comparison metric.
|
| 94 |
+
\end{proof}
|
| 95 |
+
|
| 96 |
+
\subsection{Weak flow and its topology}
|
| 97 |
+
|
| 98 |
+
We specify the weak-flow input. Theorem~3.1 of
|
| 99 |
+
\citet{HI2001} applies on a smooth complete connected
|
| 100 |
+
boundaryless manifold possessing a proper locally Lipschitz weak
|
| 101 |
+
subsolution with precompact initial set. It supplies a proper weak
|
| 102 |
+
solution from every nonempty smooth precompact open set. In dimension
|
| 103 |
+
three, Regularity~1.3, Hull Property~1.4, and Growth Lemma~1.6 give
|
| 104 |
+
compact $C^{1,\gamma}$ level boundaries for $0<\gamma\le1/2$,
|
| 105 |
+
outward minimality, and
|
| 106 |
+
exponential area growth from a minimizing hull. Smooth Start
|
| 107 |
+
Lemma~2.4 applies when that hull is strict and its smooth boundary has
|
| 108 |
+
$H>0$. We use the $H^2$ inequality from Step~1 of the proof of
|
| 109 |
+
Growth Formula~5.7, Equation~(5.22): it holds for almost every pair of
|
| 110 |
+
positive endpoints and precompact levels, without a connectedness or
|
| 111 |
+
scalar-curvature-sign assumption. This form suffices for a
|
| 112 |
+
distributional inequality in time. Our smooth initial adjustment
|
| 113 |
+
and Smooth Start Lemma~2.4 supply its initial upper trace. Thus no
|
| 114 |
+
restart from an arbitrary nonsmooth positive-time level is needed.
|
| 115 |
+
|
| 116 |
+
The end hypothesis in this existence theorem holds for all metrics
|
| 117 |
+
used here. On an $\AH$ end the coordinate-sphere mean curvature is
|
| 118 |
+
$2+o(1)$ and $|\dd\log r|=1+o(1)$; on an $\AF$ end the corresponding
|
| 119 |
+
quantities are $2/r+o(r^{-1})$ and $r^{-1}+o(r^{-1})$.
|
| 120 |
+
Thus $u_\infty=c\log r$ with $0<c<2$ has
|
| 121 |
+
\begin{equation}\label{eq:flow-end-subsolution}
|
| 122 |
+
\divg_{\widehat h}\left(
|
| 123 |
+
\frac{\nabla u_\infty}{|\nabla u_\infty|}\right)
|
| 124 |
+
\ge |\nabla u_\infty|
|
| 125 |
+
\end{equation}
|
| 126 |
+
beyond a sufficiently large sphere $r=R$. Use
|
| 127 |
+
$v=\max\{c\log(r/R),0\}-1$, extended by $-1$ throughout the inner
|
| 128 |
+
region. Its negative sublevel is a nonempty smooth precompact set,
|
| 129 |
+
bounded by $r=R e^{1/c}$, and outside this set the displayed inequality
|
| 130 |
+
holds smoothly. Extending the radial unit normal field by zero
|
| 131 |
+
inside $r=R$ gives a nonnegative distributional divergence
|
| 132 |
+
contribution at that sphere. The Gauss--Green inequality against
|
| 133 |
+
outward variations proves the weak subsolution property as well.
|
| 134 |
+
This subsolution is proper toward infinity. The compact
|
| 135 |
+
metric adjustment in Lemma~\ref{lem:flow-initial-adjustment} leaves it
|
| 136 |
+
unchanged.
|
| 137 |
+
|
| 138 |
+
For positive-time notation, extend the exterior level function $u$ by
|
| 139 |
+
zero on the initial set and, for $t>0$, write
|
| 140 |
+
\begin{equation}\label{eq:flow-levels}
|
| 141 |
+
E_t=E_0\cup\{u<t\},\qquad N_t=\partial E_t,\qquad
|
| 142 |
+
A(t)=|N_t|_{\widetilde h}=e^t A(0).
|
| 143 |
+
\end{equation}
|
| 144 |
+
Use the open perimeter representatives of these sets. At almost every
|
| 145 |
+
time their boundary is $C^{1,\gamma}$, its weak mean curvature is
|
| 146 |
+
$H=|\nabla u|$, and its area measure agrees with the level measure in
|
| 147 |
+
the coarea formula. Indeed, differentiability and nonvanishing
|
| 148 |
+
gradient hold at almost every point of almost every level in the
|
| 149 |
+
coarea sense; those points belong to the reduced boundary of the
|
| 150 |
+
sublevel set. The equivalent statement follows directly from the BV
|
| 151 |
+
coarea formula. The variational property used below is local
|
| 152 |
+
minimality of
|
| 153 |
+
\begin{equation}\label{eq:flow-variational-functional}
|
| 154 |
+
F\longmapsto \Per_{\widetilde h}(F)
|
| 155 |
+
-\int_F|\nabla u|_{\widetilde h}\,\dd V_{\widetilde h}
|
| 156 |
+
\end{equation}
|
| 157 |
+
under compact changes away from the initial set; differences of this
|
| 158 |
+
expression are taken in a compact region containing the change.
|
| 159 |
+
|
| 160 |
+
\begin{lemma}[A component bound on fixed topology]\label{lem:hull-components}
|
| 161 |
+
At almost every positive time, every component of $E_t$ meets $E_0$,
|
| 162 |
+
the open exterior of $E_t$ is connected, and
|
| 163 |
+
\begin{equation}\label{eq:flow-component-bound}
|
| 164 |
+
b_0(N_t)\le b_2,\qquad \chi(N_t)\le2b_2,
|
| 165 |
+
\end{equation}
|
| 166 |
+
where $b_2$ is the fixed number in
|
| 167 |
+
\eqref{eq:flow-topology-constant}.
|
| 168 |
+
\end{lemma}
|
| 169 |
+
|
| 170 |
+
\begin{proof}
|
| 171 |
+
Fix a time $t$ with the stated regularity and with
|
| 172 |
+
$\Vol\{u=t\}=0$. Excluding the latter exceptional times removes at
|
| 173 |
+
most a countable set. Suppose a component $B$ of $E_t$ did not meet
|
| 174 |
+
$E_0$. For almost every $0<s<t$, the set $E_s\cap B$ is compactly
|
| 175 |
+
contained in $B$ and separated from $E_0$. To check this, continuity
|
| 176 |
+
gives $u\le s<t$ on its closure, and a neighborhood of
|
| 177 |
+
$\overline E_0$ belongs to $E_t$. A connected component of that
|
| 178 |
+
neighborhood cannot meet $B$ without placing part of $E_0$ in $B$.
|
| 179 |
+
The boundaries here are perimeter representatives; the same
|
| 180 |
+
containment holds modulo null sets.
|
| 181 |
+
|
| 182 |
+
Removing $E_s\cap B$ is consequently an allowed variation in
|
| 183 |
+
\eqref{eq:flow-variational-functional}. If
|
| 184 |
+
$p(s)=\Per_{\widetilde h}(E_s;B)$, minimality and coarea give
|
| 185 |
+
\begin{equation}\label{eq:flow-no-new-components}
|
| 186 |
+
p(s)\le\int_{E_s\cap B}|\nabla u|\,\dd V
|
| 187 |
+
=\int_0^s p(\ell)\,\dd\ell.
|
| 188 |
+
\end{equation}
|
| 189 |
+
There is no initial contribution because $B\cap E_0=\varnothing$.
|
| 190 |
+
Gr\"onwall's inequality implies $p=0$ almost everywhere. A
|
| 191 |
+
finite-perimeter indicator with zero variation on the connected open
|
| 192 |
+
set $B$ is constant there. Compact containment rules out the value
|
| 193 |
+
one, so $E_s\cap B$ is null for almost every $s<t$. Letting such $s$
|
| 194 |
+
increase to $t$ contradicts that $B$ is a nonempty open component of
|
| 195 |
+
$E_t$. This proves the first assertion. It also shows that each such
|
| 196 |
+
component contains an entire component of $E_0$, and hence meets $O$.
|
| 197 |
+
|
| 198 |
+
Outward minimality excludes a bounded open component of the
|
| 199 |
+
complement: filling it removes its nonempty boundary and strictly
|
| 200 |
+
decreases perimeter. Because $X$ has just one product end and $E_t$
|
| 201 |
+
is precompact, only one component of the exterior can be unbounded.
|
| 202 |
+
Its open exterior is therefore connected.
|
| 203 |
+
|
| 204 |
+
Let $N_t^1,\ldots,N_t^m$ be the boundary components. Choose a large
|
| 205 |
+
compact truncation
|
| 206 |
+
$Y\subset X\setminus\operatorname{int}O$ containing all of them.
|
| 207 |
+
For each $j$, an arc can start on $\partial O$, travel in the adjacent
|
| 208 |
+
component of $E_t$, cross $N_t^j$ once transversely, and then travel in
|
| 209 |
+
the connected exterior to the outer boundary of $Y$, without meeting
|
| 210 |
+
any other $N_t^k$. To construct its inner part, join a point just
|
| 211 |
+
inside $N_t^j$ to $O$ in the relevant connected open component and
|
| 212 |
+
stop at the first cap encountered; thus the arc stays outside the cap
|
| 213 |
+
interiors. Small perturbations give the asserted transversality.
|
| 214 |
+
|
| 215 |
+
These arcs define relative one-cycles in $(Y,\partial Y)$ whose
|
| 216 |
+
mod-two intersection pairings with the closed surfaces $N_t^k$ are
|
| 217 |
+
the separate coordinate vectors. Hence the classes $[N_t^k]$ are
|
| 218 |
+
linearly independent in $H_2(Y;\mathbb F_2)$. Extending the
|
| 219 |
+
truncation along its product end changes no homology, so $m\le b_2$.
|
| 220 |
+
Each closed orientable surface has Euler characteristic at most two,
|
| 221 |
+
which proves the second estimate. The arcs and the intersection
|
| 222 |
+
pairings also make explicit why disconnected caps and arbitrary
|
| 223 |
+
compact interior topology cause no difficulty.
|
| 224 |
+
\end{proof}
|
| 225 |
+
|
| 226 |
+
\begin{lemma}[Curvature control up to a prescribed area]\label{lem:flow-curvature}
|
| 227 |
+
Suppose the adjusted metric satisfies
|
| 228 |
+
$\Scal_{\widetilde h}\ge-C_0$ outside $E_0$, and let $A_*>0$.
|
| 229 |
+
At almost every time for which $A(t)\le A_*$,
|
| 230 |
+
\begin{equation}\label{eq:flow-uniform-curvature}
|
| 231 |
+
J(t):=\int_{N_t}|\nabla u|^2\,\dd A_{\widetilde h}
|
| 232 |
+
\le C_H:=1+\frac23 C_0 A_*+16\pi b_2.
|
| 233 |
+
\end{equation}
|
| 234 |
+
In particular this bound is independent of $A(0)$, even if the
|
| 235 |
+
initial areas tend to zero in a family.
|
| 236 |
+
\end{lemma}
|
| 237 |
+
|
| 238 |
+
\begin{proof}
|
| 239 |
+
Let $\mathcal A_t$ denote the weak second fundamental form of $N_t$.
|
| 240 |
+
For almost every pair $0<r<t$, the cited growth formula, after
|
| 241 |
+
dropping its nonnegative tangential gradient term, says
|
| 242 |
+
\begin{equation}\label{eq:flow-hi-growth}
|
| 243 |
+
J(r)\ge J(t)+\int_r^t\int_{N_s}
|
| 244 |
+
\bigl(2|\mathcal A_s|^2+2\Ric(\nu,\nu)-H^2\bigr)
|
| 245 |
+
\,\dd A\,\dd s.
|
| 246 |
+
\end{equation}
|
| 247 |
+
After our adjustment, Smooth Start Lemma~2.4 identifies the weak
|
| 248 |
+
flow with the smooth flow on an initial interval. Hence
|
| 249 |
+
$J(r)\to J(0)\le1$ as $r\downarrow0$. Letting admissible
|
| 250 |
+
Lebesgue endpoints tend to zero supplies the initial upper trace in
|
| 251 |
+
the integrated inequality below. At positive times only the
|
| 252 |
+
almost-everywhere inequality is used.
|
| 253 |
+
|
| 254 |
+
For completeness, Gauss and Gauss--Bonnet apply to these levels with
|
| 255 |
+
their weak curvature. A local $C^{1,\gamma}$ graph with bounded weak
|
| 256 |
+
mean curvature belongs to $W^{2,2}$ by difference quotients in its
|
| 257 |
+
uniformly elliptic mean-curvature equation. Smoothing graph
|
| 258 |
+
representations gives smooth embeddings converging in
|
| 259 |
+
$C^1\cap W^{2,2}$; the graph formula for the second fundamental form
|
| 260 |
+
then gives convergence of the quadratic curvature terms in $L^1$.
|
| 261 |
+
Thus the smooth Gauss identity and Gauss--Bonnet pass to the limit.
|
| 262 |
+
This is also the content of Lemmas~5.4--5.5 of
|
| 263 |
+
\citet{HI2001}.
|
| 264 |
+
|
| 265 |
+
The Gauss equation and $|\mathcal A_s|^2\ge H^2/2$ give
|
| 266 |
+
\begin{align}\label{eq:flow-gauss-bound}
|
| 267 |
+
\int_{N_s}\bigl(2|\mathcal A_s|^2+2\Ric(\nu,\nu)-H^2\bigr)
|
| 268 |
+
&=\int_{N_s}\bigl(|\mathcal A_s|^2+
|
| 269 |
+
\Scal_{\widetilde h}-\Scal_{N_s}\bigr)\notag\\
|
| 270 |
+
&\ge\tfrac12J(s)-C_0A(s)-8\pi b_2.
|
| 271 |
+
\end{align}
|
| 272 |
+
Consequently, in distributions in time,
|
| 273 |
+
$J'+J/2\le C_0A+8\pi b_2$, with initial upper value at most one.
|
| 274 |
+
One can see this directly from \eqref{eq:flow-hi-growth} at Lebesgue
|
| 275 |
+
endpoints: $J$ plus the integral of the lower bound in
|
| 276 |
+
\eqref{eq:flow-gauss-bound} has a nonincreasing representative. Any
|
| 277 |
+
singular part of its derivative is nonpositive, so the integrating
|
| 278 |
+
factor is valid. It yields
|
| 279 |
+
\begin{equation}\label{eq:flow-integrated-curvature}
|
| 280 |
+
J(t)\le e^{-t/2}
|
| 281 |
+
+\int_0^t e^{(s-t)/2}\bigl(C_0A(s)+8\pi b_2\bigr)\,\dd s.
|
| 282 |
+
\end{equation}
|
| 283 |
+
Using $A(s)=e^{s-t}A(t)$ bounds the two integrals by
|
| 284 |
+
$\frac23C_0A(t)$ and $16\pi b_2$, respectively.
|
| 285 |
+
\end{proof}
|
| 286 |
+
|
| 287 |
+
\subsection{Projecting enclosing surfaces}
|
| 288 |
+
|
| 289 |
+
In the next lemma, $A_*$ is the original minimum enclosing area,
|
| 290 |
+
defined using complete intrinsic boundaries. The comparison end may
|
| 291 |
+
be the original $\AH$ end, or the $\AF$ extension of a fixed compact
|
| 292 |
+
inner region. In the latter case $g_{\mathrm{base}}$ denotes $g$ on
|
| 293 |
+
the inner region and $g_o$ on the extension. Statements involving
|
| 294 |
+
this base metric are interpreted separately on the two sides of the
|
| 295 |
+
joining sphere $\mathcal C$.
|
| 296 |
+
|
| 297 |
+
\begin{lemma}[Enclosing-area projection]\label{lem:area-projection}
|
| 298 |
+
Let $N$ be a compact embedded $C^1$ enclosure of $O$, disjoint from
|
| 299 |
+
$S$, with connected exterior.
|
| 300 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 301 |
+
\item On the original $\AH$ exterior, fix a large radius $r_p$ and put
|
| 302 |
+
\begin{equation}\label{eq:flow-ah-weight}
|
| 303 |
+
\rho=\min\{1,r_p^2/r^2\},
|
| 304 |
+
\end{equation}
|
| 305 |
+
with $\rho=1$ on the compact part. There is $q(r_p)\downarrow0$,
|
| 306 |
+
depending only on the original end metric, such that
|
| 307 |
+
\begin{equation}\label{eq:flow-ah-projection}
|
| 308 |
+
\int_N\rho\,\dd A_g\ge(1-q(r_p))A_*.
|
| 309 |
+
\end{equation}
|
| 310 |
+
\item Suppose the $\AF$ extension has the parallel-surface form
|
| 311 |
+
$g_o=U^2\dd t^2+\gamma_t$, where $\gamma_t$ is induced on outward
|
| 312 |
+
Euclidean parallels of a strictly convex embedding of
|
| 313 |
+
$(\mathcal C,\gamma_0)$. Then, with $\rho=1$,
|
| 314 |
+
\begin{equation}\label{eq:flow-af-projection}
|
| 315 |
+
\int_N\dd A_{g_{\mathrm{base}}}\ge A_*.
|
| 316 |
+
\end{equation}
|
| 317 |
+
For a surface crossing the joining sphere, the assertion holds for
|
| 318 |
+
the piecewise area; it is enough that its intersection with the
|
| 319 |
+
joining sphere have zero two-dimensional measure. In particular
|
| 320 |
+
this holds for almost every weak-flow level.
|
| 321 |
+
\end{enumerate}
|
| 322 |
+
\end{lemma}
|
| 323 |
+
|
| 324 |
+
\begin{proof}
|
| 325 |
+
First take $N$ smooth and transverse to the spheres used in the
|
| 326 |
+
construction. Let $D$ be its closed end-side domain. For part
|
| 327 |
+
\textup{(i)}, choose a transverse sphere $r=r_1$ with
|
| 328 |
+
$r_p/2\le r_1\le r_p$, and replace $D$ by
|
| 329 |
+
\begin{equation}\label{eq:flow-projected-domain}
|
| 330 |
+
D'=D\cup\{r\ge r_1\}.
|
| 331 |
+
\end{equation}
|
| 332 |
+
This domain is connected because both sets contain the entire remote
|
| 333 |
+
end. Its boundary inside $r_1$ is part of $N$; the remaining boundary
|
| 334 |
+
is a portion of the sphere $r=r_1$. Every point of this newly exposed
|
| 335 |
+
sphere portion is covered by radial projection of $N\cap\{r\ge r_1\}$:
|
| 336 |
+
the ray starts outside $D$ and eventually lies in its end, so must
|
| 337 |
+
cross $N$.
|
| 338 |
+
|
| 339 |
+
In the hyperbolic reference metric the radial map from radius $r$ to
|
| 340 |
+
$r_1$ has two-dimensional Jacobian at most $r_1^2/r^2$ on every
|
| 341 |
+
two-plane. The original metric has uniform relative error $o(1)$
|
| 342 |
+
on $r\ge r_p/2$. Its corresponding Jacobian is therefore at most
|
| 343 |
+
\begin{equation}\label{eq:flow-projection-jacobian}
|
| 344 |
+
(1+o_{r_p}(1))\frac{r_1^2}{r^2}
|
| 345 |
+
\le(1+o_{r_p}(1))\rho.
|
| 346 |
+
\end{equation}
|
| 347 |
+
The area formula, allowing multiplicity, bounds the new sphere area
|
| 348 |
+
by the weighted area of the discarded portion of $N$.
|
| 349 |
+
|
| 350 |
+
The boundary of $D'$ has transverse corners along finitely many
|
| 351 |
+
smooth curves. In local coordinates given by defining functions for
|
| 352 |
+
the two faces, round each quadrant edge in a shrinking tubular
|
| 353 |
+
neighborhood, toward the side enlarging $D'$. The added area tends
|
| 354 |
+
to zero: the modification has vanishing width along a fixed compact
|
| 355 |
+
edge, with bounded local slopes. The rounded end-side domain stays
|
| 356 |
+
connected and gives an admissible cut, disjoint from $S$. Since the
|
| 357 |
+
definition of $A_*$ uses its full intrinsic boundary, it follows that
|
| 358 |
+
$A_*\le(1+o_{r_p}(1))\int_N\rho\,\dd A_g$. This proves
|
| 359 |
+
\eqref{eq:flow-ah-projection}.
|
| 360 |
+
|
| 361 |
+
For part \textup{(ii)}, keep the part of $D$ in the original compact
|
| 362 |
+
inner region and attach the whole original $\AH$ region outside
|
| 363 |
+
$\mathcal C$. The resulting end-side domain is connected. Indeed,
|
| 364 |
+
every point of its inner part can be joined inside the old $D$ to
|
| 365 |
+
infinity, and the initial portion of such a path reaches
|
| 366 |
+
$\mathcal C$. Its newly exposed boundary in $\mathcal C$ is covered
|
| 367 |
+
by projection of the old outer boundary along the parallel rays.
|
| 368 |
+
This projection has two-dimensional Jacobian at most one:
|
| 369 |
+
$\gamma_t\ge\gamma_0$ by strict convexity, its normal derivative is
|
| 370 |
+
zero, and the positive coefficient $U^2$ creates no mixed terms.
|
| 371 |
+
Rounding the resulting transverse corners as above gives admissible
|
| 372 |
+
original cuts with area at most
|
| 373 |
+
$\int_N\dd A_{g_{\mathrm{base}}}$ plus a vanishing error.
|
| 374 |
+
|
| 375 |
+
Finally, a $C^1$ embedded enclosing surface can be approximated by
|
| 376 |
+
smooth embeddings in $C^1$, within a collar disjoint from $S$, by an
|
| 377 |
+
ambient isotopy. This preserves the end side and its connectedness.
|
| 378 |
+
Choose the approximations transverse to the cutting sphere. Areas
|
| 379 |
+
and weighted areas converge. In the joined case, first approximate
|
| 380 |
+
on the two smooth sides and make the approximations transverse to
|
| 381 |
+
$\mathcal C$; round across a shrinking seam neighborhood. The base
|
| 382 |
+
metric is bounded and smooth on either side at this fixed
|
| 383 |
+
construction, and the surface has zero area in the seam. The area
|
| 384 |
+
of its portion in that neighborhood tends to zero, so these local
|
| 385 |
+
roundings contribute a vanishing area error. This procedure also
|
| 386 |
+
applies when the smooth collar coordinates chosen for the comparison
|
| 387 |
+
metric differ from the original side coordinates: the
|
| 388 |
+
identifications are smooth on each closed side and preserve the
|
| 389 |
+
joining surface. For almost every flow level the zero-area
|
| 390 |
+
intersection follows by applying the level-measure decomposition to
|
| 391 |
+
the fixed finite-area seam. Passing to the limit proves both
|
| 392 |
+
assertions.
|
| 393 |
+
\end{proof}
|
| 394 |
+
|
| 395 |
+
\subsection{The uniform transfer criterion}
|
| 396 |
+
|
| 397 |
+
The following formulation isolates all requirements on the
|
| 398 |
+
deformations. A reference metric may be piecewise smooth across one
|
| 399 |
+
fixed compact joining surface, as in
|
| 400 |
+
Lemma~\ref{lem:area-projection}\textup{(ii)}. Its area and volume
|
| 401 |
+
measures below are then the sums of the two side measures.
|
| 402 |
+
|
| 403 |
+
\begin{proposition}[Uniform area transfer]\label{prop:area-transfer}
|
| 404 |
+
Fix the capped topology $(X,O)$, a number $A_*>0$, and a scalar lower
|
| 405 |
+
bound $C_R\ge0$. Suppose a comparison has the following properties.
|
| 406 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 407 |
+
\item The smooth complete metric $\widehat h$ has one $\AH$ or $\AF$
|
| 408 |
+
end with the mean-curvature and radial-gradient asymptotics used in
|
| 409 |
+
\eqref{eq:flow-end-subsolution}. The cap-only enclosure $E_0$ is a
|
| 410 |
+
smooth precompact strictly outward-minimizing set, with minimal
|
| 411 |
+
boundary disjoint from $O$, every component meeting $O$, and
|
| 412 |
+
$\Scal_{\widehat h}\ge-C_R$ outside $E_0$.
|
| 413 |
+
\item On $X\setminus O$ there are a reference metric
|
| 414 |
+
$g_{\mathrm{base}}$, positive functions $x,W$, a metric $\bar g$, and
|
| 415 |
+
a weight $0<\rho\le1$, such that
|
| 416 |
+
\begin{equation}\label{eq:flow-metric-comparison}
|
| 417 |
+
\bar g\ge g_{\mathrm{base}},\qquad
|
| 418 |
+
\dd V_{\bar g}=W\,\dd V_{g_{\mathrm{base}}},\qquad
|
| 419 |
+
(1-\eta)x\bar g\le\widehat h\le(1+\eta)x\bar g.
|
| 420 |
+
\end{equation}
|
| 421 |
+
\item Every enclosing $C^1$ surface with connected exterior, as in
|
| 422 |
+
Lemma~\ref{lem:area-projection}, satisfies
|
| 423 |
+
\begin{equation}\label{eq:flow-abstract-projection}
|
| 424 |
+
\int_N\rho\,\dd A_{g_{\mathrm{base}}}\ge(1-q)A_*.
|
| 425 |
+
\end{equation}
|
| 426 |
+
In the piecewise case this is required for surfaces having zero area
|
| 427 |
+
in the joining surface.
|
| 428 |
+
\end{enumerate}
|
| 429 |
+
For every $0<\eps<1$ there are positive tolerances
|
| 430 |
+
$\eta_0,q_0,\delta_0$ and $v_0$, depending only on
|
| 431 |
+
$\eps,A_*,C_R$ and the integer $b_2$ in
|
| 432 |
+
\eqref{eq:flow-topology-constant}, with the following consequence.
|
| 433 |
+
If $\eta\le\eta_0$, $q\le q_0$, $0<\delta\le\delta_0$, and
|
| 434 |
+
\begin{equation}\label{eq:flow-bad-volume}
|
| 435 |
+
\int_{\{x<1-\delta\}}\rho^{3/2}W\,\dd V_{g_{\mathrm{base}}}<v_0,
|
| 436 |
+
\end{equation}
|
| 437 |
+
then
|
| 438 |
+
\begin{equation}\label{eq:flow-area-conclusion}
|
| 439 |
+
|\partial E_0|_{\widehat h}\ge(1-\eps)A_*.
|
| 440 |
+
\end{equation}
|
| 441 |
+
The tolerances are uniform over all comparisons satisfying these
|
| 442 |
+
conditions; the geometry and initial area of $E_0$ may vary.
|
| 443 |
+
\end{proposition}
|
| 444 |
+
|
| 445 |
+
\begin{proof}
|
| 446 |
+
Make the change from Lemma~\ref{lem:flow-initial-adjustment}. It
|
| 447 |
+
preserves the initial area and all topological properties. Take its
|
| 448 |
+
size sufficiently small that the comparison
|
| 449 |
+
\eqref{eq:flow-metric-comparison} for the resulting $\widetilde h$
|
| 450 |
+
holds with an error $\bar\eta\le\eps/32$, by initially requiring,
|
| 451 |
+
for example, $\eta\le\eta_0=\eps/64$. Its scalar lower bound is
|
| 452 |
+
$-C_0$, where $C_0=C_R+1$. Also take
|
| 453 |
+
$q_0=\delta_0=\eps/32$.
|
| 454 |
+
|
| 455 |
+
Suppose, to the contrary, that $A(0)<(1-\eps)A_*$. Exponential area
|
| 456 |
+
growth gives an interval $I=[t_-,t_+]$ on which the endpoint areas
|
| 457 |
+
are $(1-\eps)A_*$ and $(1-\eps/2)A_*$. Its length is the fixed
|
| 458 |
+
positive number
|
| 459 |
+
\begin{equation}\label{eq:flow-time-window}
|
| 460 |
+
\Delta_\eps=\log\frac{1-\eps/2}{1-\eps}.
|
| 461 |
+
\end{equation}
|
| 462 |
+
Although $t_-$ may tend to infinity when $A(0)$ tends to zero,
|
| 463 |
+
Lemma~\ref{lem:flow-curvature} bounds $J(t)$ throughout $I$ by the
|
| 464 |
+
same constant $C_H$.
|
| 465 |
+
|
| 466 |
+
Write $\mathcal B=\{x<1-\delta\}$. On the good part of a level,
|
| 467 |
+
\eqref{eq:flow-metric-comparison} and $\bar g\ge g_{\mathrm{base}}$
|
| 468 |
+
give
|
| 469 |
+
\begin{equation}\label{eq:flow-good-area}
|
| 470 |
+
\int_{N_t\setminus\mathcal B}\rho\,\dd A_{g_{\mathrm{base}}}
|
| 471 |
+
\le\frac{A(t)}{(1-\bar\eta)(1-\delta)}.
|
| 472 |
+
\end{equation}
|
| 473 |
+
Combine this with \eqref{eq:flow-abstract-projection}. Since
|
| 474 |
+
$(1-\bar\eta)(1-\delta)\ge1-\eps/16$, for almost every $t\in I$
|
| 475 |
+
we obtain
|
| 476 |
+
\begin{equation}\label{eq:flow-bad-area-lower}
|
| 477 |
+
\int_{N_t\cap\mathcal B}\rho\,\dd A_{g_{\mathrm{base}}}
|
| 478 |
+
\ge (1-q)A_*
|
| 479 |
+
-\frac{(1-\eps/2)A_*}{(1-\bar\eta)(1-\delta)}
|
| 480 |
+
\ge \frac{\eps A_*}{4}=:c_A.
|
| 481 |
+
\end{equation}
|
| 482 |
+
The same metric comparison on the bad part therefore implies
|
| 483 |
+
\begin{equation}\label{eq:flow-weighted-area-lower}
|
| 484 |
+
\int_{N_t\cap\mathcal B}\rho x^{-1}\,\dd A_{\widetilde h}
|
| 485 |
+
\ge(1-\bar\eta)c_A\ge c_A/2.
|
| 486 |
+
\end{equation}
|
| 487 |
+
|
| 488 |
+
Here is the precise weighted coarea step. Put $F=\rho x^{-1}$ and
|
| 489 |
+
$H=|\nabla u|_{\widetilde h}$. For almost every level $H>0$ at
|
| 490 |
+
almost every point in its area measure. H\"older with exponents
|
| 491 |
+
$3/2$ and $3$ gives
|
| 492 |
+
\begin{align}\label{eq:flow-holder-exponents}
|
| 493 |
+
\int_{N_t\cap\mathcal B}F\,\dd A
|
| 494 |
+
&=\int_{N_t\cap\mathcal B}
|
| 495 |
+
\left(\frac{F^{3/2}}H\right)^{2/3}(H^2)^{1/3}\,\dd A\notag\\
|
| 496 |
+
&\le
|
| 497 |
+
\left(\int_{N_t\cap\mathcal B}\frac{F^{3/2}}H\,\dd A\right)^{2/3}
|
| 498 |
+
J(t)^{1/3}.
|
| 499 |
+
\end{align}
|
| 500 |
+
Infinite integrals cause no difficulty; otherwise this identity can
|
| 501 |
+
first be applied where $H$ is bounded away from zero and passed to
|
| 502 |
+
the limit. Equations~\eqref{eq:flow-uniform-curvature} and
|
| 503 |
+
\eqref{eq:flow-weighted-area-lower} yield
|
| 504 |
+
\begin{equation}\label{eq:flow-level-volume-lower}
|
| 505 |
+
\int_{N_t\cap\mathcal B}
|
| 506 |
+
\frac{\rho^{3/2}x^{-3/2}}{|\nabla u|}\,\dd A_{\widetilde h}
|
| 507 |
+
\ge \frac{(c_A/2)^{3/2}}{\sqrt{C_H}}=:c_V.
|
| 508 |
+
\end{equation}
|
| 509 |
+
Integrating over $I$ and applying Lipschitz coarea gives
|
| 510 |
+
\begin{align}\label{eq:flow-coarea-contradiction}
|
| 511 |
+
\Delta_\eps c_V
|
| 512 |
+
&\le\int_{\mathcal B\cap\{t_-<u<t_+\}\cap\{|\nabla u|>0\}}
|
| 513 |
+
\rho^{3/2}x^{-3/2}\,\dd V_{\widetilde h}\notag\\
|
| 514 |
+
&\le(1+\bar\eta)^{3/2}
|
| 515 |
+
\int_{\mathcal B}\rho^{3/2}W\,\dd V_{g_{\mathrm{base}}}.
|
| 516 |
+
\end{align}
|
| 517 |
+
The last inequality uses
|
| 518 |
+
$\dd V_{\widetilde h}\le
|
| 519 |
+
(1+\bar\eta)^{3/2}x^{3/2}W\,\dd V_{g_{\mathrm{base}}}$.
|
| 520 |
+
Thus it is enough to take
|
| 521 |
+
$v_0=\Delta_\eps c_V/2^{3/2}$.
|
| 522 |
+
Notice that no contribution from a plateau of the level function
|
| 523 |
+
has been assumed: coarea integrates only where its gradient is
|
| 524 |
+
nonzero, and the full bad-set volume is an upper bound. This proves
|
| 525 |
+
the proposition.
|
| 526 |
+
\end{proof}
|
| 527 |
+
|
| 528 |
+
\subsection{The two applications and their parameter order}
|
| 529 |
+
|
| 530 |
+
For the maximal $\AH$ reduction, the base is the original $g$ and
|
| 531 |
+
\begin{equation}\label{eq:flow-graph-volume}
|
| 532 |
+
\bar g=g+s^2\dd f^2,\qquad h=x\bar g,\qquad
|
| 533 |
+
W^2=1+s^2|\dd f|_g^2,\qquad
|
| 534 |
+
\dd V_{\bar g}=W\,\dd V_g.
|
| 535 |
+
\end{equation}
|
| 536 |
+
The curvature bound is $\Scal_h\ge-6$, and the cap-only largest hull
|
| 537 |
+
is the enclosure used in that reduction. Fix the area tolerance
|
| 538 |
+
$\eps$, then $r_p$ so that the error in
|
| 539 |
+
\eqref{eq:flow-ah-projection} is at most $q_0$, and then
|
| 540 |
+
$\delta\le\delta_0$. The quantitative estimates of
|
| 541 |
+
Section~\ref{sec:maximal-reduction} give, with
|
| 542 |
+
$R_s=M^{3/10}$ and $L=M^2$,
|
| 543 |
+
\begin{equation}\label{eq:flow-ah-bad-volume}
|
| 544 |
+
\int_{\{x<1-\delta\}}\rho^{3/2}W\,\dd V_g
|
| 545 |
+
\le C\left(L^{-1}+\sqrt{M/L}
|
| 546 |
+
+R_s^{-1}+\frac{\sqrt M}{R_s^2}\right)
|
| 547 |
+
\longrightarrow0.
|
| 548 |
+
\end{equation}
|
| 549 |
+
To explain the powers, the unweighted bad volume inside $R_s$ is
|
| 550 |
+
$O(L^{-1})$, and $\int(W^2-1)\,\dd V_g\le CM$; Cauchy--Schwarz
|
| 551 |
+
gives the first two terms. On the tail the $\AH$ volume element is
|
| 552 |
+
comparable to $r\,\dd r\,\dd A_\sigma$ and
|
| 553 |
+
$\rho^{3/2}=r_p^3/r^3$. Hence
|
| 554 |
+
$\int_{r>R_s}\rho^{3/2}\,\dd V_g=O(R_s^{-1})$, whereas
|
| 555 |
+
$\int_{r>R_s}\rho^3\,\dd V_g=O(R_s^{-4})$; another
|
| 556 |
+
Cauchy--Schwarz inequality gives the last term. The constants here
|
| 557 |
+
may depend on the already fixed $r_p$ and original data.
|
| 558 |
+
Proposition~\ref{prop:area-transfer} therefore yields the required
|
| 559 |
+
lower bound for the comparison boundary area.
|
| 560 |
+
|
| 561 |
+
For the compact construction with the $\AF$ attachment,
|
| 562 |
+
$g_{\mathrm{base}}=g$ inside and $g_o$ outside,
|
| 563 |
+
$\bar g=g+s^2\dd f^2$ inside and $\bar g=g_o$ outside. Thus $W=1$
|
| 564 |
+
outside, $\rho=1$, and Lemma~\ref{lem:area-projection} has zero
|
| 565 |
+
projection error. Section~\ref{sec:scalar-error} constructs a smooth
|
| 566 |
+
metric $h'$ arbitrarily close to $h=x\bar g$, with a uniform scalar
|
| 567 |
+
lower bound, together with two enclosures. The enclosure $E$
|
| 568 |
+
contains the caps and all unsafe balls and is used for the
|
| 569 |
+
$\AF$ mass inequality. The largest cap-only minimizer $E_0$ is
|
| 570 |
+
used for the flow. In particular
|
| 571 |
+
\begin{equation}\label{eq:flow-af-two-enclosures}
|
| 572 |
+
|\partial E|_{h'}\ge|\partial E_0|_{h'}.
|
| 573 |
+
\end{equation}
|
| 574 |
+
No topological bound on the unsafe balls or on $E$ is required.
|
| 575 |
+
|
| 576 |
+
The bad set is confined to a fixed outer radius by the capacitary
|
| 577 |
+
lower bound for $x$. On its designated penalized region,
|
| 578 |
+
\begin{equation}\label{eq:flow-af-bad-volume}
|
| 579 |
+
\int_{\{x<1-\delta\}\cap\mathrm{designated}}
|
| 580 |
+
W\,\dd V_{g_{\mathrm{base}}}\le C/L.
|
| 581 |
+
\end{equation}
|
| 582 |
+
The omitted fixed exterior collar has $W=1$, so its contribution is
|
| 583 |
+
at most its base volume. The omitted inner collar has base width
|
| 584 |
+
$O(M^{-4})$. Since the compact construction gives
|
| 585 |
+
$\int_{\Omega_i}W^2\,\dd V_g\le C(L)M^2$, its contribution is at
|
| 586 |
+
most
|
| 587 |
+
\begin{equation}\label{eq:flow-inner-collar-cost}
|
| 588 |
+
O(M^{-2})\left(\int_{\Omega_i}W^2\,\dd V_g\right)^{1/2}
|
| 589 |
+
=O_L(M^{-1}).
|
| 590 |
+
\end{equation}
|
| 591 |
+
Choose the exterior collar sufficiently thin and then $L$
|
| 592 |
+
sufficiently large, both before $M$. Next choose $M$ large and the
|
| 593 |
+
remaining finite penalty parameters as in
|
| 594 |
+
Section~\ref{sec:compact-construction}. Finally choose the individual
|
| 595 |
+
corner-smoothing tolerance small enough for
|
| 596 |
+
\eqref{eq:flow-metric-comparison}. These choices make the bad volume
|
| 597 |
+
smaller than $v_0$. The flow-only initial adjustment does not change
|
| 598 |
+
$|\partial E_0|_{h'}$. Equations~\eqref{eq:flow-area-conclusion} and
|
| 599 |
+
\eqref{eq:flow-af-two-enclosures} give
|
| 600 |
+
\begin{equation}\label{eq:flow-af-area-conclusion}
|
| 601 |
+
|\partial E|_{h'}\ge|\partial E_0|_{h'}\ge(1-\eps)A_*.
|
| 602 |
+
\end{equation}
|
| 603 |
+
If $A_*=0$ there is no area-transfer assertion to prove; the
|
| 604 |
+
nonnegative mass conclusion from the $\AF$ comparison supplies the
|
| 605 |
+
needed zero-area bound.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/05-maximal-reduction.tex
ADDED
|
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|
| 1 |
+
\section{Reduction of maximal data to a minimal boundary}
|
| 2 |
+
\label{sec:maximal-reduction}
|
| 3 |
+
|
| 4 |
+
The result of this section is a reduction within the asymptotically
|
| 5 |
+
hyperbolic class. In particular, it requires no uniform statement about
|
| 6 |
+
the metrics to which the time-symmetric inequality is applied.
|
| 7 |
+
|
| 8 |
+
\begin{theorem}[Maximal reduction]\label{thm:ah-reduction}
|
| 9 |
+
Let \(F:[0,\infty)\to[0,\infty)\) be continuous and nondecreasing.
|
| 10 |
+
Suppose that every smooth, complete, connected, orientable, one-ended
|
| 11 |
+
asymptotically hyperbolic three-dimensional exterior with nonempty
|
| 12 |
+
compact minimal boundary, scalar curvature at least \(-6\),
|
| 13 |
+
\(g-b\in C^{2,\gamma}_\tau\) for some \(0<\gamma<1\) and
|
| 14 |
+
\(3/2<\tau<3\), the weighted scalar integrability of
|
| 15 |
+
Section~\ref{sec:hypotheses}, and four finite mass fluxes satisfies
|
| 16 |
+
\[
|
| 17 |
+
p_0\ge F(A_{\min}).
|
| 18 |
+
\]
|
| 19 |
+
The exponent \(\gamma\) may depend on the comparison metric.
|
| 20 |
+
This hypothesis is to hold in every designated asymptotic chart,
|
| 21 |
+
without a causal-character assumption on the mass covector.
|
| 22 |
+
Then every maximal initial-data exterior of
|
| 23 |
+
Section~\ref{sec:hypotheses} satisfies, in each designated chart,
|
| 24 |
+
\[
|
| 25 |
+
p_0(g)\ge F\bigl(A_{\min}(S;g)\bigr).
|
| 26 |
+
\]
|
| 27 |
+
\end{theorem}
|
| 28 |
+
|
| 29 |
+
Fix the original data and chart, and put \(A_*=A_{\min}(S;g)\).
|
| 30 |
+
Extend the end radius \(r\) to a smooth positive function bounded away
|
| 31 |
+
from zero on \(\Omega\). Constants may depend on this extension and
|
| 32 |
+
the fixed data. Derivatives, volume measures, and fluxes in this
|
| 33 |
+
section use \(g\), unless a different metric is indicated.
|
| 34 |
+
The letter \(b_S\) below denotes a scalar inner flux datum; it is
|
| 35 |
+
unrelated to the hyperbolic reference metric \(b\).
|
| 36 |
+
|
| 37 |
+
\subsection{The equations and the order of choices}
|
| 38 |
+
|
| 39 |
+
For \(N>0\) and \(f\), define
|
| 40 |
+
\begin{equation}\label{eq:ah-fields}
|
| 41 |
+
\begin{gathered}
|
| 42 |
+
s^2+s^4|df|_g^2=N^2,\qquad p=s^2\nabla f,\qquad
|
| 43 |
+
v=p/N,\qquad W=N/s,\\
|
| 44 |
+
\bar g=g+s^2df^2,\qquad
|
| 45 |
+
\pi=N^{-1}\operatorname{sym}\nabla p^\flat,\qquad
|
| 46 |
+
x=sw,\qquad h=x\bar g,\qquad A=Ns\bar g^{-1}.
|
| 47 |
+
\end{gathered}
|
| 48 |
+
\end{equation}
|
| 49 |
+
The first relation uniquely defines \(s>0\), smoothly also at \(df=0\).
|
| 50 |
+
The vector \(p\) in this display is not a component of the mass
|
| 51 |
+
covector. In particular
|
| 52 |
+
\(\bar g^{-1}=g^{-1}-v\otimes v\) and
|
| 53 |
+
\(\dd V_{\bar g}=W\,\dd V_g\).
|
| 54 |
+
We solve
|
| 55 |
+
\begin{equation}\label{eq:ah-system}
|
| 56 |
+
\divg_g p=0,\qquad B=\nabla N-Kp,\qquad
|
| 57 |
+
\divg_g B=3N+\Sigma,\qquad
|
| 58 |
+
-\divg_g(A\,dw)=3N+\Sigma x+P ,
|
| 59 |
+
\end{equation}
|
| 60 |
+
where \(\Sigma,P\ge0\). At the inner boundary, whose normal
|
| 61 |
+
\(\nu\) points into \(\Omega\), prescribe
|
| 62 |
+
\begin{equation}\label{eq:ah-inner-data}
|
| 63 |
+
f=tM,\qquad B\cdot\nu=-t b_S,\qquad (A\,dw)\cdot\nu=0 .
|
| 64 |
+
\end{equation}
|
| 65 |
+
Here \(0\le t\le1\) is a continuation parameter. On the outer
|
| 66 |
+
sphere \(S_R=\{r=R\}\), with outward \(g\)-normal \(\nu_R\), prescribe
|
| 67 |
+
\begin{equation}\label{eq:ah-outer-data}
|
| 68 |
+
f=0,\qquad B\cdot\nu_R=\partial_{\nu_R}V_0,\qquad
|
| 69 |
+
w=V_0^{-1}.
|
| 70 |
+
\end{equation}
|
| 71 |
+
We keep \(K\) fixed throughout the continuation; this preserves
|
| 72 |
+
\(H_g(S)\le k\), where \(k=K(\nu,\nu)\).
|
| 73 |
+
|
| 74 |
+
The identities of Lemmas~\ref{lem:graph-curvature},
|
| 75 |
+
\ref{lem:graph-current}, and~\ref{lem:graph-boundary} apply with
|
| 76 |
+
\(\tr_gK=\tr_g\pi=0\). Writing \(Q=B+A\,dw\), they give
|
| 77 |
+
\begin{align}
|
| 78 |
+
\divg_g Q&=-(x-1)\Sigma-P,\nonumber\\
|
| 79 |
+
Q&=N\bar\nabla x+x(\pi-K)p-(x-1)B,\label{eq:ah-current}\\
|
| 80 |
+
x^2(\Scal_h+6)
|
| 81 |
+
&=x\{D+|\pi-K|_g^2\}
|
| 82 |
+
+\frac{3}{2x}|dx|_{\bar g}^2+6(x-1)^2+\frac{2P}{N},
|
| 83 |
+
\label{eq:ah-scalar}\\
|
| 84 |
+
D&=16\pi(\mu-J\cdot v)\ge0,\nonumber\\
|
| 85 |
+
\left(\Delta_{\bar g}-3+
|
| 86 |
+
N^{-1}\divg_g((\pi-K)p)\right)x&=-3-P/N .
|
| 87 |
+
\label{eq:ah-x-equation}
|
| 88 |
+
\end{align}
|
| 89 |
+
The dominant energy condition and \(|v|<1\) give the displayed
|
| 90 |
+
sign of \(D\). At \(S\), the height maximum principle will give
|
| 91 |
+
\(v=-z\nu\), \(0\le z<1\), and the boundary formula is
|
| 92 |
+
\begin{equation}\label{eq:ah-boundary-curvature}
|
| 93 |
+
s\sqrt{x}\,H_h=N(H_g-zk)-t b_S .
|
| 94 |
+
\end{equation}
|
| 95 |
+
Consequently a suitable small inner flux will make the obstacle
|
| 96 |
+
boundary strictly mean concave wherever an enclosing minimizer
|
| 97 |
+
could touch it.
|
| 98 |
+
|
| 99 |
+
Choose a fixed \(p_1>2\) and an area tolerance \(0<\delta<1/4\).
|
| 100 |
+
For a large finite height \(M\), set
|
| 101 |
+
\begin{equation}\label{eq:ah-parameter-scales}
|
| 102 |
+
R_s=M^{3/10},\qquad T=M^{4/5},\qquad L=M^2.
|
| 103 |
+
\end{equation}
|
| 104 |
+
The allowable smooth inner data form the convex class
|
| 105 |
+
\begin{equation}\label{eq:ah-flux-class}
|
| 106 |
+
\mathcal B_M=
|
| 107 |
+
\left\{b_S\in C^\infty(S):
|
| 108 |
+
0\le b_S\le B_*,\
|
| 109 |
+
\|b_S\|_{L^{p_1}(S,g)}\le M^{-1/(10p_1)}\right\}.
|
| 110 |
+
\end{equation}
|
| 111 |
+
The fixed constant \(B_*\) will be chosen using an upper lapse
|
| 112 |
+
estimate which depends only on the norm constraint in
|
| 113 |
+
\eqref{eq:ah-flux-class}, not on \(B_*\).
|
| 114 |
+
|
| 115 |
+
Let \(\epsilon>0\) be chosen after \(M,L\). The unscaled volume
|
| 116 |
+
source is a product of smooth cutoffs, between \(0\) and \(L\),
|
| 117 |
+
which vanishes when \(r\ge2R_s\), \(x\ge1-\delta/2\), or
|
| 118 |
+
\(N\le\epsilon\), and equals \(L\) when
|
| 119 |
+
\[
|
| 120 |
+
r\le R_s,\qquad x\le1-\delta,\qquad N\ge2\epsilon .
|
| 121 |
+
\]
|
| 122 |
+
The smooth cutoffs are defined also for negative arguments.
|
| 123 |
+
Two further sources, each bounded by a finite strength \(d_*\),
|
| 124 |
+
have the following support and full-strength regions:
|
| 125 |
+
\begin{equation}\label{eq:ah-penalty-cutoffs}
|
| 126 |
+
\begin{array}{c|c|c}
|
| 127 |
+
&\text{vanishes if}&\text{equals }d_*\text{ if}\\ \hline
|
| 128 |
+
P_1& f\le M/2\ \text{or }w\ge4T&
|
| 129 |
+
f\ge3M/4,\quad w\le2T\\
|
| 130 |
+
P_2& N\ge4\epsilon\ \text{or }w\ge4T_2&
|
| 131 |
+
N\le3\epsilon,\quad w\le2T_2 .
|
| 132 |
+
\end{array}
|
| 133 |
+
\end{equation}
|
| 134 |
+
Here \(T_2=C_2(M,L)/\epsilon\), with \(C_2\) fixed below before
|
| 135 |
+
\(\epsilon\) is chosen. During the continuation, multiply both
|
| 136 |
+
the volume source and \(P_1+P_2\) by \(t\); we continue to denote
|
| 137 |
+
the scaled sources by \(\Sigma\), \(P_1\), \(P_2\),
|
| 138 |
+
and \(P=P_1+P_2\).
|
| 139 |
+
All strengths and heights remain finite when solving the equations.
|
| 140 |
+
The limit \(R\to\infty\) is always taken with these internal
|
| 141 |
+
parameters fixed.
|
| 142 |
+
|
| 143 |
+
\subsection{Lapse estimates with only bounded drift}
|
| 144 |
+
|
| 145 |
+
\begin{lemma}\label{lem:ah-lapse}
|
| 146 |
+
For smooth solutions on sufficiently large truncations, uniformly
|
| 147 |
+
over \(0\le t\le1\) and \(b_S\in\mathcal B_M\),
|
| 148 |
+
\begin{equation}\label{eq:ah-lapse-bounds}
|
| 149 |
+
N\le Cr,\qquad N\ge c(M)\epsilon r,\qquad
|
| 150 |
+
\frac{|N-V_0|}{r}\le
|
| 151 |
+
C(R_s/r)^{1+\kappa}\quad(r\ge2R_s),
|
| 152 |
+
\end{equation}
|
| 153 |
+
where \(0<\kappa<\tau-1\) is fixed and small. The upper constant
|
| 154 |
+
uses only the \(L^{p_1}\) bound of \(b_S\). On compact sets,
|
| 155 |
+
\(N\) has uniform Hölder and \(W^{1,q}\) bounds for some \(q>3\),
|
| 156 |
+
depending on \(M,L\), but independent of \(\epsilon,d_*\) and
|
| 157 |
+
derivatives of \(b_S\).
|
| 158 |
+
|
| 159 |
+
The positivity and lower bound remain true at a fixed point in
|
| 160 |
+
which the drift \(Z=K(v)\) is computed using a smooth positive
|
| 161 |
+
extension of the constitutive lapse argument, provided that the
|
| 162 |
+
actual lapse equation is
|
| 163 |
+
\(\divg_g(\nabla N-ZN)=3N+\Sigma\) and the cutoff
|
| 164 |
+
\(N\le\epsilon\) uses the actual lapse.
|
| 165 |
+
\end{lemma}
|
| 166 |
+
|
| 167 |
+
\begin{proof}
|
| 168 |
+
Only \(|Z|\le |K|\) is used. First consider the density equation
|
| 169 |
+
\begin{equation}\label{eq:ah-homogeneous-lapse}
|
| 170 |
+
\divg_g(\nabla H_1-ZH_1)=3H_1
|
| 171 |
+
\end{equation}
|
| 172 |
+
with the prescribed outer flux and inner outward flux \(t b_S\).
|
| 173 |
+
Its adjoint is \(\Delta_g+Z\cdot\nabla-3\), with ordinary
|
| 174 |
+
homogeneous Neumann boundary condition. The maximum and boundary
|
| 175 |
+
point principles give zero adjoint kernel. Scalar elliptic
|
| 176 |
+
Fredholm theory, deforming the lower terms to those of
|
| 177 |
+
\(\Delta_g-3\), gives index zero and hence unique solvability of
|
| 178 |
+
the primal problem. Green's identity with the adjoint solution
|
| 179 |
+
of a nonnegative forcing, which is nonpositive, proves
|
| 180 |
+
\(H_1\ge0\): both prescribed outward fluxes are nonnegative, and
|
| 181 |
+
the outer one is strictly positive. Local Harnack then gives
|
| 182 |
+
strict positivity.
|
| 183 |
+
|
| 184 |
+
We give the weighted estimate used here, including its uniformity
|
| 185 |
+
in the outer radius. For \(-\Delta_g+3\), scalar and divergence
|
| 186 |
+
forcing of size \(O(r^{-j})\), \(0<j<3\), with natural flux data
|
| 187 |
+
in \(L^{p_1}(S)\) and of size \(O(R^{-j})\) on \(S_R\), yield
|
| 188 |
+
an \(O(r^{-j})\) solution, with a constant independent of \(R\).
|
| 189 |
+
The natural datum includes the flux of the divergence forcing.
|
| 190 |
+
To see this, construct a positive strict supersolution comparable
|
| 191 |
+
to \(r^{-j}\), constant on a fixed inner region. Change its
|
| 192 |
+
logarithmic slope slowly from \(0\) to \(-j\) in a long interval
|
| 193 |
+
of \(\log r\) lying sufficiently far out. The limiting radial
|
| 194 |
+
indicial slopes are \(-3\) and \(1\), so this retains
|
| 195 |
+
\((-\Delta_g+3)\varphi\ge c\varphi\). Add a fixed sufficiently
|
| 196 |
+
large multiple of
|
| 197 |
+
\(R^{-j-a}r^a\), similarly continued as a constant inside, where
|
| 198 |
+
\(0<a<1\), to make its outer normal derivative nonnegative.
|
| 199 |
+
The resulting barrier stays comparable to \(r^{-j}\) on \(r\le R\).
|
| 200 |
+
|
| 201 |
+
For divergence forcing the barrier argument is justified by
|
| 202 |
+
normalization and compactness. If the asserted bound fails,
|
| 203 |
+
divide a violating solution by the maximum of its absolute
|
| 204 |
+
value relative to the barrier, and normalize locally by the
|
| 205 |
+
barrier's size at a maximizing point. The normalized forcing
|
| 206 |
+
and boundary data tend to zero. Local Laplace \(W^{1,q}\)
|
| 207 |
+
estimates are available with
|
| 208 |
+
\(3<q<3p_1/2\): the boundary \(L^{p_1}\) datum belongs to the
|
| 209 |
+
required negative trace space by the two-dimensional boundary
|
| 210 |
+
Sobolev embedding. These estimates give local uniform compactness.
|
| 211 |
+
The outer sphere charts have uniformly controlled geometry.
|
| 212 |
+
They may be formed by flowing
|
| 213 |
+
\(\nabla\eta/|d\eta|^2\), \(\eta=\operatorname{arsinh}r\);
|
| 214 |
+
the normal direction is orthogonal and the reflected principal
|
| 215 |
+
metric is uniformly Lipschitz. Thus no high derivatives of
|
| 216 |
+
geodesic normal coordinates are needed.
|
| 217 |
+
At points escaping to infinity, subsequences of the normalized
|
| 218 |
+
geometries converge to hyperbolic geometry, the relative radius
|
| 219 |
+
to an exponential horospherical coordinate, and a nearby outer
|
| 220 |
+
boundary to a horosphere. The strict supersolution and its
|
| 221 |
+
Neumann sign persist in these limits. A nonzero maximum of the
|
| 222 |
+
limiting solution divided by that supersolution contradicts the
|
| 223 |
+
maximum or boundary point principle. The same argument in a
|
| 224 |
+
fixed chart handles bounded maximizing points. This proves the
|
| 225 |
+
claimed estimate.
|
| 226 |
+
|
| 227 |
+
Apply it to \(H_1-V_0\), retaining the drift as divergence forcing.
|
| 228 |
+
The background errors are \(O(r^{1-\tau})\), and
|
| 229 |
+
\(Z=O(r^{-\tau})\). It follows that
|
| 230 |
+
\begin{equation}\label{eq:ah-homogeneous-asymptotic}
|
| 231 |
+
|H_1-V_0|\le Cr^{-\kappa}.
|
| 232 |
+
\end{equation}
|
| 233 |
+
Here and below \(V_0\) is extended smoothly across the compact
|
| 234 |
+
part. There is one additional compactness point in this
|
| 235 |
+
application: a failure with bounded maximizing points could
|
| 236 |
+
produce a nonzero limit \(H_\circ\ge0\), with bounded measurable
|
| 237 |
+
limit drift, zero natural flux, and
|
| 238 |
+
\(H_\circ=O(r^{-\kappa})\), solving
|
| 239 |
+
\eqref{eq:ah-homogeneous-lapse}. The sign follows from positivity
|
| 240 |
+
of \(H_1\) before subtracting \(V_0\) and dividing by an unbounded
|
| 241 |
+
normalizing constant. Regard \(ZH_\circ\) as divergence forcing
|
| 242 |
+
for \(-\Delta_g+3\) and apply the preceding estimate repeatedly.
|
| 243 |
+
This improves the decay to \(O(r^{-j'})\) for some \(2<j'<3\).
|
| 244 |
+
To justify each improvement on the full exterior, solve the
|
| 245 |
+
baseline problem on truncations with zero natural outer flux
|
| 246 |
+
and pass to a limit; its difference from \(H_\circ\) decays in
|
| 247 |
+
the previous weight and vanishes by the maximum principle.
|
| 248 |
+
The improved decay is integrable. Testing the density equation
|
| 249 |
+
with radial cutoffs, equal to one near the finite boundary,
|
| 250 |
+
and moving the Laplacian onto the cutoffs gives
|
| 251 |
+
\(3\int_\Omega H_\circ=0\). All shell terms vanish since
|
| 252 |
+
\(j'>2\). This is impossible. On bounded limiting truncations
|
| 253 |
+
the same contradiction follows by integrating the zero-flux
|
| 254 |
+
equation directly. This proves
|
| 255 |
+
\eqref{eq:ah-homogeneous-asymptotic} with the asserted uniformity.
|
| 256 |
+
For \(b_S=0\), Harnack, also by homogeneous-flux reflection at
|
| 257 |
+
\(S\), and connectedness now give \(H_1\ge cr\).
|
| 258 |
+
|
| 259 |
+
The dual maximum principle compares \(N\) to the homogeneous
|
| 260 |
+
solution with the same drift and boundary data, giving
|
| 261 |
+
\(N\le H_1\le Cr\). For the lower bound divide \(N\) by the
|
| 262 |
+
homogeneous solution with the same drift and \(b_S=0\).
|
| 263 |
+
If this ratio is below \(c\epsilon/R_s\), with \(c\) sufficiently
|
| 264 |
+
small, then \(N\le\epsilon\) wherever the spatial cutoff permits
|
| 265 |
+
\(\Sigma\ne0\). Hence \(\Sigma=0\) on this sublevel. The ratio
|
| 266 |
+
there solves an elliptic drift equation with no zeroth term.
|
| 267 |
+
Its outward derivative is nonnegative at the inner face and
|
| 268 |
+
strictly positive at the outer face when the ratio is below
|
| 269 |
+
the threshold. The minimum and boundary point principles
|
| 270 |
+
therefore exclude such a minimum. This proves the positive
|
| 271 |
+
floor, and also excludes negative lapses when constitutive
|
| 272 |
+
arguments have been extended.
|
| 273 |
+
|
| 274 |
+
Finally, on \(2R_s\le r\le R\), subtract \(V_0\) and treat \(ZN\)
|
| 275 |
+
as divergence forcing of size \(O(r^{1-\tau})\).
|
| 276 |
+
The inner Dirichlet values have size \(O(R_s)\), and the natural
|
| 277 |
+
outer error has the corresponding decaying size. The weighted
|
| 278 |
+
argument above, now with the inner Dirichlet face, gives
|
| 279 |
+
\[
|
| 280 |
+
|N-V_0|\le C R_s^{1+\kappa}r^{-\kappa}.
|
| 281 |
+
\]
|
| 282 |
+
The homogeneous contribution of the inner data is bounded by
|
| 283 |
+
the same barriers. In the normalized argument the zero
|
| 284 |
+
Dirichlet trace also excludes a limit maximum at that face.
|
| 285 |
+
This proves the final estimate in \eqref{eq:ah-lapse-bounds}.
|
| 286 |
+
On fixed patches write the lapse equation as a metric Laplace
|
| 287 |
+
equation with bounded divergence forcing \(ZN\), bounded scalar
|
| 288 |
+
forcing \(3N+\Sigma\), and the prescribed \(L^{p_1}\) boundary
|
| 289 |
+
data. The local \(W^{1,q}\) and Hölder estimates from
|
| 290 |
+
Proposition~\ref{prop:elliptic-inputs} prove the last assertion.
|
| 291 |
+
\end{proof}
|
| 292 |
+
|
| 293 |
+
\subsection{Finite slopes and uniform estimates at infinity}
|
| 294 |
+
|
| 295 |
+
\begin{lemma}\label{lem:ah-graph-estimates}
|
| 296 |
+
The solutions satisfy \(0\le f\le tM\). On every fixed compact
|
| 297 |
+
subset, including \(S\),
|
| 298 |
+
\begin{equation}\label{eq:ah-s-floor}
|
| 299 |
+
s\ge c_{\mathrm{loc}}(M,L)\epsilon ,
|
| 300 |
+
\end{equation}
|
| 301 |
+
and their height gradients have finite bounds for fixed
|
| 302 |
+
\(M,L,\epsilon\), independent of \(d_*\), \(R\), and derivatives
|
| 303 |
+
of \(b_S\). Moreover,
|
| 304 |
+
\begin{align}
|
| 305 |
+
\int_{\{f\in I\}}p\cdot df&\le C|I|,\qquad
|
| 306 |
+
\int_{\Omega_R}(W^2-1)\,\dd V_g\le CM,\label{eq:ah-height-energy}\\
|
| 307 |
+
|f|&\le C R_s^{-1}(R_s/r)^{4-\xi},\nonumber\\
|
| 308 |
+
|v|+|\pi|+|\nabla\pi|&\le C(R_s/r)^{3-\xi}
|
| 309 |
+
\quad(r\ge C_0R_s),\label{eq:ah-end-graph}
|
| 310 |
+
\end{align}
|
| 311 |
+
where \(I\) is any height interval, \(\xi>0\) can be fixed
|
| 312 |
+
sufficiently small, and the constants in
|
| 313 |
+
\eqref{eq:ah-height-energy}--\eqref{eq:ah-end-graph} are
|
| 314 |
+
independent of \(M,L,\epsilon,d_*\) for large \(M\).
|
| 315 |
+
The end estimates include the corresponding local Hölder
|
| 316 |
+
control and derivatives of \(v\) through order two.
|
| 317 |
+
\end{lemma}
|
| 318 |
+
|
| 319 |
+
\begin{proof}
|
| 320 |
+
The maximum principle for \(\divg_g p=0\) gives the height bound.
|
| 321 |
+
We spell out how the differential estimate in
|
| 322 |
+
Lemma~\ref{lem:gradient-maximum} supplies all the finite bounds
|
| 323 |
+
used here. At nonzero gradient write
|
| 324 |
+
\[
|
| 325 |
+
z=|v|,\quad y=z^2,\quad m_f=|df|,\quad
|
| 326 |
+
q=\frac{1-y}{1+y},\quad
|
| 327 |
+
\beta=1+q,\quad
|
| 328 |
+
\mathcal P=g^{-1}+(q-1)e\otimes e,\quad e=\nabla f/m_f .
|
| 329 |
+
\]
|
| 330 |
+
The height equation is
|
| 331 |
+
\(\mathcal P:\nabla^2 f+\beta\,d\log N\cdot df=0\).
|
| 332 |
+
At an interior maximum of
|
| 333 |
+
\(G+j(f)+d_0\), where \(G=-\log s\), \(j'<0\),
|
| 334 |
+
\(j''>0\), and \(y\ge1/2\), that lemma gives
|
| 335 |
+
\begin{equation}\label{eq:ah-gradient-maximum}
|
| 336 |
+
j''q m_f^2\le
|
| 337 |
+
C\left[1+\frac{\Sigma}{N}
|
| 338 |
+
+(1-y)^2(j'm_f)^2+|dd_0|^2+|\nabla^2d_0|\right].
|
| 339 |
+
\end{equation}
|
| 340 |
+
Its hypotheses hold because the lapse equation has precisely
|
| 341 |
+
the drift \(K(v)\), the tensor \(K\) and its divergence are
|
| 342 |
+
bounded on the relevant patches, and \(\Sigma\ge0\).
|
| 343 |
+
The cancellation of the Hessian of \(\log N\) in that lemma
|
| 344 |
+
requires no prior second-derivative estimate for \(N\).
|
| 345 |
+
Multiplying \eqref{eq:ah-gradient-maximum} by \(N^2\) controls
|
| 346 |
+
\((1-y)^{-1}\), using
|
| 347 |
+
\(Nm_f=z/(1-y)\) and the upper lapse bound; a positive lower
|
| 348 |
+
lapse is not needed in this step.
|
| 349 |
+
|
| 350 |
+
At either constant-height face let \(n\) point towards increasing
|
| 351 |
+
end direction. When \(df\ne0\), \(e=-n\), and the boundary part
|
| 352 |
+
of the same lemma gives
|
| 353 |
+
\[
|
| 354 |
+
G_n=-\frac{yH_g+\partial_n\log N}{1-y}.
|
| 355 |
+
\]
|
| 356 |
+
At \(S\), \(\partial_\nu\log N=-zk-tb_S/N\), so
|
| 357 |
+
\(G_\nu\ge zk/(1+z)\), a uniform lower bound.
|
| 358 |
+
Since \(j'f_\nu=-j'm_f>0\), a maximum at this face bounds \(m_f\).
|
| 359 |
+
At \(S_R\), \(H_g\) is bounded below by a positive constant,
|
| 360 |
+
\(K=o(1)\), and
|
| 361 |
+
\(N\partial_{\nu_R}\log N=K(p,\nu_R)+\partial_{\nu_R}V_0\).
|
| 362 |
+
Taking \(|j'|\) sufficiently small makes the outward derivative
|
| 363 |
+
of \(G+j(f)\) negative at large \(y\), bounded above by
|
| 364 |
+
\(-c/(1-y)\). Thus an outer maximum is excluded, or its slope
|
| 365 |
+
is bounded by a localization derivative. A sufficiently small
|
| 366 |
+
decreasing exponential \(j\) has both required derivative signs.
|
| 367 |
+
|
| 368 |
+
On a compact truncation these arguments give a finite global
|
| 369 |
+
slope bound. To make it independent of \(R\) locally, set
|
| 370 |
+
\(d_0=k_0\log\chi\), \(k_0\ge2\), where \(\chi\) is a smooth
|
| 371 |
+
cutoff on a slightly larger compact region, constant normally
|
| 372 |
+
near \(S\) if that face is present. Equation
|
| 373 |
+
\eqref{eq:ah-gradient-maximum} bounds \(W\chi\) at an interior
|
| 374 |
+
maximum; the preceding face argument does the same at \(S\).
|
| 375 |
+
When \(y<1/2\) this bound is immediate. Applying the lapse floor
|
| 376 |
+
to the weighted maximum gives \eqref{eq:ah-s-floor}.
|
| 377 |
+
|
| 378 |
+
Since \(|p|\le N\), the flux through \(S\) is bounded independently
|
| 379 |
+
of all internal large parameters. Test \(\divg_g p=0\) with
|
| 380 |
+
a clipped height whose derivative is one on \(I\) and zero
|
| 381 |
+
elsewhere. Its boundary oscillation is at most \(|I|\), giving
|
| 382 |
+
the first estimate in \eqref{eq:ah-height-energy}.
|
| 383 |
+
The identity \(p\cdot df=W^2-1\), tested with the entire height,
|
| 384 |
+
gives the second one.
|
| 385 |
+
|
| 386 |
+
We next prove the initial uniform end bound \(f\le C/r\);
|
| 387 |
+
it cannot be obtained from a compact-region bound depending
|
| 388 |
+
arbitrarily on \(M\). By Lemma~\ref{lem:ah-lapse}, \(N\asymp r\)
|
| 389 |
+
when \(r\ge CR_s\), for a fixed large \(C\).
|
| 390 |
+
Fix a radial segment of \(\eta\)-length at most one starting
|
| 391 |
+
at radius \(r_*\) there, and set \(F=r_*f\). In a bounded
|
| 392 |
+
number of uniformly controlled metric charts covering its
|
| 393 |
+
neighborhood, consider the subgraph of \(F\) in the product
|
| 394 |
+
with a Euclidean line. The product vector
|
| 395 |
+
\[
|
| 396 |
+
\mathcal Z=(-p/r_*,1)
|
| 397 |
+
\]
|
| 398 |
+
is bounded and divergence free. Its pairing with the upward
|
| 399 |
+
graph normal is
|
| 400 |
+
\[
|
| 401 |
+
\frac{1+p\cdot df}{\sqrt{1+r_*^2|df|^2}}
|
| 402 |
+
=\frac{W^2}{\sqrt{1+r_*^2|df|^2}}\ge c>0,
|
| 403 |
+
\]
|
| 404 |
+
using \(N/r_*\asymp1\) and the constitutive relation.
|
| 405 |
+
The divergence theorem therefore makes the subgraph locally
|
| 406 |
+
quasiminimizing for perimeter, with a uniform constant.
|
| 407 |
+
Filling or emptying a product ball bounds the graph perimeter
|
| 408 |
+
there by a constant times the trace area of either phase.
|
| 409 |
+
The four-dimensional isoperimetric inequality then gives,
|
| 410 |
+
for the positive volume \(V(h)\) of either phase in a ball,
|
| 411 |
+
\(V'(h)\ge cV(h)^{3/4}\).
|
| 412 |
+
Integration yields uniform two-sided volume density, and
|
| 413 |
+
relative isoperimetry yields a fixed positive graph-area
|
| 414 |
+
lower bound in each sufficiently small ball centered on
|
| 415 |
+
the graph.
|
| 416 |
+
|
| 417 |
+
If the height span of \(F\) on the radial segment is \(D\),
|
| 418 |
+
choose graph points with separated heights and disjoint
|
| 419 |
+
fixed-size product balls. The preceding estimate bounds
|
| 420 |
+
the graph area in the surrounding tube and relevant height
|
| 421 |
+
band below by \(cD-C\). Conversely, the constitutive relation
|
| 422 |
+
gives
|
| 423 |
+
\(\sqrt{1+r_*^2|df|^2}\le C(1+p\cdot df)\).
|
| 424 |
+
The base tube has bounded volume and the relevant interval
|
| 425 |
+
of \(f\) has length at most \(C(D+1)/r_*\).
|
| 426 |
+
Equation~\eqref{eq:ah-height-energy} bounds the graph area
|
| 427 |
+
above by \(C+C(D+1)/r_*\). For large fixed starting radius
|
| 428 |
+
this bounds \(D\) uniformly. If the segment meets \(S_R\),
|
| 429 |
+
oddly reflect \(f\), evenly reflect \(N\), and reflect the
|
| 430 |
+
metric in the orthogonal charts described in the lapse proof.
|
| 431 |
+
The zero trace of \(f\) makes the divergence equation valid
|
| 432 |
+
weakly after reflection. The reflected height band adds
|
| 433 |
+
only an interval of comparable length to the energy estimate.
|
| 434 |
+
Thus the same estimate holds there. Summing the bounds
|
| 435 |
+
\(C/r_*\) over consecutive outward unit segments, up to
|
| 436 |
+
the zero height at \(S_R\), proves \(f\le C/r\).
|
| 437 |
+
|
| 438 |
+
On far-out unit balls rescale \((f,N,p,s)\) by
|
| 439 |
+
\((r_*,r_*^{-1},r_*^{-1},r_*^{-1})\), respectively.
|
| 440 |
+
The equations there have \(\Sigma=0\) and retain their form.
|
| 441 |
+
The localized gradient estimate now gives uniform bounds
|
| 442 |
+
for the rescaled height gradient and uniform ellipticity.
|
| 443 |
+
The outer-face argument applies with its rescaled positive
|
| 444 |
+
flux datum. The rescaled lapse has uniform \(W^{1,q}\) bounds.
|
| 445 |
+
Differentiating the divergence height equation, or using
|
| 446 |
+
difference quotients, gives scalar uniformly elliptic
|
| 447 |
+
divergence equations for its first derivatives, with divergence
|
| 448 |
+
forcing in \(L^q\), \(q>3\). The inhomogeneous Hölder estimate
|
| 449 |
+
therefore bounds \(df\) in a Hölder norm, also at a
|
| 450 |
+
constant-height boundary by odd reflection. The lapse
|
| 451 |
+
divergence equation then gives \(C^{1,\gamma}\) control,
|
| 452 |
+
followed by the nondivergence height equation and successive
|
| 453 |
+
Schauder estimates. These steps use only the stated
|
| 454 |
+
\(C^{2,\alpha}\) metric and \(C^{1,\alpha}\) tensor bounds.
|
| 455 |
+
They also prove compact-set gradient Hölder estimates away
|
| 456 |
+
from infinity without differentiating \(b_S\).
|
| 457 |
+
|
| 458 |
+
On each far-out ball, the energy estimate for a height interval
|
| 459 |
+
of length \(C/r_*\), together with this Hölder control, implies
|
| 460 |
+
\(z=o(1)\) uniformly as \(r_*\to\infty\).
|
| 461 |
+
The derivative version of \eqref{eq:ah-lapse-bounds} implies
|
| 462 |
+
that \(\nabla\log N\) tends to the hyperbolic radial direction
|
| 463 |
+
as \(r/R_s\to\infty\). The limiting height operator is
|
| 464 |
+
\(\Delta_b+2\,d\eta\cdot d\); its decaying radial indicial
|
| 465 |
+
root is \(-4\). For any sufficiently small fixed \(\xi>0\),
|
| 466 |
+
a positive multiple of \(r^{-4+\xi}\) is therefore a strict
|
| 467 |
+
supersolution sufficiently far beyond \(R_s\).
|
| 468 |
+
Comparison with the already proved \(C/r\) bound at a fixed
|
| 469 |
+
multiple of \(R_s\) gives the first estimate in
|
| 470 |
+
\eqref{eq:ah-end-graph}. Treating the actual height equation
|
| 471 |
+
as a linear equation on these smaller height ranges gives
|
| 472 |
+
the corresponding derivative bounds by Schauder theory.
|
| 473 |
+
Inserting them in \(p=s^2\nabla f\) and
|
| 474 |
+
\(\pi=N^{-1}\operatorname{sym}\nabla p^\flat\) gives the
|
| 475 |
+
remaining assertions.
|
| 476 |
+
\end{proof}
|
| 477 |
+
|
| 478 |
+
For a fixed sufficiently large \(C_0\), all sources vanish when
|
| 479 |
+
\(r\ge C_0R_s\). Indeed the height is then below \(M/2\),
|
| 480 |
+
the lapse exceeds \(4\epsilon\), and the spatial cutoff
|
| 481 |
+
for \(\Sigma\) has ended. In this region
|
| 482 |
+
\begin{equation}\label{eq:ah-end-x}
|
| 483 |
+
(\Delta_{\bar g}-3-U_0)x=-3,\qquad
|
| 484 |
+
U_0=-N^{-1}\divg_g((\pi-K)p),\qquad
|
| 485 |
+
|U_0|_{C^{0,\gamma}_{\mathrm{loc}}}
|
| 486 |
+
\le C(R_s/r)^\lambda
|
| 487 |
+
\end{equation}
|
| 488 |
+
for some \(\lambda>3\). For example one can take any exponent
|
| 489 |
+
below \(\min(6-2\xi,\tau+3-\xi)\), by
|
| 490 |
+
\eqref{eq:ah-end-graph}. The constants here retain the
|
| 491 |
+
independence asserted in that lemma.
|
| 492 |
+
|
| 493 |
+
\subsection{Costs and enforcement of the finite penalties}
|
| 494 |
+
|
| 495 |
+
\begin{lemma}\label{lem:ah-penalties}
|
| 496 |
+
The parameters can be chosen in the order already specified,
|
| 497 |
+
with \(\epsilon\) sufficiently small after \(M,L\), and then
|
| 498 |
+
\(d_*\) sufficiently large but finite, such that
|
| 499 |
+
\begin{equation}\label{eq:ah-penalty-costs}
|
| 500 |
+
\int_{\Omega_R}P_1\,\dd V_g\le C T/M,\qquad
|
| 501 |
+
\int_{\Omega_R}P_2\,\dd V_g=o_{M,L}(1)
|
| 502 |
+
\quad(\epsilon\downarrow0),
|
| 503 |
+
\end{equation}
|
| 504 |
+
uniformly in \(R,b_S\), and in the strengths.
|
| 505 |
+
At \(t=1\), the same choices enforce
|
| 506 |
+
\begin{equation}\label{eq:ah-penalty-targets}
|
| 507 |
+
w|_S\ge T,\qquad
|
| 508 |
+
w\ge T_2\quad\hbox{on }\{N\le2\epsilon\},\qquad
|
| 509 |
+
sT_2\ge1\quad\hbox{on }\{N\le4\epsilon\}.
|
| 510 |
+
\end{equation}
|
| 511 |
+
Consequently \(x<1-\delta\) and \(r\le R_s\) imply
|
| 512 |
+
\(\Sigma=L\).
|
| 513 |
+
\end{lemma}
|
| 514 |
+
|
| 515 |
+
\begin{proof}
|
| 516 |
+
The lapse floor confines \(N<6\epsilon\) to a compact set
|
| 517 |
+
depending on \(M\), independently of \(\epsilon\).
|
| 518 |
+
Equation~\eqref{eq:ah-s-floor} on a slightly larger compact set
|
| 519 |
+
therefore permits a choice of \(C_2(M,L)\) such that
|
| 520 |
+
\(sT_2\ge1\) throughout the required low-lapse region.
|
| 521 |
+
|
| 522 |
+
For every Lipschitz test \(\zeta\) vanishing at \(S_R\), positivity
|
| 523 |
+
of \(w\), its equation, and its zero inner flux give
|
| 524 |
+
\begin{equation}\label{eq:ah-penalty-test}
|
| 525 |
+
\int P\,\frac{\zeta^2}{w}\,\dd V_g
|
| 526 |
+
\le \int A(d\zeta,d\zeta)\,\dd V_g .
|
| 527 |
+
\end{equation}
|
| 528 |
+
Indeed test with \(\zeta^2/w\) and complete the square in
|
| 529 |
+
\(2\zeta\,dw\cdot A\,d\zeta/w-\zeta^2 A(dw,dw)/w^2\).
|
| 530 |
+
All the other terms on the right side of the \(w\)-equation
|
| 531 |
+
are nonnegative. On the support of \(P_1\),
|
| 532 |
+
\(f/M\ge1/2\) and \(w\le4T\). With \(\zeta=f/M\),
|
| 533 |
+
the algebraic inequality
|
| 534 |
+
\(A(df,df)=W-W^{-1}\le W^2-1=p\cdot df\) and
|
| 535 |
+
\eqref{eq:ah-height-energy} prove
|
| 536 |
+
\(\int P_1\le CT/M\).
|
| 537 |
+
|
| 538 |
+
For \(P_2\) take a cutoff of \(N/\epsilon\), equal to one
|
| 539 |
+
below \(4\) and zero above \(6\). It vanishes near \(S_R\)
|
| 540 |
+
for large \(R\). Since \(A\le N^2g^{-1}\) and \(w\le4T_2\)
|
| 541 |
+
on this source's support,
|
| 542 |
+
\begin{equation}\label{eq:ah-low-lapse-cost}
|
| 543 |
+
\int P_2\le
|
| 544 |
+
C T_2\int_{\{N<6\epsilon\}}|\nabla N|^2\,\dd V_g.
|
| 545 |
+
\end{equation}
|
| 546 |
+
Test the lapse equation with \((6\epsilon-N)^+\).
|
| 547 |
+
The outward current flux at \(S\) is \(t b_S\ge0\), so its
|
| 548 |
+
boundary contribution has the favorable sign. On the
|
| 549 |
+
sublevel set \(|Kp|\le CN\le C\epsilon\). Cauchy's inequality
|
| 550 |
+
then gives
|
| 551 |
+
\begin{equation}\label{eq:ah-low-lapse-energy}
|
| 552 |
+
\int_{\{N<6\epsilon\}}|\nabla N|^2
|
| 553 |
+
\le C(M)\epsilon^2
|
| 554 |
+
+C\epsilon\int_{\{N<6\epsilon\}}\Sigma .
|
| 555 |
+
\end{equation}
|
| 556 |
+
|
| 557 |
+
We must show that the final integral tends uniformly to zero;
|
| 558 |
+
boundedness of \(\Sigma\) alone would not suffice.
|
| 559 |
+
For any potentially violating sequence, use the uniform
|
| 560 |
+
local lapse Hölder bounds to take \(N_j\to N_0\ge0\)
|
| 561 |
+
uniformly on the compact region containing these sublevels.
|
| 562 |
+
After a subsequence,
|
| 563 |
+
\[
|
| 564 |
+
Kp_j\rightharpoonup Z_0N_0,\qquad
|
| 565 |
+
\Sigma_j\rightharpoonup^*\Sigma_0,\qquad
|
| 566 |
+
|Z_0|\le C,\quad 0\le\Sigma_0\le L .
|
| 567 |
+
\]
|
| 568 |
+
The weak limit equation is
|
| 569 |
+
\(\Delta_gN_0=\divg_g(Z_0N_0)+3N_0+\Sigma_0\).
|
| 570 |
+
We claim \(\Sigma_0=0\) almost everywhere on \(\{N_0=0\}\).
|
| 571 |
+
Choose an interior density point of that zero set which is
|
| 572 |
+
also a Lebesgue point of \(\Sigma_0\). In balls of radius
|
| 573 |
+
\(h\downarrow0\), rescale \(N_0\) by \(h^{-2}\).
|
| 574 |
+
The rescaled fields are nonnegative and vanish at the center.
|
| 575 |
+
Their divergence drift has size \(O(h)\) and their scalar
|
| 576 |
+
forcing is bounded. The inhomogeneous Harnack estimate
|
| 577 |
+
therefore gives a uniform bound on smaller balls.
|
| 578 |
+
Because the rescaled zero sets have asymptotically full
|
| 579 |
+
measure, these functions tend to zero in local \(L^1\).
|
| 580 |
+
Testing the rescaled equation against compactly supported
|
| 581 |
+
smooth functions shows that the limiting constant scalar
|
| 582 |
+
forcing is zero, proving the claim. Boundary points need
|
| 583 |
+
not be considered, since \(S\) has zero volume.
|
| 584 |
+
|
| 585 |
+
For completeness, the changing sublevel sets cause no loss:
|
| 586 |
+
for every \(a>0\), uniform convergence gives
|
| 587 |
+
\(\{N_j<6\epsilon_j\}\subset\{N_0\le a\}\) eventually.
|
| 588 |
+
Nonnegativity and weak convergence, using continuous cutoffs
|
| 589 |
+
of \(N_0\) that majorize this fixed sublevel, imply
|
| 590 |
+
\[
|
| 591 |
+
\limsup_j\int_{\{N_j<6\epsilon_j\}}\Sigma_j
|
| 592 |
+
\le \int_{\{N_0\le2a\}}\Sigma_0.
|
| 593 |
+
\]
|
| 594 |
+
Letting \(a\downarrow0\) proves the asserted uniform convergence.
|
| 595 |
+
Equations~\eqref{eq:ah-low-lapse-cost} and
|
| 596 |
+
\eqref{eq:ah-low-lapse-energy}, with \(T_2=C_2/\epsilon\),
|
| 597 |
+
prove the second cost in \eqref{eq:ah-penalty-costs}.
|
| 598 |
+
Choose \(\epsilon=\epsilon(M)\) sufficiently small that this
|
| 599 |
+
cost, as well as \(T/M=M^{-1/5}\), tends to zero as \(M\to\infty\).
|
| 600 |
+
|
| 601 |
+
Now fix \(M,L,\epsilon\) and increase the finite strengths.
|
| 602 |
+
The previously proved continuity of \(f,N\) supplies uniform
|
| 603 |
+
neighborhoods of the targets \(S\) and \(N\le2\epsilon\)
|
| 604 |
+
inside, respectively, the weaker triggering regions
|
| 605 |
+
\(f\ge3M/4\) and \(N\le3\epsilon\).
|
| 606 |
+
The cost bounds imply that the volume in these neighborhoods
|
| 607 |
+
where \(w\le2T\), or \(w\le2T_2\), tends to zero as
|
| 608 |
+
\(d_*\to\infty\).
|
| 609 |
+
For either threshold \(D=T,T_2\), the bounded nonnegative
|
| 610 |
+
function \((2D-w)^+\) is a weak subsolution of the homogeneous
|
| 611 |
+
divergence operator \(\divg_g(A\,d\cdot)\).
|
| 612 |
+
Its coefficients are uniformly elliptic on the relevant
|
| 613 |
+
compact region for these fixed parameters, independently of
|
| 614 |
+
the strength. The scalar local supremum estimate bounds its
|
| 615 |
+
supremum on a smaller neighborhood by its \(L^2\) mean on the
|
| 616 |
+
larger one. At \(S\), even reflection using the zero natural
|
| 617 |
+
flux gives the same estimate. Choosing \(d_*\) sufficiently
|
| 618 |
+
large makes that supremum smaller than \(D\).
|
| 619 |
+
This proves \eqref{eq:ah-penalty-targets}, with room in the
|
| 620 |
+
thresholds if desired. Finally, if \(x<1-\delta\), the
|
| 621 |
+
second target excludes \(N\le2\epsilon\), so the volume
|
| 622 |
+
penalty is at full strength when also \(r\le R_s\).
|
| 623 |
+
\end{proof}
|
| 624 |
+
|
| 625 |
+
\subsection{Compactness, mass, and a uniform comparison sphere}
|
| 626 |
+
|
| 627 |
+
Until the existence argument below, a \emph{limit solution} means
|
| 628 |
+
any limit along expanding truncations of smooth solutions at
|
| 629 |
+
the fixed internal parameters and fixed \(t\), allowing arbitrary
|
| 630 |
+
\(b_S\in\mathcal B_M\). Statements about this family are a priori
|
| 631 |
+
statements and do not presuppose that it is nonempty.
|
| 632 |
+
Pass also to a weak \(L^{p_1}(S)\) limit of the boundary data.
|
| 633 |
+
Until the selector is imposed, we use \(b_S\) for this inherited
|
| 634 |
+
datum in a limit solution: it need not be smooth, but its
|
| 635 |
+
pointwise bounds, norm bound, and natural-flux identity pass
|
| 636 |
+
to the limit. Its integral is the limit of the integrals of
|
| 637 |
+
the smooth data.
|
| 638 |
+
|
| 639 |
+
\begin{lemma}\label{lem:ah-limit-mass}
|
| 640 |
+
With internal parameters fixed, the fields \(N,f,df,w\)
|
| 641 |
+
are uniformly precompact in local uniform topology, including
|
| 642 |
+
at \(S\). Limit solutions have \(N,w>0\) and are classical
|
| 643 |
+
away from \(S\). They obey
|
| 644 |
+
\begin{equation}\label{eq:ah-conformal-decay}
|
| 645 |
+
x-1=O_{\mathrm{fixed},2,\gamma}(r^{-3+\xi}).
|
| 646 |
+
\end{equation}
|
| 647 |
+
Here \(\xi\) is taken sufficiently small, in particular
|
| 648 |
+
\(0<\xi<\min(3-\tau,\tau-1)\).
|
| 649 |
+
Their metrics \(h\) satisfy the required asymptotically
|
| 650 |
+
hyperbolic decay, all four mass fluxes are finite, and
|
| 651 |
+
\(V_0(\Scal_h+6)\) is integrable near infinity. Their time
|
| 652 |
+
components satisfy
|
| 653 |
+
\begin{equation}\label{eq:ah-mass-budget}
|
| 654 |
+
8\pi\{p_0(h)-p_0(g)\}
|
| 655 |
+
=t\int_S b_S\,\dd A_g
|
| 656 |
+
+\int_\Omega\{(x-1)\Sigma+P\}\,\dd V_g
|
| 657 |
+
\le o(1)\quad(M\to\infty).
|
| 658 |
+
\end{equation}
|
| 659 |
+
The \(o(1)\) is uniform over the allowed data, with the
|
| 660 |
+
subsequent choices of \(\epsilon,d_*\) just described.
|
| 661 |
+
\end{lemma}
|
| 662 |
+
|
| 663 |
+
\begin{proof}
|
| 664 |
+
Only the upper bound for \(w\) remains to be established.
|
| 665 |
+
The right side of its equation is bounded on compact sets:
|
| 666 |
+
\(\Sigma x\le L\), since a nonzero \(\Sigma\) requires \(x<1\),
|
| 667 |
+
and \(P\) has fixed finite strength.
|
| 668 |
+
By \eqref{eq:ah-lapse-bounds} and \eqref{eq:ah-end-graph},
|
| 669 |
+
a multiple of \(r^{-1}\) is a supersolution for
|
| 670 |
+
\(-\divg_g(A\,dw)=3N\) sufficiently far beyond \(R_s\).
|
| 671 |
+
Comparison therefore bounds the end values of \(w\) by
|
| 672 |
+
\[
|
| 673 |
+
C\left(1+\sup_{\{r\le C_0R_s\}}w\right)r^{-1}.
|
| 674 |
+
\]
|
| 675 |
+
If its compact supremum were unbounded, divide by that
|
| 676 |
+
supremum. Uniform ellipticity, local divergence estimates,
|
| 677 |
+
and convergence of \(N,df\) then give a nonzero nonnegative
|
| 678 |
+
limit satisfying the homogeneous \(w\)-equation, with zero
|
| 679 |
+
inner flux and decaying to zero at infinity. The maximum
|
| 680 |
+
principle excludes such a function; Harnack and reflection
|
| 681 |
+
at \(S\) handle a maximum at that face. Thus the compact
|
| 682 |
+
upper bounds hold. Local Hölder estimates for \(w\) and
|
| 683 |
+
the already proved estimates for \(N,df\) give the stated
|
| 684 |
+
precompactness. The lapse floor and the strictly positive
|
| 685 |
+
forcing \(3N\) in the supersolution equation imply positivity
|
| 686 |
+
of both limiting fields. Scalar elliptic bootstrapping gives
|
| 687 |
+
classical interior regularity.
|
| 688 |
+
|
| 689 |
+
On the end, \eqref{eq:ah-end-x} and these upper bounds permit
|
| 690 |
+
comparison for \(x-1\) with a multiple of \(r^{-3+\xi}\).
|
| 691 |
+
For a finite truncation add \(C(r/R)^{a_0}\), \(0<a_0<1\),
|
| 692 |
+
to dominate its outer boundary values. The first term
|
| 693 |
+
dominates the decaying forcing \(U_0\), while the second
|
| 694 |
+
vanishes on fixed sets as \(R\to\infty\).
|
| 695 |
+
The scalar zeroth coefficient is positive after increasing
|
| 696 |
+
the fixed end radius. The maximum principle proves the
|
| 697 |
+
zeroth-order bound in \eqref{eq:ah-conformal-decay}, and
|
| 698 |
+
interior Schauder estimates prove its derivative and Hölder
|
| 699 |
+
versions. These estimates are uniform over all limit
|
| 700 |
+
solutions at the fixed parameters, without bounds on
|
| 701 |
+
derivatives of \(b_S\).
|
| 702 |
+
|
| 703 |
+
Since
|
| 704 |
+
\(\bar g-g=O_{\mathrm{fixed},2,\gamma}(r^{-6+2\xi})\),
|
| 705 |
+
the choice \(\xi<3-\tau\) ensures that \(h-b\) has the
|
| 706 |
+
original admissible decay exponent, with a possibly smaller
|
| 707 |
+
Hölder exponent. Put \(\varphi=x-1\).
|
| 708 |
+
The change in each defining mass flux is, up to an error
|
| 709 |
+
tending to zero, the flux of the one-form
|
| 710 |
+
\[
|
| 711 |
+
-2\{V_\mu\,d\varphi-\varphi\,dV_\mu\}.
|
| 712 |
+
\]
|
| 713 |
+
All nonlinear conformal errors and graph terms disappear
|
| 714 |
+
by the displayed decay. This flux has a finite limit:
|
| 715 |
+
its divergence is
|
| 716 |
+
\(-2V_\mu(\Delta_b-3)\varphi\), and
|
| 717 |
+
\eqref{eq:ah-end-x} gives absolute weighted integrability.
|
| 718 |
+
Indeed \(U_0=O(r^{-\lambda})\), \(\lambda>3\);
|
| 719 |
+
the difference between \(\Delta_{\bar g}\) and \(\Delta_b\)
|
| 720 |
+
on \(\varphi\) is
|
| 721 |
+
\(O(r^{-\tau-3+\xi})+O(r^{-9+3\xi})\).
|
| 722 |
+
Multiplication by \(V_0\) and integration against the
|
| 723 |
+
hyperbolic volume, of radial size \(r\,\dd r\), is integrable.
|
| 724 |
+
The scalar identity \eqref{eq:ah-scalar}, the original
|
| 725 |
+
weighted matter and \(K^2\) integrability, and
|
| 726 |
+
\eqref{eq:ah-end-graph}--\eqref{eq:ah-conformal-decay}
|
| 727 |
+
similarly prove integrability of \(V_0(\Scal_h+6)\).
|
| 728 |
+
|
| 729 |
+
On each limit end the lapse equation also gives
|
| 730 |
+
\[
|
| 731 |
+
(\Delta_g-3)(N-V_0)
|
| 732 |
+
=O(r^{1-\tau})+\divg_g(Kp).
|
| 733 |
+
\]
|
| 734 |
+
Together with \eqref{eq:ah-lapse-bounds} and the end
|
| 735 |
+
derivative estimates this yields
|
| 736 |
+
\(|\nabla(N-V_0)|=O_{\mathrm{fixed}}(r^{-\kappa})\).
|
| 737 |
+
Insert the second expression for \(Q\) in
|
| 738 |
+
\eqref{eq:ah-current}. Its sphere flux differs from
|
| 739 |
+
that of \(V_0\,d\varphi-\varphi\,dV_0\) by a quantity
|
| 740 |
+
tending to zero. The \(N-V_0\) terms have integrated
|
| 741 |
+
size \(O(r^{-1-\kappa+\xi})\); the
|
| 742 |
+
\((\pi-K)p\) terms have integrated sizes bounded by
|
| 743 |
+
\(O(r^{-3+2\xi})+O(r^{-\tau+\xi})\).
|
| 744 |
+
Metric replacement errors vanish by the same decay.
|
| 745 |
+
It follows that
|
| 746 |
+
\[
|
| 747 |
+
\lim_{r\to\infty}\int_{\{r=\mathrm{const}\}}Q\cdot\nu_r
|
| 748 |
+
\,\dd A_g=-8\pi\{p_0(h)-p_0(g)\}.
|
| 749 |
+
\]
|
| 750 |
+
At the inner boundary the outward normal of the exterior
|
| 751 |
+
is \(-\nu\), and \(Q\cdot(-\nu)=t b_S\).
|
| 752 |
+
Integrating \(\divg_g Q=-(x-1)\Sigma-P\) proves
|
| 753 |
+
\eqref{eq:ah-mass-budget}. This integration remains valid
|
| 754 |
+
for limits with only continuous fields at \(S\): use the
|
| 755 |
+
first expression \(Q=A\,dw+B\), the weak equations and
|
| 756 |
+
their prescribed natural fluxes on compact regions.
|
| 757 |
+
The second expression is needed only at infinity, where
|
| 758 |
+
the fields are classical. Finally,
|
| 759 |
+
\((x-1)\Sigma\le0\), the \(L^{p_1}\) bound makes
|
| 760 |
+
\(\int_S b_S=o(1)\), and
|
| 761 |
+
Lemma~\ref{lem:ah-penalties} gives \(\int P=o(1)\).
|
| 762 |
+
\end{proof}
|
| 763 |
+
|
| 764 |
+
The next estimate is needed before choosing \(b_S\); compact
|
| 765 |
+
upper bounds for \(w\) at fixed parameters alone would not
|
| 766 |
+
give it.
|
| 767 |
+
|
| 768 |
+
\begin{lemma}\label{lem:ah-comparison-sphere}
|
| 769 |
+
There is a fixed large \(C_1\) such that, at
|
| 770 |
+
\(r_1=C_1R_s\), every limit solution at \(t=1\) satisfies
|
| 771 |
+
\begin{equation}\label{eq:ah-comparison-area}
|
| 772 |
+
\Area_h(\{r=r_1\})\le C R_s^2,
|
| 773 |
+
\end{equation}
|
| 774 |
+
with \(C\) independent of the internal large parameters.
|
| 775 |
+
\end{lemma}
|
| 776 |
+
|
| 777 |
+
\begin{proof}
|
| 778 |
+
On \(r>r_1\) solve
|
| 779 |
+
\[
|
| 780 |
+
(\Delta_{\bar g}-3-U_0)Y=0,\qquad
|
| 781 |
+
Y|_{r=r_1}=0,\qquad Y/V_0\longrightarrow1 .
|
| 782 |
+
\]
|
| 783 |
+
Existence follows by solving with outer Dirichlet datum
|
| 784 |
+
\(V_0\) on larger truncations, applying positive barriers,
|
| 785 |
+
and passing to a limit. Choose
|
| 786 |
+
\(\xi<b_0<\min(1,\tau)\).
|
| 787 |
+
Positive and negative barriers of size
|
| 788 |
+
\(Cr(r_1/r)^{b_0}\) for \(Y-V_0\) work by the end estimates.
|
| 789 |
+
They give \(0\le Y\le Cr\), and the corresponding first
|
| 790 |
+
derivative control follows from elliptic estimates.
|
| 791 |
+
On an annulus from \(r_1\) to a large fixed multiple of
|
| 792 |
+
\(r_1\), compare from below with a small positive multiple
|
| 793 |
+
of \(r_1((r/r_1)^2-1)\). This is a subsolution with zero
|
| 794 |
+
inner value, and its outer value can be made smaller than
|
| 795 |
+
that of \(Y\). The boundary point principle and local
|
| 796 |
+
boundary estimates therefore give, in the end direction,
|
| 797 |
+
\[
|
| 798 |
+
cr_1\le\partial_nY\le Cr_1
|
| 799 |
+
\quad\hbox{on }\{r=r_1\},
|
| 800 |
+
\]
|
| 801 |
+
where \(n\) is the \(\bar g\)-unit normal.
|
| 802 |
+
|
| 803 |
+
For \(\varphi=x-1\), the operator just used satisfies
|
| 804 |
+
\((\Delta_{\bar g}-3-U_0)\varphi=U_0\).
|
| 805 |
+
Green's identity, the mass-flux calculation, and
|
| 806 |
+
\(b_0>\xi\) give
|
| 807 |
+
\begin{equation}\label{eq:ah-green-comparison}
|
| 808 |
+
\int_{\{r=r_1\}}(x-1)\partial_nY\,\dd A_{\bar g}
|
| 809 |
+
=\int_{\{r>r_1\}}YU_0\,\dd V_{\bar g}
|
| 810 |
+
+8\pi\{p_0(h)-p_0(g)\}
|
| 811 |
+
\le Cr_1^3 .
|
| 812 |
+
\end{equation}
|
| 813 |
+
The source integral is bounded by \(Cr_1^3\), since
|
| 814 |
+
\(\lambda>3\), \(Y\le Cr\), and \(W\) is uniformly bounded
|
| 815 |
+
on this end region. The mass increment is bounded above
|
| 816 |
+
by \eqref{eq:ah-mass-budget}. Add
|
| 817 |
+
\(\int\partial_nY\le Cr_1^3\) to both sides of
|
| 818 |
+
\eqref{eq:ah-green-comparison}, and then use \(x>0\) and
|
| 819 |
+
\(\partial_nY\ge cr_1\). This yields
|
| 820 |
+
\(\int_{\{r=r_1\}}x\,\dd A_{\bar g}\le Cr_1^2\).
|
| 821 |
+
Two-dimensional conformal scaling makes this integral
|
| 822 |
+
exactly the area in \eqref{eq:ah-comparison-area}.
|
| 823 |
+
\end{proof}
|
| 824 |
+
|
| 825 |
+
\subsection{A continuous choice of inner flux}
|
| 826 |
+
|
| 827 |
+
\begin{lemma}\label{lem:ah-contact-selector}
|
| 828 |
+
For all sufficiently large \(M\), at the finite parameters
|
| 829 |
+
chosen above, there is a continuous rule \(\mathfrak b\) on
|
| 830 |
+
the uniform topology of the fields \((N,f,df,w)\) on a fixed
|
| 831 |
+
compact original subdomain, with values in a finite convex
|
| 832 |
+
hull in \(\mathcal B_M\), such that every limit solution at
|
| 833 |
+
\(t=1\) satisfies
|
| 834 |
+
\begin{equation}\label{eq:ah-contact-majorant}
|
| 835 |
+
\mathfrak b(N,f,df,w)>N(H_g-zk)
|
| 836 |
+
\end{equation}
|
| 837 |
+
at every possible contact on \(S\) of a perimeter-minimizing
|
| 838 |
+
enclosure of \(S\).
|
| 839 |
+
\end{lemma}
|
| 840 |
+
|
| 841 |
+
\begin{proof}
|
| 842 |
+
Consider all limits at \(t=1\) arising from arbitrary smooth
|
| 843 |
+
choices \(b_S\in\mathcal B_M\) on arbitrary expanding
|
| 844 |
+
truncations. Their restrictions to each fixed compact
|
| 845 |
+
region form a compact family in the uniform field topology.
|
| 846 |
+
Precompactness follows from Lemma~\ref{lem:ah-limit-mass};
|
| 847 |
+
closedness follows by a diagonal choice of actual truncation
|
| 848 |
+
solutions from the defining sequences of a convergent
|
| 849 |
+
sequence of limits. This definition uses no existence
|
| 850 |
+
assertion, and the family may initially be empty.
|
| 851 |
+
|
| 852 |
+
The fixed-parameter end estimates are uniform over this
|
| 853 |
+
family. Choose a large fixed radial sphere, beyond \(r_1\),
|
| 854 |
+
so that all spheres from slightly before it to infinity are
|
| 855 |
+
strictly outward mean convex in every limit metric.
|
| 856 |
+
Adjoin smooth compact orientable handlebodies to all components of
|
| 857 |
+
\(S\), possible because each is a closed orientable surface. Choose
|
| 858 |
+
the gluing maps to reverse the induced boundary orientations, so the
|
| 859 |
+
orientation of \(\Omega\) extends over the caps.
|
| 860 |
+
Let \(O\) denote their union and \(X\) the resulting
|
| 861 |
+
one-ended smooth manifold without boundary; let \(K_c\)
|
| 862 |
+
be the compact region cut off by the chosen large sphere.
|
| 863 |
+
Extend each continuous positive metric through \(S\) to
|
| 864 |
+
the cap side, continuously with respect to its uniform
|
| 865 |
+
field values. For example reflect in a fixed base collar
|
| 866 |
+
and interpolate to a fixed cap metric. The mixed metric
|
| 867 |
+
entries vanish at \(S\), because \(f\) has constant trace.
|
| 868 |
+
Perimeters of sets containing \(O\) depend only on the
|
| 869 |
+
metric outside \(O\) and its boundary values.
|
| 870 |
+
|
| 871 |
+
For each of these metrics minimize perimeter among
|
| 872 |
+
finite-perimeter subsets of \(K_c\) containing \(O\)
|
| 873 |
+
up to null sets. Compactness and lower semicontinuity
|
| 874 |
+
give a minimizer. These facts hold for a continuous
|
| 875 |
+
positive metric by uniform smooth approximation of the
|
| 876 |
+
area integrands. The sphere at \(r_1\) is an admissible
|
| 877 |
+
comparison, so every minimizer has perimeter at most
|
| 878 |
+
\(CR_s^2\).
|
| 879 |
+
|
| 880 |
+
Define contact points on \(S\) as points in the support
|
| 881 |
+
of a minimizer's perimeter measure. The union of all
|
| 882 |
+
such contacts equals the contact set of one minimizer.
|
| 883 |
+
To prove this, minimize volume in an auxiliary fixed
|
| 884 |
+
smooth metric among the perimeter minimizers. Perimeter
|
| 885 |
+
submodularity shows that the intersection and union of
|
| 886 |
+
any two minimizers are still minimizers. The
|
| 887 |
+
volume-minimizing one, denoted \(E_-\), is therefore
|
| 888 |
+
contained almost everywhere in every other minimizer.
|
| 889 |
+
If a contact of a second minimizer were absent from the
|
| 890 |
+
perimeter support of \(E_-\), a small ball there would
|
| 891 |
+
have zero \(E_-\)-perimeter. Since \(O\) occupies a
|
| 892 |
+
positive part of that ball, the ball would be filled
|
| 893 |
+
by \(E_-\), and hence by the second minimizer, a
|
| 894 |
+
contradiction. The contact union is consequently the
|
| 895 |
+
closed contact set of \(E_-\).
|
| 896 |
+
|
| 897 |
+
These contact unions are upper semicontinuous in the
|
| 898 |
+
uniform field topology. Indeed, along uniformly
|
| 899 |
+
convergent metrics, any sequence of minimizers has an
|
| 900 |
+
\(L^1\) subsequence converging to a minimizer for the
|
| 901 |
+
limit metric. At a contact point, the complement has
|
| 902 |
+
uniform positive volume density: filling a chart ball
|
| 903 |
+
is an allowed competitor, so its perimeter in the ball
|
| 904 |
+
is bounded by a constant times its trace area on the
|
| 905 |
+
sphere. Isoperimetry, applied to the complement inside
|
| 906 |
+
the ball, gives \(V^{2/3}\le CV'\), and thus
|
| 907 |
+
\(V(r)\ge cr^3\). Constants are uniform on the compact
|
| 908 |
+
family of positive continuous metrics. The cap supplies
|
| 909 |
+
positive density for the set on the other side.
|
| 910 |
+
These two density bounds persist when both the metric
|
| 911 |
+
and the contact point converge, so the limit point is
|
| 912 |
+
in the perimeter support of a limit minimizer.
|
| 913 |
+
|
| 914 |
+
The same density bounds place all contacts in the
|
| 915 |
+
measure-theoretic boundary. Up to a set of
|
| 916 |
+
two-dimensional Hausdorff measure zero they therefore
|
| 917 |
+
belong to the reduced boundary, by the finite-perimeter
|
| 918 |
+
structure theorem. At almost every point of their
|
| 919 |
+
intersection with the smooth surface \(S\), the tangents
|
| 920 |
+
are those of \(S\). Since \(df\) is tangentially zero,
|
| 921 |
+
the area density there is \(x\,\dd A_g\).
|
| 922 |
+
Writing \(C_h\) for the contact union, we obtain
|
| 923 |
+
\begin{equation}\label{eq:ah-contact-area}
|
| 924 |
+
\int_{C_h}x\,\dd A_g\le CR_s^2.
|
| 925 |
+
\end{equation}
|
| 926 |
+
|
| 927 |
+
Set \(\Theta=[N(H_g-zk)]_+\) on \(S\).
|
| 928 |
+
Since \(H_g\le k\), its positive part is bounded by \(Cs\).
|
| 929 |
+
For example, when \(k\ge0\),
|
| 930 |
+
\(N(H_g-zk)\le Nk(1-z)\le ks\); when \(k<0\)
|
| 931 |
+
the left side is nonpositive. The upper lapse bound
|
| 932 |
+
also gives \(\Theta\le C\), with \(C\) independent of
|
| 933 |
+
the pointwise cap \(B_*\). Fix \(B_*\) strictly above
|
| 934 |
+
this latter bound. By \eqref{eq:ah-penalty-targets},
|
| 935 |
+
\(s\le x/T\) at \(S\), and hence
|
| 936 |
+
\begin{equation}\label{eq:ah-contact-flux-cost}
|
| 937 |
+
\int_{C_h}\Theta^{p_1}\,\dd A_g
|
| 938 |
+
\le C\int_{C_h}s\,\dd A_g
|
| 939 |
+
\le C R_s^2/T=CM^{-1/5}.
|
| 940 |
+
\end{equation}
|
| 941 |
+
The admissible \(p_1\)-power budget in
|
| 942 |
+
\eqref{eq:ah-flux-class} is \(M^{-1/10}\).
|
| 943 |
+
Thus for sufficiently large \(M\) there is strict slack.
|
| 944 |
+
For each field in the compact family, approximate its
|
| 945 |
+
continuous nonnegative threshold on the closed set \(C_h\)
|
| 946 |
+
from above by a smooth function, with a small positive
|
| 947 |
+
margin, and taper it to zero in a sufficiently small
|
| 948 |
+
neighborhood of that set. Regularity of surface measure
|
| 949 |
+
and \eqref{eq:ah-contact-flux-cost} keep its \(L^{p_1}\)
|
| 950 |
+
norm within the budget; the fixed gap below \(B_*\)
|
| 951 |
+
keeps its pointwise values admissible. This constructs
|
| 952 |
+
a datum strictly majorizing the threshold on \(C_h\).
|
| 953 |
+
When \(C_h\) is empty the condition is vacuous.
|
| 954 |
+
|
| 955 |
+
Upper semicontinuity of contacts and continuity of the
|
| 956 |
+
threshold show that the same datum works in an open
|
| 957 |
+
neighborhood of the given field in the compact limit
|
| 958 |
+
family. Take a finite such cover, with associated
|
| 959 |
+
smooth data \(b_1,\dots,b_m\), and enlarge the neighborhoods
|
| 960 |
+
to open subsets of the ambient uniform field space so
|
| 961 |
+
that their intersections with the limit family retain
|
| 962 |
+
this property. A continuous partition of unity,
|
| 963 |
+
supplemented by the complement of the compact limit
|
| 964 |
+
family carrying datum zero, yields \(\mathfrak b\).
|
| 965 |
+
Explicitly, distance to the complements of these finitely
|
| 966 |
+
many open neighborhoods, together with distance to the
|
| 967 |
+
compact limit family, gives nonnegative continuous weights
|
| 968 |
+
with nonzero sum after a harmless subordinate refinement.
|
| 969 |
+
Normalize and take the corresponding convex combination.
|
| 970 |
+
At a field in the limit family the zero datum has weight
|
| 971 |
+
zero, and every active \(b_i\) is a strict majorant
|
| 972 |
+
at all its contacts. Convexity preserves both constraints
|
| 973 |
+
in \eqref{eq:ah-flux-class}. If the family is empty, use
|
| 974 |
+
the constant zero rule. Only the original compact
|
| 975 |
+
subdomain's fields enter this rule; no trial fields on
|
| 976 |
+
the caps are required.
|
| 977 |
+
\end{proof}
|
| 978 |
+
|
| 979 |
+
\subsection{Existence at fixed finite parameters}
|
| 980 |
+
|
| 981 |
+
\begin{proposition}\label{prop:ah-finite-existence}
|
| 982 |
+
With the choices above, the system
|
| 983 |
+
\eqref{eq:ah-system}--\eqref{eq:ah-outer-data}, using
|
| 984 |
+
\(b_S=\mathfrak b(N,f,df,w)\), has a smooth positive
|
| 985 |
+
solution at \(t=1\) on every sufficiently large fixed
|
| 986 |
+
truncation. Expanding truncations have a subsequence
|
| 987 |
+
converging to a solution smooth up to \(S\) on the
|
| 988 |
+
whole exterior. It satisfies all the preceding estimates
|
| 989 |
+
and realizes the rule \(\mathfrak b\).
|
| 990 |
+
\end{proposition}
|
| 991 |
+
|
| 992 |
+
\begin{proof}
|
| 993 |
+
We describe the compact map precisely, because a frozen
|
| 994 |
+
source need not preserve positivity of a lapse output
|
| 995 |
+
away from fixed points. Fix a small Hölder exponent
|
| 996 |
+
\(\gamma>0\), to be decreased below the exponents in
|
| 997 |
+
the a priori estimates, and use triples of
|
| 998 |
+
\(C^{1,\gamma}\) functions on the fixed truncation.
|
| 999 |
+
Choose \(a>0\) so that \(2a\) is below the fixed-point
|
| 1000 |
+
floor in Lemma~\ref{lem:ah-lapse}, and a smooth function
|
| 1001 |
+
\(\mathcal E:\R\to[a,\infty)\) equal to the identity
|
| 1002 |
+
on \([2a,\infty)\).
|
| 1003 |
+
|
| 1004 |
+
Given trial fields and \(t\), first solve the linear
|
| 1005 |
+
nondivergence height equation, freezing
|
| 1006 |
+
\(\mathcal P,\beta,d\log\mathcal E(N)\) from the
|
| 1007 |
+
trial arguments, with Dirichlet values \(tM\) and zero.
|
| 1008 |
+
At zero trial gradient the smooth continuations are
|
| 1009 |
+
\(\mathcal P=g^{-1}\) and \(\beta=2\).
|
| 1010 |
+
The first-order coefficient acts on the new height.
|
| 1011 |
+
Next compute \(v\) from this new height and the
|
| 1012 |
+
extended trial lapse, and set \(Z=K(v)\).
|
| 1013 |
+
Solve the linear density equation for the raw new lapse:
|
| 1014 |
+
\[
|
| 1015 |
+
\divg_g(\nabla N_{\mathrm{new}}-ZN_{\mathrm{new}})
|
| 1016 |
+
=3N_{\mathrm{new}}+\Sigma_{\mathrm{trial}} .
|
| 1017 |
+
\]
|
| 1018 |
+
Use the prescribed outer current flux and inner current
|
| 1019 |
+
flux \(-t\mathfrak b\) evaluated on the trial fields.
|
| 1020 |
+
The source here is frozen from the trial fields,
|
| 1021 |
+
including the raw trial lapse in its cutoff at
|
| 1022 |
+
\(N\le\epsilon\). The scalar multiplying the drift
|
| 1023 |
+
and the zeroth term is the raw output lapse, not
|
| 1024 |
+
\(\mathcal E(N_{\mathrm{new}})\).
|
| 1025 |
+
The adjoint argument in Lemma~\ref{lem:ah-lapse}
|
| 1026 |
+
proves unique linear solvability.
|
| 1027 |
+
|
| 1028 |
+
Finally solve a linear \(w\)-equation whose coefficient
|
| 1029 |
+
\(A\) is formed from the new height and
|
| 1030 |
+
\(\mathcal E(N_{\mathrm{new}})\). Its right side is
|
| 1031 |
+
\[
|
| 1032 |
+
3\mathcal E(N_{\mathrm{new}})
|
| 1033 |
+
+\Sigma_{\mathrm{trial}}x_{\mathrm{trial}}^+
|
| 1034 |
+
+P_{\mathrm{trial}},
|
| 1035 |
+
\qquad
|
| 1036 |
+
x_{\mathrm{trial}}^+
|
| 1037 |
+
=s(\mathcal E(N_{\mathrm{trial}}),df_{\mathrm{trial}})
|
| 1038 |
+
(w_{\mathrm{trial}})^+ .
|
| 1039 |
+
\]
|
| 1040 |
+
It has the zero inner natural flux and the prescribed
|
| 1041 |
+
positive outer Dirichlet datum. The three solves are
|
| 1042 |
+
sequential, and define a continuous compact map
|
| 1043 |
+
\(\mathcal T_t\).
|
| 1044 |
+
Both frozen sources include their prescribed factor \(t\).
|
| 1045 |
+
Indeed bounded sets of input fields give uniform
|
| 1046 |
+
ellipticity and Hölder coefficients. The height output
|
| 1047 |
+
is bounded in \(C^{2,\gamma}\), so the drift in the
|
| 1048 |
+
lapse step is \(C^{1,\gamma}\); its inverse estimates
|
| 1049 |
+
are uniform on bounded input sequences by Schauder
|
| 1050 |
+
theory, coefficient compactness in a lower exponent,
|
| 1051 |
+
and the zero-kernel adjoint argument. The lapse output
|
| 1052 |
+
and then the \(w\) output have second-order Hölder
|
| 1053 |
+
bounds. The rule \(\mathfrak b\) has values in a
|
| 1054 |
+
fixed finite convex hull of smooth functions, hence
|
| 1055 |
+
uniform bounds of every spatial derivative. The
|
| 1056 |
+
compact embedding of these \(C^{2,\gamma}\) bounds
|
| 1057 |
+
into \(C^{1,\gamma}\) proves compactness. The same estimates and
|
| 1058 |
+
uniqueness prove continuity without differentiating
|
| 1059 |
+
the selection rule.
|
| 1060 |
+
|
| 1061 |
+
At a fixed point, the cutoff in the actual lapse
|
| 1062 |
+
variable and the bounded drift give the positive floor
|
| 1063 |
+
in Lemma~\ref{lem:ah-lapse}. Thus every extension
|
| 1064 |
+
\(\mathcal E\) becomes the identity. The last equation
|
| 1065 |
+
and positive outer datum give \(w>0\), so the positive
|
| 1066 |
+
part also disappears. Every fixed point therefore
|
| 1067 |
+
satisfies the original equations and boundary data.
|
| 1068 |
+
|
| 1069 |
+
All such fixed points for \(0\le t\le1\) have bounded
|
| 1070 |
+
\(C^{1,\gamma}\) norms for the fixed truncation and
|
| 1071 |
+
fixed parameters. Here is the regularity chain
|
| 1072 |
+
underlying this assertion. The lapse bound, height
|
| 1073 |
+
gradient bound, and bounded sources give lapse
|
| 1074 |
+
\(W^{1,q}\) estimates, \(q>3\), and Hölder estimates
|
| 1075 |
+
for the height gradient, as in
|
| 1076 |
+
Lemma~\ref{lem:ah-graph-estimates}. The lapse divergence
|
| 1077 |
+
equation then gives \(C^{1,\gamma'}\) estimates for
|
| 1078 |
+
some \(\gamma'>0\); its scalar-forcing portion can
|
| 1079 |
+
equivalently be estimated by the Laplace \(W^{2,q}\)
|
| 1080 |
+
theorem. The selected boundary data have bounded
|
| 1081 |
+
smooth norms. The nondivergence height equation
|
| 1082 |
+
gives \(C^{2,\gamma'}\) estimates, after decreasing
|
| 1083 |
+
\(\gamma'\) if necessary. The \(w\)-equation has
|
| 1084 |
+
bounded forcing, since \(\Sigma x\le L\) and \(P\)
|
| 1085 |
+
has finite strength. Mixed-boundary coercivity first
|
| 1086 |
+
gives an \(H^1\) bound, then scalar local boundedness
|
| 1087 |
+
and Hölder estimates give a uniform bound and
|
| 1088 |
+
continuity. Successive Schauder estimates now give
|
| 1089 |
+
second-order Hölder bounds for all fields. Take
|
| 1090 |
+
the Banach exponent \(\gamma<\gamma'\).
|
| 1091 |
+
The same bootstrap makes every fixed point smooth.
|
| 1092 |
+
|
| 1093 |
+
At \(t=0\), the map is constant. The first output
|
| 1094 |
+
is \(f_0=0\), so the drift in the second step is
|
| 1095 |
+
zero independently of the input. Its output is
|
| 1096 |
+
the unique positive solution \(N_0\) of
|
| 1097 |
+
\(\Delta_gN_0=3N_0\), with zero inner flux and the
|
| 1098 |
+
prescribed outer flux. The third output \(w_0\)
|
| 1099 |
+
uses \(\mathcal E(N_0)=N_0\), by the homogeneous lapse
|
| 1100 |
+
floor, and is the unique solution of
|
| 1101 |
+
\[
|
| 1102 |
+
-\divg_g(N_0^2\nabla w_0)=3N_0,\qquad
|
| 1103 |
+
\partial_\nu w_0|_S=0,\qquad w_0|_{S_R}=1/V_0 .
|
| 1104 |
+
\]
|
| 1105 |
+
In general \(w_0\ne1/N_0\), because the outer lapse
|
| 1106 |
+
condition is Neumann. Choose a ball in the Banach
|
| 1107 |
+
space containing this constant output and all
|
| 1108 |
+
homotopy fixed points. On its boundary
|
| 1109 |
+
\(\Id-\mathcal T_t\) never vanishes, and its
|
| 1110 |
+
Leray--Schauder degree is \(+1\) at \(t=0\).
|
| 1111 |
+
Homotopy invariance gives a fixed point at \(t=1\).
|
| 1112 |
+
|
| 1113 |
+
Now let \(R\to\infty\). The fixed-parameter compact
|
| 1114 |
+
estimates give a subsequential limit on every compact
|
| 1115 |
+
set, and a diagonal subsequence gives a global limit.
|
| 1116 |
+
It belongs to the family used to define \(\mathfrak b\).
|
| 1117 |
+
Uniform convergence of \((N,f,df,w)\) on its defining
|
| 1118 |
+
compact domain implies convergence of the selected
|
| 1119 |
+
datum, in every spatial norm because its range is
|
| 1120 |
+
a finite smooth convex hull. Thus the limit realizes
|
| 1121 |
+
the rule, and the elliptic bootstrap is valid up to
|
| 1122 |
+
\(S\) as well as in the interior.
|
| 1123 |
+
\end{proof}
|
| 1124 |
+
|
| 1125 |
+
\subsection{A free minimal boundary}
|
| 1126 |
+
|
| 1127 |
+
Apply Proposition~\ref{prop:ah-finite-existence} at \(t=1\).
|
| 1128 |
+
For this smooth metric, extend through the cap side
|
| 1129 |
+
smoothly, and consider the perimeter minimization in
|
| 1130 |
+
Lemma~\ref{lem:ah-contact-selector}. Equation
|
| 1131 |
+
\eqref{eq:ah-boundary-curvature} and the strict majorant
|
| 1132 |
+
give \(H_h(S)<0\) at every possible contact.
|
| 1133 |
+
This excludes contact without any assumed regularity
|
| 1134 |
+
of the minimizing surface at the obstacle.
|
| 1135 |
+
|
| 1136 |
+
Here is the finite-perimeter argument. Near the closed
|
| 1137 |
+
contact set, the unit normals to sufficiently small
|
| 1138 |
+
parallel outward collars of \(O\) have negative
|
| 1139 |
+
divergence. Off a neighborhood of that set, a thin
|
| 1140 |
+
collar is already filled up to null sets: there is no
|
| 1141 |
+
perimeter support on \(S\), and the cap side is filled.
|
| 1142 |
+
Adjoin the entire collar of width \(a\) to a minimizer.
|
| 1143 |
+
For almost every sufficiently small \(a\), Gauss--Green
|
| 1144 |
+
and slicing bound the perimeter change above by the
|
| 1145 |
+
integral of that negative divergence on the added part.
|
| 1146 |
+
The comparison field has unit flux on the new outer
|
| 1147 |
+
leaf, and its flux across the removed old boundary is
|
| 1148 |
+
bounded by the area removed. If contact existed,
|
| 1149 |
+
the complement density proved above would give
|
| 1150 |
+
positive added volume, so the perimeter would strictly
|
| 1151 |
+
decrease. This is impossible.
|
| 1152 |
+
|
| 1153 |
+
There is likewise no contact with the outer constraint
|
| 1154 |
+
\(\partial K_c\). The outward normals to the far
|
| 1155 |
+
coordinate spheres have positive divergence, so
|
| 1156 |
+
cutting away the outside part of a competitor decreases
|
| 1157 |
+
perimeter whenever it removes positive volume.
|
| 1158 |
+
Gauss--Green and slicing make this statement valid
|
| 1159 |
+
for finite-perimeter competitors at almost every
|
| 1160 |
+
cutting radius. It also shows that no larger precompact
|
| 1161 |
+
competitor, unconstrained by \(K_c\), can have smaller
|
| 1162 |
+
perimeter: first trim it by such a sphere.
|
| 1163 |
+
|
| 1164 |
+
All minimizing boundaries are therefore free, locally
|
| 1165 |
+
perimeter minimizing in a smooth three-dimensional
|
| 1166 |
+
metric. Interior codimension-one minimizing-boundary
|
| 1167 |
+
regularity gives smooth compact embedded minimal
|
| 1168 |
+
boundaries. Choose a largest minimizer \(E\), by
|
| 1169 |
+
maximizing auxiliary volume among the minimizers in
|
| 1170 |
+
\(K_c\). Its open representative contains \(O\)
|
| 1171 |
+
compactly in its interior and is strictly outward
|
| 1172 |
+
minimizing: equality for an enclosure differing by
|
| 1173 |
+
positive volume would
|
| 1174 |
+
contradict volume maximality after trimming.
|
| 1175 |
+
Every component of \(E\) meets \(O\), since an
|
| 1176 |
+
unattached component could be removed with a strict
|
| 1177 |
+
perimeter saving. Its open exterior is connected,
|
| 1178 |
+
since filling any bounded exterior component would
|
| 1179 |
+
also save perimeter.
|
| 1180 |
+
|
| 1181 |
+
Write
|
| 1182 |
+
\begin{equation}\label{eq:ah-hull-area}
|
| 1183 |
+
A_h=\Area_h(\partial E)>0.
|
| 1184 |
+
\end{equation}
|
| 1185 |
+
The closed exterior \(X\setminus E\), with its boundary
|
| 1186 |
+
included, is smooth, connected, complete, orientable, and one-ended.
|
| 1187 |
+
Its orientation is the restriction of the orientation of \(X\);
|
| 1188 |
+
the graph and conformal changes alter the metric, not this orientation.
|
| 1189 |
+
Its compact truncations are compact, and its end is
|
| 1190 |
+
asymptotically hyperbolic. It satisfies
|
| 1191 |
+
\(\Scal_h\ge-6\) by \eqref{eq:ah-scalar}, and its
|
| 1192 |
+
weighted scalar integrability and finite mass fluxes
|
| 1193 |
+
were verified in Lemma~\ref{lem:ah-limit-mass}.
|
| 1194 |
+
Its minimum enclosing area is exactly \(A_h\).
|
| 1195 |
+
Indeed any admissible end-side domain in this closed
|
| 1196 |
+
exterior, on taking the complement of its interior
|
| 1197 |
+
in \(X\), supplies a precompact finite-perimeter
|
| 1198 |
+
enclosure of \(E\). Its perimeter is bounded by the
|
| 1199 |
+
entire intrinsic boundary area specified in the
|
| 1200 |
+
definition, including any part coinciding with
|
| 1201 |
+
\(\partial E\). Outward minimization gives the
|
| 1202 |
+
lower bound \(A_h\), and the original boundary
|
| 1203 |
+
itself gives equality.
|
| 1204 |
+
|
| 1205 |
+
The time-symmetric hypothesis of
|
| 1206 |
+
Theorem~\ref{thm:ah-reduction} is thus applicable to
|
| 1207 |
+
this fixed metric and gives
|
| 1208 |
+
\begin{equation}\label{eq:ah-ts-application}
|
| 1209 |
+
p_0(h)\ge F(A_h)\ge0.
|
| 1210 |
+
\end{equation}
|
| 1211 |
+
No causal property of the intermediate mass covector
|
| 1212 |
+
has been used.
|
| 1213 |
+
|
| 1214 |
+
\subsection{The weighted bad-volume estimate and conclusion}
|
| 1215 |
+
|
| 1216 |
+
Suppose first that \(A_*>0\), fix \(0<\varepsilon_*<1\),
|
| 1217 |
+
and choose the preceding \(\delta\) sufficiently small
|
| 1218 |
+
for Proposition~\ref{prop:area-transfer}.
|
| 1219 |
+
Fix a sufficiently large projection radius \(r_p\)
|
| 1220 |
+
and put
|
| 1221 |
+
\[
|
| 1222 |
+
\rho=\min(1,r_p^2/r^2),\qquad
|
| 1223 |
+
\mathcal D=\{x<1-\delta\}.
|
| 1224 |
+
\]
|
| 1225 |
+
By \eqref{eq:ah-mass-budget} and
|
| 1226 |
+
\eqref{eq:ah-ts-application},
|
| 1227 |
+
\[
|
| 1228 |
+
\int_\Omega(1-x)\Sigma
|
| 1229 |
+
=\int_S b_S+\int_\Omega P
|
| 1230 |
+
-8\pi\{p_0(h)-p_0(g)\}\le C.
|
| 1231 |
+
\]
|
| 1232 |
+
The constant is independent of \(M\).
|
| 1233 |
+
Lemma~\ref{lem:ah-penalties} makes
|
| 1234 |
+
\(\Sigma=L\) on \(\mathcal D\cap\{r\le R_s\}\),
|
| 1235 |
+
and \(1-x\ge\delta\) there. Consequently
|
| 1236 |
+
\[
|
| 1237 |
+
\Vol_g(\mathcal D\cap\{r\le R_s\})\le C/L.
|
| 1238 |
+
\]
|
| 1239 |
+
Since \(W\le1+\sqrt{W^2-1}\), Cauchy--Schwarz and
|
| 1240 |
+
\eqref{eq:ah-height-energy} give an inner weighted
|
| 1241 |
+
volume bound \(C(L^{-1}+\sqrt{M/L})\).
|
| 1242 |
+
For large \(M\), \(R_s>r_p\). The asymptotically
|
| 1243 |
+
hyperbolic volume element gives
|
| 1244 |
+
\[
|
| 1245 |
+
\int_{\{r>R_s\}}\rho^{3/2}\,\dd V_g\le C/R_s,\qquad
|
| 1246 |
+
\int_{\{r>R_s\}}\rho^3\,\dd V_g\le C/R_s^4 ,
|
| 1247 |
+
\]
|
| 1248 |
+
where \(r_p\) is fixed and absorbed into \(C\).
|
| 1249 |
+
A second application of Cauchy--Schwarz yields
|
| 1250 |
+
\begin{equation}\label{eq:ah-bad-volume}
|
| 1251 |
+
\int_{\mathcal D}\rho^{3/2}W\,\dd V_g
|
| 1252 |
+
\le C\left(L^{-1}+\sqrt{M/L}
|
| 1253 |
+
+R_s^{-1}+\frac{\sqrt M}{R_s^2}\right)
|
| 1254 |
+
\longrightarrow0 .
|
| 1255 |
+
\end{equation}
|
| 1256 |
+
For the choices \eqref{eq:ah-parameter-scales},
|
| 1257 |
+
all four powers tend to zero.
|
| 1258 |
+
|
| 1259 |
+
We check the hypotheses of the area-transfer proposition
|
| 1260 |
+
explicitly. The capped smooth manifold \(X\) and cap
|
| 1261 |
+
set \(O\) are fixed, so the relevant second Betti number
|
| 1262 |
+
of \(X\setminus\operatorname{int}O\) is finite and fixed.
|
| 1263 |
+
The chosen \(E\) is a cap-only largest minimizing
|
| 1264 |
+
enclosure, has a free smooth compact minimal boundary,
|
| 1265 |
+
contains \(O\) compactly, is strictly outward minimizing,
|
| 1266 |
+
and each component meets \(O\). The comparison metric
|
| 1267 |
+
is the smooth \(h=x\bar g\); here there is no seam or
|
| 1268 |
+
smoothing error. It obeys
|
| 1269 |
+
\(\bar g\ge g\), \(\dd V_{\bar g}=W\,\dd V_g\), and
|
| 1270 |
+
\(\Scal_h\ge-6\) outside \(E\).
|
| 1271 |
+
Its asymptotically hyperbolic end supplies the proper
|
| 1272 |
+
subsolution required in Proposition~\ref{prop:area-transfer}.
|
| 1273 |
+
Lemma~\ref{lem:area-projection} gives, on every relevant
|
| 1274 |
+
enclosing level with connected exterior,
|
| 1275 |
+
\[
|
| 1276 |
+
\int\rho\,\dd A_g\ge(1-o_{r_p}(1))A_*.
|
| 1277 |
+
\]
|
| 1278 |
+
Choose \(r_p\) first to make this error sufficiently
|
| 1279 |
+
small for the fixed \(\varepsilon_*\), then choose
|
| 1280 |
+
\(\delta\), and finally take \(M\) large.
|
| 1281 |
+
The proposition's temporary conformal modification
|
| 1282 |
+
for starting the flow may be arbitrarily small at
|
| 1283 |
+
each fixed metric and leaves the initial area
|
| 1284 |
+
unchanged. Its uniform scalar lower bound therefore
|
| 1285 |
+
has the required fixed constant, for example \(7\).
|
| 1286 |
+
Equation~\eqref{eq:ah-bad-volume} meets the remaining
|
| 1287 |
+
smallness hypothesis. Proposition~\ref{prop:area-transfer}
|
| 1288 |
+
gives
|
| 1289 |
+
\begin{equation}\label{eq:ah-area-conclusion}
|
| 1290 |
+
A_h\ge(1-\varepsilon_*)A_* .
|
| 1291 |
+
\end{equation}
|
| 1292 |
+
|
| 1293 |
+
Combine \eqref{eq:ah-mass-budget},
|
| 1294 |
+
\eqref{eq:ah-ts-application}, and
|
| 1295 |
+
\eqref{eq:ah-area-conclusion}. For every fixed
|
| 1296 |
+
\(\varepsilon_*>0\) and arbitrarily large \(M\),
|
| 1297 |
+
\[
|
| 1298 |
+
p_0(g)+o(1)\ge F\bigl((1-\varepsilon_*)A_*\bigr).
|
| 1299 |
+
\]
|
| 1300 |
+
First let \(M\to\infty\), then
|
| 1301 |
+
\(\varepsilon_*\downarrow0\), using continuity of \(F\).
|
| 1302 |
+
If \(A_*=0\), no area transfer is needed:
|
| 1303 |
+
\(F(A_h)\ge F(0)\) and the mass budget give the
|
| 1304 |
+
same conclusion directly. This proves
|
| 1305 |
+
Theorem~\ref{thm:ah-reduction}.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/06-stress-extension.tex
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|
| 1 |
+
\section{Electrostatic stress and the asymptotically flat attachment}
|
| 2 |
+
\label{sec:stress-extension}
|
| 3 |
+
|
| 4 |
+
Throughout this section, $(\Omega,g)$ is a smooth connected exterior with
|
| 5 |
+
the topology, completeness, spherical end, tensor decay, and weighted
|
| 6 |
+
scalar integrability specified in Section~\ref{sec:hypotheses}. We assume
|
| 7 |
+
\begin{equation}
|
| 8 |
+
R_g\ge-6,\qquad H_g(S)\le0,
|
| 9 |
+
\label{eq:stress-base-assumptions}
|
| 10 |
+
\end{equation}
|
| 11 |
+
and make no causal assumption on its mass covector. The normal on $S$
|
| 12 |
+
points into $\Omega$. Fix the end chart, and put
|
| 13 |
+
\begin{equation}
|
| 14 |
+
A_* = A_{\min}(S;g),\qquad a=\sqrt{A_*/(4\pi)}.
|
| 15 |
+
\label{eq:stress-area-radius}
|
| 16 |
+
\end{equation}
|
| 17 |
+
The objective is to construct a compact inner region and a scalar-flat
|
| 18 |
+
\AF\ exterior whose mass is at most $p_0(g)-a^3/2$, up to an arbitrarily
|
| 19 |
+
small error. The tensor introduced for this purpose is synthetic: it is
|
| 20 |
+
not the second fundamental form of the original data. We denote the
|
| 21 |
+
electrostatic stress by $\Pi$, reserving $\pi$ for the graph second form in
|
| 22 |
+
the subsequent construction.
|
| 23 |
+
|
| 24 |
+
\subsection{A conformal approximation of the end}
|
| 25 |
+
|
| 26 |
+
\begin{proposition}[End approximation]
|
| 27 |
+
\label{prop:conformal-approximation}
|
| 28 |
+
Under \eqref{eq:stress-base-assumptions}, there are smooth metrics $g_j$
|
| 29 |
+
on the same exterior such that $R_{g_j}>-6$, $H_{g_j}(S)\le0$,
|
| 30 |
+
$g_j\to g$ locally in $C^2$, and
|
| 31 |
+
\begin{equation}
|
| 32 |
+
(1-\epsilon_j)g\le g_j\le(1+\epsilon_j)g,
|
| 33 |
+
\quad \epsilon_j\downarrow0,
|
| 34 |
+
\qquad p_0(g_j)\longrightarrow p_0(g).
|
| 35 |
+
\label{eq:stress-density-convergence}
|
| 36 |
+
\end{equation}
|
| 37 |
+
Each $g_j$ has the required weighted scalar integrability and finite mass
|
| 38 |
+
fluxes. Outside a compact set, depending on $j$, it is of the form
|
| 39 |
+
\begin{equation}
|
| 40 |
+
g_j=\phi_j^4 b,\qquad
|
| 41 |
+
\phi_j=1+\alpha_j(\omega)r^{-3}+O(r^{-3-\xi}),
|
| 42 |
+
\label{eq:stress-conformal-end}
|
| 43 |
+
\end{equation}
|
| 44 |
+
where $\xi>0$ can be fixed and the remainder has the same decay after
|
| 45 |
+
any fixed finite number of angular and radial-logarithmic derivatives.
|
| 46 |
+
In particular $A_{\min}(S;g_j)\to A_{\min}(S;g)$.
|
| 47 |
+
\end{proposition}
|
| 48 |
+
|
| 49 |
+
\begin{proof}
|
| 50 |
+
Choose $j_0$ with $3/2<j_0<\tau$, where $\tau$ is the original end
|
| 51 |
+
decay exponent. Extend $r$ to a smooth positive function on the compact
|
| 52 |
+
part. For large $B$, let $\chi_B$ be a smooth radial cutoff equal to one
|
| 53 |
+
for $r\le B$ and zero for $r\ge2B$, with a fixed profile in $r/B$.
|
| 54 |
+
Set
|
| 55 |
+
\[
|
| 56 |
+
g_B=b+\chi_B(g-b)
|
| 57 |
+
\]
|
| 58 |
+
on the end and $g_B=g$ on the compact part. For sufficiently large $B$
|
| 59 |
+
this is positive definite, and its uniform metric charts and
|
| 60 |
+
$C^{2,\alpha}$ bounds can be chosen independently of $B$. Fix a smooth
|
| 61 |
+
$k>0$ equal to $r^{-4}$ far out. We seek a small $u$ with
|
| 62 |
+
$\partial_\nu u=0$ on $S$ satisfying
|
| 63 |
+
\begin{equation}
|
| 64 |
+
-8\Delta_{g_B}u+(R_{g_B}+6)(1+u)
|
| 65 |
+
+6\big((1+u)^5-(1+u)\big)
|
| 66 |
+
=\chi_B(R_g+6)+\delta k.
|
| 67 |
+
\label{eq:stress-density-equation}
|
| 68 |
+
\end{equation}
|
| 69 |
+
The constant-term discrepancy, excluding $\delta k$, is supported in
|
| 70 |
+
$B<r<2B$ and is $O(r^{-\tau})$ in local $C^{0,\alpha}$ norms.
|
| 71 |
+
Consequently it tends to zero in the scalar weighted norm of weight
|
| 72 |
+
$r^{-j_0}$. Also $R_{g_B}+6\ge-o(1)$ uniformly, because it equals the
|
| 73 |
+
nonnegative $R_g+6$ on the inner part, vanishes beyond $2B$, and is
|
| 74 |
+
$O(B^{-\tau})$ on the intervening annulus.
|
| 75 |
+
|
| 76 |
+
For completeness, the linearized operator divided by eight is
|
| 77 |
+
\[
|
| 78 |
+
\mathscr L_B=-\Delta_{g_B}+3+(R_{g_B}+6)/8.
|
| 79 |
+
\]
|
| 80 |
+
It has an inverse, with homogeneous Neumann condition, bounded uniformly
|
| 81 |
+
from weighted $C^{0,\alpha}$ to weighted $C^{2,\alpha}$ at weight
|
| 82 |
+
$j_0$ (a smaller H\"older exponent may be used). To prove the required
|
| 83 |
+
supremum bound, take a positive function $\beta$ constant on a large
|
| 84 |
+
compact set, comparable to $r^{-j_0}$ at infinity, and let its logarithmic
|
| 85 |
+
slope decrease slowly from zero to $-j_0$ as a function of $\log r$.
|
| 86 |
+
For the limiting radial operator,
|
| 87 |
+
\[
|
| 88 |
+
(-\partial_\eta^2-2\partial_\eta+3)e^{-j_0\eta}
|
| 89 |
+
=(3+2j_0-j_0^2)e^{-j_0\eta}>0.
|
| 90 |
+
\]
|
| 91 |
+
Every intermediate slope has the same strict sign. Slow variation of
|
| 92 |
+
the slope, placement of the transition sufficiently far out, and the
|
| 93 |
+
uniformly small negative part of $(R_{g_B}+6)/8$ therefore give
|
| 94 |
+
$\mathscr L_B\beta\ge c\beta$ with $c>0$ independent of large $B$.
|
| 95 |
+
Here $\partial_\nu\beta=0$ on $S$. Solve on compact truncations with
|
| 96 |
+
zero outer Dirichlet data. The maximum principle, applied to positive
|
| 97 |
+
and negative multiples of $\beta$, bounds the solution by the weighted
|
| 98 |
+
norm of its forcing. Uniform local interior and Neumann Schauder
|
| 99 |
+
estimates give the stated second-order bound. Compactness gives a
|
| 100 |
+
solution on $\Omega$, and the maximum principle gives uniqueness.
|
| 101 |
+
This proves the inverse assertion without an assumption about solvability
|
| 102 |
+
on the noncompact manifold.
|
| 103 |
+
|
| 104 |
+
The nonlinear remainder in \eqref{eq:stress-density-equation} is
|
| 105 |
+
$O(u^2)$ and is locally Lipschitz with Lipschitz constant tending to zero
|
| 106 |
+
on small weighted balls. The uniform inverse and contraction mapping
|
| 107 |
+
therefore give $u=u_{B,\delta}$ tending to zero in weighted
|
| 108 |
+
$C^{2,\alpha}_{j_0}$ as $B\to\infty$ and $\delta\downarrow0$.
|
| 109 |
+
Local elliptic bootstrapping makes $u$ smooth. For small parameters
|
| 110 |
+
$1+u>0$, and the conformal scalar-curvature formula gives, for
|
| 111 |
+
$\widetilde g=(1+u)^4g_B$,
|
| 112 |
+
\begin{equation}
|
| 113 |
+
R_{\widetilde g}+6
|
| 114 |
+
=(1+u)^{-5}\big(\chi_B(R_g+6)+\delta k\big)>0.
|
| 115 |
+
\label{eq:stress-density-scalar}
|
| 116 |
+
\end{equation}
|
| 117 |
+
The boundary conformal formula and $\partial_\nu u=0$ give
|
| 118 |
+
$H_{\widetilde g}=(1+u)^{-2}H_g\le0$. The uniform metric convergence in
|
| 119 |
+
\eqref{eq:stress-density-convergence} follows from the weighted bound and
|
| 120 |
+
the cutoff construction.
|
| 121 |
+
|
| 122 |
+
We next justify the end expansion for each fixed $B,\delta$.
|
| 123 |
+
Beyond $2B$, $g_B=b$ and
|
| 124 |
+
\begin{equation}
|
| 125 |
+
(-\Delta_b+3)u=F(u)+\delta r^{-4}/8,
|
| 126 |
+
\qquad F(u)=O(u^2),\quad F'(u)=O(u).
|
| 127 |
+
\label{eq:stress-density-end-ode}
|
| 128 |
+
\end{equation}
|
| 129 |
+
All fixed orders of angular derivatives of $u$ are $O(r^{-j_0})$.
|
| 130 |
+
Indeed rotations commute with $\Delta_b$. Their difference quotients
|
| 131 |
+
solve a linear equation with small potential $O(u)$, with smooth data
|
| 132 |
+
on a fixed inner sphere and decaying data at infinity. The same
|
| 133 |
+
$r^{-j_0}$ barriers and local weighted estimates bound these quotients.
|
| 134 |
+
Induction, with the lower angular derivatives as forcing, proves the
|
| 135 |
+
claim at every fixed order. Radial derivatives at the initial weighted
|
| 136 |
+
order follow from local elliptic estimates. Since
|
| 137 |
+
\[
|
| 138 |
+
\Delta_b=\partial_\eta^2+2\coth\eta\,\partial_\eta
|
| 139 |
+
+r^{-2}\Delta_\sigma,
|
| 140 |
+
\]
|
| 141 |
+
Equation~\eqref{eq:stress-density-end-ode} reduces, with all these angular
|
| 142 |
+
derivatives, to
|
| 143 |
+
\[
|
| 144 |
+
-u_{\eta\eta}-2u_\eta+3u=O(e^{-(3+\xi)\eta})
|
| 145 |
+
\]
|
| 146 |
+
for any fixed sufficiently small
|
| 147 |
+
$0<\xi<\min\{2j_0-3,j_0-1,1\}$. Variation of constants for the two
|
| 148 |
+
solutions $e^\eta,e^{-3\eta}$ excludes the growing mode by the known
|
| 149 |
+
decay and gives $u=c(\omega)e^{-3\eta}+O(e^{-(3+\xi)\eta})$.
|
| 150 |
+
The same argument after angular differentiation makes $c$ smooth;
|
| 151 |
+
the equation gives all stated radial derivatives. Changing from
|
| 152 |
+
$\eta$ to $r$ gives \eqref{eq:stress-conformal-end}.
|
| 153 |
+
|
| 154 |
+
We finally check mass convergence, since convergence only in a weight
|
| 155 |
+
less than three would not suffice. Write $h=b+e$ for either the original
|
| 156 |
+
metric or one of the approximants, and let $\mathbb U_{V_0}(e)$ be the
|
| 157 |
+
one-form in the mass definition. The linearized scalar curvature is
|
| 158 |
+
\[
|
| 159 |
+
(DR)_b(e)=\divg_b\divg_b e-\Delta_b\tr_b e+2\tr_b e.
|
| 160 |
+
\]
|
| 161 |
+
Differentiation, using $\nabla_b^2V_0=V_0b$, yields the exact linear
|
| 162 |
+
identity $\divg_b\mathbb U_{V_0}(e)=V_0(DR)_b(e)$.
|
| 163 |
+
The difference between $R_h+6$ and $(DR)_b(e)$ is bounded by
|
| 164 |
+
$C(|e|\,|\nabla_b^2e|+|\nabla_be|^2+|e|^2)$. The uniform weighted
|
| 165 |
+
second-order bound and $dV_b\asymp r\,dr\,dA_\sigma$ thus give
|
| 166 |
+
\begin{equation}
|
| 167 |
+
16\pi p_0(h)-\int_{r=D}\mathbb U_{V_0}(h-b)(\nu_b)\,\dd A_b
|
| 168 |
+
=\int_{r>D}V_0(R_h+6)\,\dd V_b+O(D^{3-2j_0}),
|
| 169 |
+
\label{eq:stress-density-mass-tail}
|
| 170 |
+
\end{equation}
|
| 171 |
+
uniformly in the approximants. The scalar integrands in
|
| 172 |
+
\eqref{eq:stress-density-scalar} are dominated by a fixed multiple of
|
| 173 |
+
$V_0(R_g+6+k)$, which is integrable; they converge pointwise to
|
| 174 |
+
$V_0(R_g+6)$. The same divergence calculation with $V_i$, using
|
| 175 |
+
$|V_i|\le V_0$ and the corresponding derivative bounds, proves existence
|
| 176 |
+
of all fluxes for the approximants. At a fixed $D$ their surface fluxes
|
| 177 |
+
converge by local $C^2$ convergence. Dominated convergence in
|
| 178 |
+
\eqref{eq:stress-density-mass-tail}, followed by $D\to\infty$, proves
|
| 179 |
+
the asserted time-component convergence. This is also the scalar
|
| 180 |
+
linearization underlying the mass definition in \citet{CH2003}.
|
| 181 |
+
Finally, the two-sided metric comparison compares the areas of every
|
| 182 |
+
admissible intrinsic boundary with the same multiplicative factors;
|
| 183 |
+
taking infima proves convergence of the minimum enclosing areas.
|
| 184 |
+
\end{proof}
|
| 185 |
+
|
| 186 |
+
We henceforth fix one approximating metric, write it again as $g$, and
|
| 187 |
+
write $\alpha$ for its smooth coefficient in
|
| 188 |
+
\eqref{eq:stress-conformal-end}. Thus $R_g+6>0$ everywhere. All
|
| 189 |
+
subsequent constants may depend on this fixed metric; no uniformity
|
| 190 |
+
across the approximation is needed.
|
| 191 |
+
|
| 192 |
+
\subsection{The nonlinear electrostatic problem}
|
| 193 |
+
|
| 194 |
+
For $0\le e\le1$ define
|
| 195 |
+
\begin{equation}
|
| 196 |
+
t(e)=\sqrt{1-e^{3/2}},\qquad
|
| 197 |
+
L(w)=\max_{0\le e\le1}\{t(e)+we\},\qquad w\ge0.
|
| 198 |
+
\label{eq:stress-legendre-law}
|
| 199 |
+
\end{equation}
|
| 200 |
+
Strict concavity of $t$, together with $t'(0)=0$ and
|
| 201 |
+
$t'(e)\to-\infty$ as $e\uparrow1$, gives a unique maximizing $e=e(w)$,
|
| 202 |
+
with $e(0)=0$, $0<e(w)<1$ for $w>0$, and
|
| 203 |
+
\begin{equation}
|
| 204 |
+
w=-t'(e)=\frac{3\sqrt e}{4t(e)},\qquad
|
| 205 |
+
L'(w)=e(w),\qquad L=t+we.
|
| 206 |
+
\label{eq:stress-constitutive-law}
|
| 207 |
+
\end{equation}
|
| 208 |
+
In particular $L(|\xi|)$ is convex as a function of a covector $\xi$.
|
| 209 |
+
|
| 210 |
+
\begin{proposition}[Electrostatic potential, stress, and charge]
|
| 211 |
+
\label{prop:electrostatic-stress}
|
| 212 |
+
For every $M_e>0$ there is a weak solution $u$ of
|
| 213 |
+
\begin{equation}
|
| 214 |
+
\divg_g E=0,\qquad
|
| 215 |
+
E=e(w)\frac{\nabla u}{w},\quad w=|du|_g,
|
| 216 |
+
\qquad u|_S=-M_e,\quad u\longrightarrow0\text{ at infinity},
|
| 217 |
+
\label{eq:stress-electrostatics}
|
| 218 |
+
\end{equation}
|
| 219 |
+
where $E=0$ at $w=0$. It satisfies $-M_e\le u\le0$,
|
| 220 |
+
$|u|+|du|_g=O(r^{-1})$, and is $C^{1,\beta}$ locally up to $S$ and
|
| 221 |
+
in compactified coordinates $(\rho,\omega)$ up to $\rho=0$, for some
|
| 222 |
+
$\beta>0$, where $\rho=e^{-\eta}$.
|
| 223 |
+
The continuous symmetric tensor
|
| 224 |
+
\begin{equation}
|
| 225 |
+
\Pi=L(w)g-du\otimes E^\flat
|
| 226 |
+
\label{eq:stress-tensor}
|
| 227 |
+
\end{equation}
|
| 228 |
+
is distributionally divergence free, is positive definite, and obeys
|
| 229 |
+
\begin{equation}
|
| 230 |
+
(\tr_g\Pi)^2-2|\Pi|_g^2=3.
|
| 231 |
+
\label{eq:stress-algebraic-identity}
|
| 232 |
+
\end{equation}
|
| 233 |
+
There is a continuous nonnegative function $e_0$ on $\Sph^2$ such that,
|
| 234 |
+
uniformly in angle,
|
| 235 |
+
\begin{equation}
|
| 236 |
+
r^2|E|_g\longrightarrow e_0,\qquad
|
| 237 |
+
r^3\big(\Pi(\nu,\nu)-1\big)
|
| 238 |
+
\longrightarrow-\tfrac12 e_0^{3/2}.
|
| 239 |
+
\label{eq:stress-end-asymptotics}
|
| 240 |
+
\end{equation}
|
| 241 |
+
Here $\nu$ points toward increasing $r$. The charge
|
| 242 |
+
\begin{equation}
|
| 243 |
+
F_{M_e}=\int_{r=R}g(E,\nu)\,\dd A_g
|
| 244 |
+
\label{eq:stress-charge-definition}
|
| 245 |
+
\end{equation}
|
| 246 |
+
is independent of large $R$, satisfies
|
| 247 |
+
$F_{M_e}\le\int_{\Sph^2}e_0\,\dd A_\sigma$, and
|
| 248 |
+
\begin{equation}
|
| 249 |
+
\liminf_{M_e\to\infty}F_{M_e}\ge A_*.
|
| 250 |
+
\label{eq:stress-charge-saturation}
|
| 251 |
+
\end{equation}
|
| 252 |
+
\end{proposition}
|
| 253 |
+
|
| 254 |
+
\begin{proof}
|
| 255 |
+
We give the construction and its regularity before establishing the
|
| 256 |
+
stress and charge assertions.
|
| 257 |
+
|
| 258 |
+
\emph{Constitutive estimates and regularization.}
|
| 259 |
+
For $w>0$ put $Q(w)=we'(w)/e(w)$. Logarithmic differentiation of
|
| 260 |
+
\eqref{eq:stress-constitutive-law} gives
|
| 261 |
+
\begin{equation}
|
| 262 |
+
Q(w)^{-1}=\frac12+\frac{3e(w)^{3/2}}{4(1-e(w)^{3/2})}.
|
| 263 |
+
\label{eq:stress-Q-formula}
|
| 264 |
+
\end{equation}
|
| 265 |
+
Thus $0<Q\le2$. At zero, inversion in the variable $\sqrt e$ gives
|
| 266 |
+
\[
|
| 267 |
+
e(w)=\frac{16}{9}w^2+O(w^5);
|
| 268 |
+
\]
|
| 269 |
+
in particular $e(w)/w^2$ extends smoothly and positively to $w=0$.
|
| 270 |
+
At infinity, inversion in $w^{-2}$ gives
|
| 271 |
+
\begin{equation}
|
| 272 |
+
e(w)=1-\frac{3}{8w^2}+O(w^{-4}),\qquad
|
| 273 |
+
Q(w)=\frac{3}{4w^2}+O(w^{-4}),\qquad
|
| 274 |
+
wQ'(w)=-\frac{3}{2w^2}+O(w^{-4}).
|
| 275 |
+
\label{eq:stress-large-gradient-law}
|
| 276 |
+
\end{equation}
|
| 277 |
+
Regularize only at zero by
|
| 278 |
+
\begin{equation}
|
| 279 |
+
e_\varepsilon(w)=w\frac{e(z)}z,\quad
|
| 280 |
+
z=(w^2+\varepsilon^2)^{1/2},\quad
|
| 281 |
+
Q_\varepsilon(w)=1+\frac{w^2}{z^2}(Q(z)-1),\quad 0<\varepsilon<1.
|
| 282 |
+
\label{eq:stress-regularized-law}
|
| 283 |
+
\end{equation}
|
| 284 |
+
The flux $e_\varepsilon(|\xi|)\xi^\sharp/|\xi|$ is smooth and strictly
|
| 285 |
+
elliptic on every finite gradient range, including zero. Its radial
|
| 286 |
+
and transverse derivative eigenvalues are $e_\varepsilon'$ and
|
| 287 |
+
$e_\varepsilon/w$, respectively. We have $0<Q_\varepsilon\le2$;
|
| 288 |
+
uniformly for sufficiently large $w$,
|
| 289 |
+
\begin{equation}
|
| 290 |
+
c\le w^2Q_\varepsilon(w)\le C,\qquad
|
| 291 |
+
-w^2\big(wQ_\varepsilon'(w)+Q_\varepsilon(w)\big)\ge c.
|
| 292 |
+
\label{eq:stress-uniform-Q}
|
| 293 |
+
\end{equation}
|
| 294 |
+
These follow by substituting \eqref{eq:stress-large-gradient-law} in
|
| 295 |
+
\eqref{eq:stress-regularized-law}; the leading coefficient is
|
| 296 |
+
$3/4+\varepsilon^2$, bounded above and below independently of
|
| 297 |
+
$\varepsilon$.
|
| 298 |
+
|
| 299 |
+
\emph{Boundary and interior gradient bounds.}
|
| 300 |
+
On a connected smooth truncation $\Omega_R$ prescribe $u=-M_e$ on $S$
|
| 301 |
+
and $u=0$ on $r=R$. The maximum principle gives $-M_e\le u\le0$.
|
| 302 |
+
At points with nonzero gradient the regularized equation is
|
| 303 |
+
\begin{equation}
|
| 304 |
+
P:\nabla^2u=0,\qquad
|
| 305 |
+
P=g^{-1}+(Q_\varepsilon(w)-1)n\otimes n,
|
| 306 |
+
\quad n=\nabla u/w.
|
| 307 |
+
\label{eq:stress-regularized-nondivergence}
|
| 308 |
+
\end{equation}
|
| 309 |
+
Let $h$ be inward distance from $S$. Since $H(S)\le0$, smoothness
|
| 310 |
+
gives $\Delta h\le C h$ in a fixed collar. A supersolution above the
|
| 311 |
+
inner boundary datum is $-M_e+B(h)$, where
|
| 312 |
+
\[
|
| 313 |
+
B(h)=b_0^{-1}\log(1+Dh),\qquad B''=-b_0(B')^2.
|
| 314 |
+
\]
|
| 315 |
+
For $p=B'$ sufficiently large, \eqref{eq:stress-uniform-Q} gives
|
| 316 |
+
\[
|
| 317 |
+
P:\nabla^2B=Q_\varepsilon(p)B''+p\Delta h
|
| 318 |
+
\le-cb_0+C/b_0,
|
| 319 |
+
\]
|
| 320 |
+
because $hp\le1/b_0$. Choose $b_0$ first to make this negative,
|
| 321 |
+
then a collar width $h_0$ so small that
|
| 322 |
+
$(2b_0h_0)^{-1}$ is above the required gradient threshold, and finally
|
| 323 |
+
$D$ large so that $B(h_0)>M_e$ and $B'\ge(2b_0h_0)^{-1}$ there.
|
| 324 |
+
Comparison with the constant lower barrier bounds the inward derivative
|
| 325 |
+
on $S$, independently of $R$ and $\varepsilon$.
|
| 326 |
+
At the outer sphere, inward distance may be replaced by
|
| 327 |
+
$h=\eta_R-\eta$ in a uniform collar. For gradients parallel to
|
| 328 |
+
$d\eta$, asymptotic hyperbolicity and $Q_\varepsilon\le2$ give
|
| 329 |
+
$P:\nabla^2h\le-1$ for sufficiently large $R$. The linear lower
|
| 330 |
+
barrier $-C h$, together with $u\le0$, bounds the outer derivative
|
| 331 |
+
with $C$ depending on $M_e$ and the fixed collar width only.
|
| 332 |
+
|
| 333 |
+
For the interior estimate use an orthonormal frame with first vector
|
| 334 |
+
$n$, and write transverse indices as $a,b$. Differentiating
|
| 335 |
+
\eqref{eq:stress-regularized-nondivergence}, commuting one derivative,
|
| 336 |
+
and differentiating the norm of $du$ gives
|
| 337 |
+
\begin{align}
|
| 338 |
+
P:\nabla^2\log w
|
| 339 |
+
={}&\Ric(n,n)
|
| 340 |
+
+(1-Q_\varepsilon)\frac{|d_\perp w|^2}{w^2}
|
| 341 |
+
+\frac{\sum_{a,b}u_{ab}^2}{w^2} \notag\\
|
| 342 |
+
&-\big(wQ_\varepsilon'+Q_\varepsilon\big)\frac{w_1^2}{w^2}.
|
| 343 |
+
\label{eq:stress-gradient-identity}
|
| 344 |
+
\end{align}
|
| 345 |
+
To specify the cancellation, the differentiated coefficient term is
|
| 346 |
+
$Q_\varepsilon'w_1^2+2(Q_\varepsilon-1)|d_\perp w|^2/w$;
|
| 347 |
+
the differentiated norm contributes
|
| 348 |
+
$[Q_\varepsilon\sum_a u_{1a}^2+\sum_{a,b}u_{ab}^2]/w$ before
|
| 349 |
+
division by $w$. Subtracting $P(dw,dw)/w^2$ produces exactly
|
| 350 |
+
\eqref{eq:stress-gradient-identity}.
|
| 351 |
+
At a positive interior maximum of $w\exp(B_0u)$ we have
|
| 352 |
+
$d_\perp w=0$ and $w_1/w=-B_0w$. The left side of
|
| 353 |
+
\eqref{eq:stress-gradient-identity} is nonpositive, since
|
| 354 |
+
$P:\nabla^2u=0$. The global lower Ricci bound and
|
| 355 |
+
\eqref{eq:stress-uniform-Q} make the right side at least
|
| 356 |
+
$-C+cB_0^2$ when $w$ is large. A fixed sufficiently large $B_0$
|
| 357 |
+
excludes such a maximum. Combining the remaining interior maxima
|
| 358 |
+
with the boundary estimates and the height bound gives
|
| 359 |
+
\begin{equation}
|
| 360 |
+
\sup_{\Omega_R}|du|_g\le C(M_e),
|
| 361 |
+
\label{eq:stress-global-gradient-bound}
|
| 362 |
+
\end{equation}
|
| 363 |
+
uniformly in large $R$ and $0<\varepsilon<1$.
|
| 364 |
+
|
| 365 |
+
\emph{Existence on truncations and passage to the limit.}
|
| 366 |
+
For fixed $R,\varepsilon$, vary the inner Dirichlet value from zero
|
| 367 |
+
to $-M_e$. The derivative of the divergence equation is a strictly
|
| 368 |
+
elliptic divergence operator without zeroth-order term and is
|
| 369 |
+
invertible with zero Dirichlet data by the maximum principle and
|
| 370 |
+
linear elliptic theory. The bounds already proved hold on this
|
| 371 |
+
entire path. On its bounded gradient range, ordinary uniformly
|
| 372 |
+
elliptic quasilinear gradient H\"older estimates apply. For the
|
| 373 |
+
boundary estimate subtract its constant value and reflect oddly in
|
| 374 |
+
boundary normal coordinates, reflecting the metric as well. The
|
| 375 |
+
reflected metric is Lipschitz; its mixed normal--tangential entries
|
| 376 |
+
vanish on the face. The reflected equation is weakly valid by the
|
| 377 |
+
zero trace. Equivalently, difference quotients give uniformly
|
| 378 |
+
elliptic equations for the first derivatives with bounded divergence
|
| 379 |
+
forcing. Scalar H\"older estimates followed by Schauder estimates
|
| 380 |
+
on the original smooth side give closedness of the continuation.
|
| 381 |
+
Here constants may depend on the fixed $R,\varepsilon$;
|
| 382 |
+
\citet{GT2001} supplies the ordinary elliptic estimates being used.
|
| 383 |
+
Thus smooth regularized solutions exist.
|
| 384 |
+
|
| 385 |
+
A decay bound is uniform in both regularizations. On the end put
|
| 386 |
+
$v=C(e^{-\eta}-e^{-2\eta})$. It is positive for large $\eta$, and
|
| 387 |
+
\[
|
| 388 |
+
\frac{v''}{-v'}=\frac{1-4e^{-\eta}}{1-2e^{-\eta}}
|
| 389 |
+
\le1-e^{-\eta}.
|
| 390 |
+
\]
|
| 391 |
+
Also $|d\eta|_g^2=1+O(e^{-\tau\eta})$ and
|
| 392 |
+
$P:\nabla^2\eta=2+O(e^{-\min\{\tau,2\}\eta})$ for the
|
| 393 |
+
radial test direction, uniformly for $0<Q_\varepsilon\le2$.
|
| 394 |
+
Since $\tau>1$, these inequalities imply
|
| 395 |
+
$P:\nabla^2v\le0$ sufficiently far out, independently of $C$.
|
| 396 |
+
Comparison of the nonnegative solution $-u$ with $v$, choosing $C$
|
| 397 |
+
on a fixed inner sphere and using $u=0$ on the truncating edge,
|
| 398 |
+
gives $|u|\le Ce^{-\eta}$.
|
| 399 |
+
|
| 400 |
+
Take a subsequence with $R\to\infty$ and $\varepsilon\downarrow0$.
|
| 401 |
+
The uniform Lipschitz bound gives local uniform convergence and weak
|
| 402 |
+
gradient convergence to a locally Lipschitz function with the required
|
| 403 |
+
traces. To pass to the equation, let $\chi$ be a compactly supported
|
| 404 |
+
cutoff and test the regularized equation with $\chi(u_j-u)$.
|
| 405 |
+
The terms containing $d\chi$ tend to zero by uniform convergence.
|
| 406 |
+
Subtracting the limiting-law flux evaluated at $du$ gives
|
| 407 |
+
\[
|
| 408 |
+
\int\chi\,
|
| 409 |
+
\big(A(du_j)-A(du)\big)\cdot(du_j-du)\,\dd V_g\longrightarrow0,
|
| 410 |
+
\qquad A(\xi)=e(|\xi|)\xi^\sharp/|\xi|.
|
| 411 |
+
\]
|
| 412 |
+
Uniform convergence of the constitutive functions on bounded ranges
|
| 413 |
+
justifies replacing the regularized flux here. The law $A$ is
|
| 414 |
+
strictly monotone. On the fixed compact gradient range its
|
| 415 |
+
monotonicity pairing has a positive minimum whenever the two
|
| 416 |
+
arguments are separated by a prescribed positive distance.
|
| 417 |
+
Thus $du_j\to du$ in measure and strongly in every finite local
|
| 418 |
+
$L^p$. This proves the limiting weak equation.
|
| 419 |
+
|
| 420 |
+
\emph{Gradient regularity and compactification.}
|
| 421 |
+
We apply the scalar $p=3$ gradient theorem recorded in
|
| 422 |
+
Section~\ref{sec:preliminaries}, namely Theorem~1.1 and estimate~(1.8)
|
| 423 |
+
of \citet{AraujoZhang2020}. The coordinate flux must satisfy globally
|
| 424 |
+
\begin{align}
|
| 425 |
+
\lambda|\xi|\,|\zeta|^2
|
| 426 |
+
&\le \mathcal A_\xi(x,\xi)[\zeta,\zeta],
|
| 427 |
+
&|\mathcal A|+|\mathcal A_\xi|\,|\xi|&\le C|\xi|^2,
|
| 428 |
+
\label{eq:stress-p3-structure}\\
|
| 429 |
+
|\mathcal A(x,\xi)-\mathcal A(y,\xi)|
|
| 430 |
+
&\le C|x-y|\,|\xi|^2.
|
| 431 |
+
\notag
|
| 432 |
+
\end{align}
|
| 433 |
+
It must also be $C^1$ in $\xi$ and the solution must have bounded
|
| 434 |
+
local $W^{1,3}$ energy. The Lipschitz spatial bound supplies a
|
| 435 |
+
$C^{0,1/2}$ modulus, so $n=p=3$ and zero forcing meet all the
|
| 436 |
+
parameters of that theorem. Throughout this argument choose only
|
| 437 |
+
$0<\beta<\min\{\alpha_m,1/4\}$ as in
|
| 438 |
+
Section~\ref{sec:preliminaries}; the decay and boundary limits below
|
| 439 |
+
require a positive exponent, not an optimal one.
|
| 440 |
+
|
| 441 |
+
We verify global, rather than merely bounded-gradient, structure before
|
| 442 |
+
applying this theorem. On the gradient range in
|
| 443 |
+
\eqref{eq:stress-global-gradient-bound}, $e(w)/w^2$ and $Q(w)$ have
|
| 444 |
+
positive upper and lower bounds. Thus $e'(w)$ is comparable to $w$.
|
| 445 |
+
Choose a smooth cutoff $\chi=1$ below the known range and zero above
|
| 446 |
+
twice a larger fixed bound, and replace $e'$ outside that range by
|
| 447 |
+
\[
|
| 448 |
+
\widetilde e'(w)=\chi(w)e'(w)+(1-\chi(w))c_1w,
|
| 449 |
+
\qquad \widetilde e(0)=0,
|
| 450 |
+
\]
|
| 451 |
+
where $c_1>0$. Then $\widetilde e=e$ on the range attained by the
|
| 452 |
+
solution, $\widetilde e'\asymp w$, and $\widetilde e\asymp w^2$
|
| 453 |
+
globally. In coordinates with metric matrix $G$ the density flux is
|
| 454 |
+
\begin{equation}
|
| 455 |
+
\mathcal A^i(x,\xi)=\sqrt{\det G}\,
|
| 456 |
+
\frac{\widetilde e(|\xi|_G)}{|\xi|_G}\,G^{ij}\xi_j,
|
| 457 |
+
\qquad |\xi|_G=(G^{ij}\xi_i\xi_j)^{1/2}.
|
| 458 |
+
\label{eq:stress-coordinate-flux}
|
| 459 |
+
\end{equation}
|
| 460 |
+
Uniform positive metric bounds give
|
| 461 |
+
\eqref{eq:stress-p3-structure}; Lipschitz metric coefficients give
|
| 462 |
+
the spatial bound. The flux is $C^1$ at zero because it is
|
| 463 |
+
$O(|\xi|^2)$ and its derivative is $O(|\xi|)$. Its derivative is
|
| 464 |
+
symmetric, as is also apparent from its convex radial primitive.
|
| 465 |
+
The solution has finite local cubic energy by its Lipschitz bound.
|
| 466 |
+
The quoted theorem therefore proves local $C^{1,\beta}$ regularity.
|
| 467 |
+
|
| 468 |
+
The same argument works at $S$. In orthogonal boundary coordinates
|
| 469 |
+
with reflection matrix $J=\operatorname{diag}(-1,1,1)$, extend the
|
| 470 |
+
metric matrix by $G(-h,x)=JG(h,x)J$, and extend $u+M_e$ oddly.
|
| 471 |
+
The mixed metric entries vanish on the face, so this extension is
|
| 472 |
+
Lipschitz. The reflected flux satisfies
|
| 473 |
+
$\mathcal A_-(\xi)=J\mathcal A_+(J\xi)$. Evaluated on the odd
|
| 474 |
+
solution, its normal component is even and its tangential components
|
| 475 |
+
are odd. A test on the reflected ball consequently reduces to a
|
| 476 |
+
test on the original half-ball with zero trace. Such tests are
|
| 477 |
+
allowed: cutoff at distance $h=\delta$ creates an error tending to
|
| 478 |
+
zero since the test is $O(h)$, the flux is bounded, and the strip
|
| 479 |
+
volume tends to zero. Thus the reflected weak equation satisfies
|
| 480 |
+
all the same hypotheses, proving the asserted boundary regularity.
|
| 481 |
+
|
| 482 |
+
To obtain gradient decay, take a uniform metric ball far out with
|
| 483 |
+
central radius $r_*$, and put $s_*=C/r_*$, so that $|u|\le s_*$ on a
|
| 484 |
+
slightly larger ball. Apply the preceding fixed global extension
|
| 485 |
+
to the equation for $u/s_*$; its flux is
|
| 486 |
+
\[
|
| 487 |
+
\mathcal A_{s_*}(x,\xi)=s_*^{-2}\mathcal A(x,s_*\xi).
|
| 488 |
+
\]
|
| 489 |
+
The cubic structure constants and spatial modulus are unchanged.
|
| 490 |
+
The required energy bound does not presume a bound on the normalized
|
| 491 |
+
gradient. Testing with $\chi^3(u/s_*)$, and using coercivity and
|
| 492 |
+
Young's inequality, gives
|
| 493 |
+
\begin{equation}
|
| 494 |
+
\int\chi^3|d(u/s_*)|^3
|
| 495 |
+
\le C\int |u/s_*|^3|d\chi|^3\le C.
|
| 496 |
+
\label{eq:stress-scaled-energy}
|
| 497 |
+
\end{equation}
|
| 498 |
+
The H\"older estimate for the gradient, together with this energy
|
| 499 |
+
bound, gives its supremum on a smaller ball: some point has gradient
|
| 500 |
+
bounded by the cubic mean, and the H\"older bound controls its
|
| 501 |
+
difference from every other point. Therefore $|du|_g\le C/r$.
|
| 502 |
+
|
| 503 |
+
Now let $g_c=\rho^2g$ on the end. It extends to a positive Lipschitz
|
| 504 |
+
metric up to $\rho=0$, with vanishing mixed normal--tangential entries
|
| 505 |
+
there. In the conformal end at hand this follows directly from
|
| 506 |
+
\[
|
| 507 |
+
g_c=\phi^4\left(d\rho^2+\tfrac14(1-\rho^2)^2\sigma\right)
|
| 508 |
+
\]
|
| 509 |
+
and \eqref{eq:stress-conformal-end}. The estimate just obtained gives
|
| 510 |
+
$|du|_{g_c}\le C$, and the height estimate gives the zero trace.
|
| 511 |
+
Writing $\bar w=|du|_{g_c}$, the coordinate divergence equation in
|
| 512 |
+
this metric has radial law
|
| 513 |
+
\begin{equation}
|
| 514 |
+
q_\rho(\bar w)=\rho^{-2}e(\rho\bar w)
|
| 515 |
+
=\bar w^2 F(\rho\bar w),
|
| 516 |
+
\qquad F(t)=e(t)/t^2.
|
| 517 |
+
\label{eq:stress-compactified-law}
|
| 518 |
+
\end{equation}
|
| 519 |
+
On the known bounded range of $\bar w$, this satisfies uniform cubic
|
| 520 |
+
structure and Lipschitz spatial dependence, including at $\rho=0$.
|
| 521 |
+
For an explicit uniform extension, set
|
| 522 |
+
$H(t)=2F(t)+tF'(t)>0$, choose a fixed cutoff equal to one below that
|
| 523 |
+
range and zero above twice a larger bound, and define
|
| 524 |
+
\[
|
| 525 |
+
\widetilde q_\rho'(w)
|
| 526 |
+
=w\big[\chi(w)H(\rho w)+(1-\chi(w))c_1\big],
|
| 527 |
+
\qquad \widetilde q_\rho(0)=0.
|
| 528 |
+
\]
|
| 529 |
+
It agrees with $q_\rho$ on the attained range, is comparable to
|
| 530 |
+
$w^2$, has derivative comparable to $w$, and has the required uniform
|
| 531 |
+
Lipschitz dependence in position. Reflect $g_c$ as above, use
|
| 532 |
+
$|\rho|$ in this coefficient, and reflect $u$ oddly. The gradient
|
| 533 |
+
bound ensures $W^{1,3}$ across the face. The same zero-trace test
|
| 534 |
+
argument proves the reflected weak equation. The scalar theorem
|
| 535 |
+
now gives $C^{1,\beta}$ in compactified coordinates. No theorem
|
| 536 |
+
about degenerate boundary equations is being assumed in addition
|
| 537 |
+
to the stated interior result.
|
| 538 |
+
|
| 539 |
+
\emph{Stress and asymptotic coefficients.}
|
| 540 |
+
Convexity shows that the weak solution minimizes the integral of
|
| 541 |
+
$L(|du|)$ against compactly supported Lipschitz variations: integrate
|
| 542 |
+
the convex tangent inequality and use \eqref{eq:stress-electrostatics}.
|
| 543 |
+
Apply this fact to compactly supported changes of independent variable.
|
| 544 |
+
For the flow of a smooth vector field $X$, differentiating the local
|
| 545 |
+
energy of the transported potential gives
|
| 546 |
+
\[
|
| 547 |
+
\int\big(L(w)g-du\otimes E^\flat\big):\nabla X\,\dd V_g=0.
|
| 548 |
+
\]
|
| 549 |
+
The calculation is justified by bounded gradients on the support;
|
| 550 |
+
no finite total energy of $L$ is needed. This is
|
| 551 |
+
$\divg_g\Pi=0$ in distributions.
|
| 552 |
+
The stress eigenvalues in the gradient and transverse directions are
|
| 553 |
+
$t$ and $l=L=t+we$, respectively, with $\Pi=g$ at zero gradient.
|
| 554 |
+
They are positive at every finite gradient. Moreover,
|
| 555 |
+
\[
|
| 556 |
+
(t+2l)^2-2(t^2+2l^2)=4tl-t^2
|
| 557 |
+
=3t^2+4twe=3(1-e^{3/2})+3e^{3/2}=3,
|
| 558 |
+
\]
|
| 559 |
+
proving \eqref{eq:stress-algebraic-identity}.
|
| 560 |
+
|
| 561 |
+
Since $u$ has constant trace at conformal infinity, all its tangential
|
| 562 |
+
derivatives in compactified coordinates vanish there. Its scaled
|
| 563 |
+
gradient consequently has a continuous radial limit. Together with
|
| 564 |
+
$r\rho\to1/2$ and $e(w)=(16/9)w^2+O(w^5)$, this gives a continuous
|
| 565 |
+
$e_0\ge0$ with $r^2e(w)\to e_0$ uniformly. At a point where
|
| 566 |
+
$e_0>0$ the gradient direction approaches the radial direction, so
|
| 567 |
+
$\Pi(\nu,\nu)=t+o(r^{-3})$. At a point where $e_0=0$, both
|
| 568 |
+
$t-1$ and $l-t=we$ are $O(e^{3/2})=o(r^{-3})$, and the same conclusion
|
| 569 |
+
holds. Uniformity follows by splitting into the sets where $e_0$
|
| 570 |
+
is larger or smaller than an arbitrary fixed positive threshold.
|
| 571 |
+
Since $t=1-e^{3/2}/2+O(e^3)$, this proves
|
| 572 |
+
\eqref{eq:stress-end-asymptotics}, as well as
|
| 573 |
+
$E=O(r^{-2})$ and $\Pi-g=O(r^{-3})$ in metric norm.
|
| 574 |
+
|
| 575 |
+
\emph{Flux saturation.}
|
| 576 |
+
Continuous distributionally divergence-free fields have the usual
|
| 577 |
+
flux identities on smooth compact domains: use smooth cutoffs
|
| 578 |
+
approaching their boundaries and continuity in the shrinking collars.
|
| 579 |
+
This proves independence in \eqref{eq:stress-charge-definition}.
|
| 580 |
+
The asymptotics and $dA_g/r^2\to dA_\sigma$ give
|
| 581 |
+
$F_{M_e}\le\int e_0\,dA_\sigma$. Integration by parts in the
|
| 582 |
+
electrostatic equation gives
|
| 583 |
+
\begin{equation}
|
| 584 |
+
M_eF_{M_e}=\int_\Omega w e(w)\,\dd V_g.
|
| 585 |
+
\label{eq:stress-energy-charge}
|
| 586 |
+
\end{equation}
|
| 587 |
+
Indeed the infinity term tends to zero because
|
| 588 |
+
$u=O(r^{-1})$, $E=O(r^{-2})$, and the sphere area is $O(r^2)$.
|
| 589 |
+
The inner term has the indicated sign: the outward normal of the
|
| 590 |
+
exterior at $S$ is $-\nu$, while $u=-M_e$ there. The integral is
|
| 591 |
+
finite since $we=O(r^{-3})$ and $dV_g\asymp r\,dr\,dA_\sigma$.
|
| 592 |
+
|
| 593 |
+
Fix a large $R_0$, choose $4/3<s_0<2$, and set
|
| 594 |
+
\begin{equation}
|
| 595 |
+
\zeta=1\quad(r\le R_0),\qquad
|
| 596 |
+
\zeta=(R_0/r)^{s_0}\quad(r>R_0),\qquad
|
| 597 |
+
C_\zeta=\int_\Omega(1-t(\zeta))\,\dd V_g<\infty.
|
| 598 |
+
\label{eq:stress-charge-weight}
|
| 599 |
+
\end{equation}
|
| 600 |
+
The last integrability follows from
|
| 601 |
+
$1-t(\zeta)=O(\zeta^{3/2})$ and $s_0>4/3$.
|
| 602 |
+
For every smooth function $v$ equal to $-M_e$ near $S$ and zero
|
| 603 |
+
outside a compact set, each regular level $v=q$, $-M_e<q<0$, obeys
|
| 604 |
+
\begin{equation}
|
| 605 |
+
\int_{v=q}\zeta\,\dd A_g
|
| 606 |
+
\ge(1-o_{R_0}(1))A_*.
|
| 607 |
+
\label{eq:stress-weighted-level-area}
|
| 608 |
+
\end{equation}
|
| 609 |
+
Here is the topological and geometric comparison for this assertion.
|
| 610 |
+
Take the closure $D$ of the component of $\{v>q\}$ containing the
|
| 611 |
+
end. It is a connected closed end-side domain, with boundary a
|
| 612 |
+
subset of the level; it misses a neighborhood of all of $S$.
|
| 613 |
+
Choose a sphere $r=R_1$, with $R_1\in[R_0/2,R_0]$, transverse to its
|
| 614 |
+
boundary, and adjoin to $D$ the whole region $r\ge R_1$.
|
| 615 |
+
The union is still connected because the two domains have a common
|
| 616 |
+
far-end region. Each newly exposed sphere-cap point lies on a
|
| 617 |
+
radial ray meeting the old boundary at some $r\ge R_1$: initially
|
| 618 |
+
the ray is outside $D$, and eventually it lies in $D$.
|
| 619 |
+
Radial projection onto $r=R_1$ has upper two-dimensional Jacobian
|
| 620 |
+
\[
|
| 621 |
+
(1+o_{R_0}(1))(R_1/r)^2
|
| 622 |
+
\le(1+o_{R_0}(1))\zeta(r).
|
| 623 |
+
\]
|
| 624 |
+
The first estimate is uniform over tangent two-planes by the
|
| 625 |
+
asymptotic tensor bounds; the second uses $s_0<2$ and $R_1\le R_0$.
|
| 626 |
+
The area formula bounds the new caps by the weighted old boundary
|
| 627 |
+
outside the sphere. Inside, the weight is one. The transverse
|
| 628 |
+
corners can be rounded toward the side enlarging this union, in
|
| 629 |
+
shrinking tubular neighborhoods of their intersection curves; the
|
| 630 |
+
added area tends to zero. The rounded exterior is connected and
|
| 631 |
+
its full intrinsic boundary is an admissible cut in the definition
|
| 632 |
+
of $A_*$. This proves \eqref{eq:stress-weighted-level-area} without
|
| 633 |
+
any connectedness assertion about the level itself.
|
| 634 |
+
|
| 635 |
+
Coarea therefore gives
|
| 636 |
+
$\int\zeta|dv|\ge M_e(1-o_{R_0}(1))A_*$.
|
| 637 |
+
The same holds for $u$. To justify approximation, first replace
|
| 638 |
+
$u$ by its constant trace in a shrinking collar of $S$, interpolating
|
| 639 |
+
in a collar of comparable width. The error in its weighted gradient
|
| 640 |
+
integral tends to zero by the bounded gradient and constant trace.
|
| 641 |
+
Next multiply by a cutoff tending to zero in $R<r<2R$ and set it
|
| 642 |
+
equal to zero beyond $2R$. The height and gradient decay make both
|
| 643 |
+
the lost tail and cutoff error $O(R^{1-s_0})$, tending to zero.
|
| 644 |
+
Smooth the remaining compactly supported transition while retaining
|
| 645 |
+
the constant boundary neighborhoods. This gives convergence in
|
| 646 |
+
the required weighted $W^{1,1}$ norm, and coarea applies to the
|
| 647 |
+
smooth approximants.
|
| 648 |
+
|
| 649 |
+
Finally, the definition of $L$ gives $L(w)\ge\zeta w+t(\zeta)$,
|
| 650 |
+
whereas $L(w)-1\le we(w)$ since $t(e)\le1$. Combining these facts
|
| 651 |
+
with \eqref{eq:stress-energy-charge} yields
|
| 652 |
+
\begin{equation}
|
| 653 |
+
F_{M_e}\ge(1-o_{R_0}(1))A_*-C_\zeta/M_e.
|
| 654 |
+
\label{eq:stress-charge-lower-bound}
|
| 655 |
+
\end{equation}
|
| 656 |
+
Let $M_e\to\infty$ at fixed $R_0$ and then $R_0\to\infty$.
|
| 657 |
+
This proves \eqref{eq:stress-charge-saturation} and completes the
|
| 658 |
+
proposition.
|
| 659 |
+
\end{proof}
|
| 660 |
+
|
| 661 |
+
\subsection{Smoothing the synthetic tensor and attaching an exterior}
|
| 662 |
+
|
| 663 |
+
\begin{proposition}[Compact stress data and AF attachment]
|
| 664 |
+
\label{prop:af-attachment}
|
| 665 |
+
Let $g$ be the fixed approximating metric above. For every
|
| 666 |
+
$\varepsilon_0>0$ there are a sufficiently large coordinate sphere
|
| 667 |
+
$\mathcal C$, its compact connected inner region $\Omega_i$, a
|
| 668 |
+
smooth symmetric tensor $K$ on $\Omega_i$, and a smooth scalar-flat
|
| 669 |
+
\AF\ exterior $(\Omega_o,g_o)$ attached along $\mathcal C$, with
|
| 670 |
+
the following properties. Put $\tau_K=\tr_g K$ and
|
| 671 |
+
$k_T=\tr_{\mathcal C}K$. Then
|
| 672 |
+
\begin{align}
|
| 673 |
+
K&<0,\qquad
|
| 674 |
+
R_g+\tau_K^2-|K|_g^2
|
| 675 |
+
-2(\divg_gK-d\tau_K)\cdot v>0
|
| 676 |
+
&&(|v|_g\le1),
|
| 677 |
+
\label{eq:stress-synthetic-DEC}\\
|
| 678 |
+
H_i&>|k_T|,\qquad
|
| 679 |
+
H_o=\sqrt{H_i^2-k_T^2}>0,
|
| 680 |
+
\label{eq:stress-matching-curvatures}\\
|
| 681 |
+
m_o&\le p_0(g)-\tfrac12 a^3+\varepsilon_0.
|
| 682 |
+
\label{eq:stress-attachment-budget}
|
| 683 |
+
\end{align}
|
| 684 |
+
Here $H_i$ is the inner metric's mean curvature on $\mathcal C$,
|
| 685 |
+
and $H_o$ is the outer metric's inner-boundary mean curvature, both
|
| 686 |
+
in the direction toward the respective end. The induced metrics
|
| 687 |
+
agree. The exterior is complete with its boundary included and
|
| 688 |
+
has one end, with $g_o-\delta=O_k(|x'|^{-1})$ for every fixed $k$,
|
| 689 |
+
where an ordinary derivative improves decay by one power.
|
| 690 |
+
Projection from $\Omega_o$ to $\mathcal C$ along its parallel rays
|
| 691 |
+
has upper area Jacobian at most one on every tangent two-plane.
|
| 692 |
+
\end{proposition}
|
| 693 |
+
|
| 694 |
+
\begin{proof}
|
| 695 |
+
Choose an electrostatic height $M_e$ large enough that the preceding
|
| 696 |
+
proposition gives
|
| 697 |
+
\begin{equation}
|
| 698 |
+
\langle e_0\rangle\ge a^2-o(1),\qquad
|
| 699 |
+
\langle f\rangle=(4\pi)^{-1}\int_{\Sph^2}f\,\dd A_\sigma,
|
| 700 |
+
\label{eq:stress-charge-average}
|
| 701 |
+
\end{equation}
|
| 702 |
+
where the error can be arbitrarily small. On the whole exterior
|
| 703 |
+
first define a continuous tensor $K^{(0)}$ by
|
| 704 |
+
\begin{equation}
|
| 705 |
+
K^{(0)}-(\tr_gK^{(0)})g=2\Pi,
|
| 706 |
+
\qquad K^{(0)}=2\Pi-(\tr_g\Pi)g.
|
| 707 |
+
\label{eq:stress-synthetic-tensor}
|
| 708 |
+
\end{equation}
|
| 709 |
+
Its eigenvalues are $t-2l=-t-2we<0$ in the gradient direction and
|
| 710 |
+
$-t<0$ transversely. Directly from
|
| 711 |
+
\eqref{eq:stress-algebraic-identity},
|
| 712 |
+
\begin{equation}
|
| 713 |
+
(\tr_gK^{(0)})^2-|K^{(0)}|_g^2=6,
|
| 714 |
+
\qquad
|
| 715 |
+
\divg_g\big(K^{(0)}-(\tr_gK^{(0)})g\big)=0
|
| 716 |
+
\label{eq:stress-synthetic-identities}
|
| 717 |
+
\end{equation}
|
| 718 |
+
in distributions. For example, if $s_\Pi=\tr_g\Pi$, then
|
| 719 |
+
$\tr_gK^{(0)}=-s_\Pi$ and
|
| 720 |
+
$|K^{(0)}|^2=4|\Pi|^2-s_\Pi^2$, giving the first identity.
|
| 721 |
+
|
| 722 |
+
On a coordinate sphere of radius $r$, the induced metric is
|
| 723 |
+
$\phi^4r^2\sigma$, hence its Gauss curvature is positive for large
|
| 724 |
+
$r$. The conformal mean-curvature formula gives
|
| 725 |
+
\begin{align}
|
| 726 |
+
H_i
|
| 727 |
+
&=\phi^{-2}\left(\frac{2\sqrt{1+r^2}}r
|
| 728 |
+
+4\sqrt{1+r^2}\,\partial_r\log\phi\right)\notag\\
|
| 729 |
+
&=2+r^{-2}-16\alpha r^{-3}+o(r^{-3}).
|
| 730 |
+
\label{eq:stress-inner-H-expansion}
|
| 731 |
+
\end{align}
|
| 732 |
+
The relation \eqref{eq:stress-synthetic-tensor} gives exactly
|
| 733 |
+
$\tr_{\mathcal C}K^{(0)}=-2\Pi(\nu,\nu)$, so
|
| 734 |
+
\eqref{eq:stress-end-asymptotics} yields
|
| 735 |
+
\begin{equation}
|
| 736 |
+
k_T^{(0)}=-2+e_0^{3/2}r^{-3}+o(r^{-3}).
|
| 737 |
+
\label{eq:stress-tangential-K-expansion}
|
| 738 |
+
\end{equation}
|
| 739 |
+
All these remainders are uniform in angle. Consequently
|
| 740 |
+
$H_i>|k_T^{(0)}|$ on every sufficiently large sphere, and
|
| 741 |
+
\begin{equation}
|
| 742 |
+
\sqrt{H_i^2-(k_T^{(0)})^2}
|
| 743 |
+
=\frac2r+\frac{-16\alpha+e_0^{3/2}}{r^2}+o(r^{-2}).
|
| 744 |
+
\label{eq:stress-outer-H-expansion}
|
| 745 |
+
\end{equation}
|
| 746 |
+
Indeed the expression under the root is
|
| 747 |
+
$4r^{-2}+(-64\alpha+4e_0^{3/2})r^{-3}+o(r^{-3})$.
|
| 748 |
+
|
| 749 |
+
We explain carefully the smoothing used after fixing such a sphere
|
| 750 |
+
$\mathcal C$. On the compact $\Omega_i$, continuity and strict
|
| 751 |
+
positivity give positive lower bounds for the eigenvalues of $\Pi$,
|
| 752 |
+
the absolute negative eigenvalues of $K^{(0)}$, and $R_g+6$.
|
| 753 |
+
There are smooth tensors $\Pi_h$ on $\Omega_i$, up to its boundary,
|
| 754 |
+
such that
|
| 755 |
+
\begin{equation}
|
| 756 |
+
\|\Pi_h-\Pi\|_{C^0}\longrightarrow0,
|
| 757 |
+
\qquad \|\divg_g\Pi_h\|_{C^0}\longrightarrow0.
|
| 758 |
+
\label{eq:stress-divergence-smoothing}
|
| 759 |
+
\end{equation}
|
| 760 |
+
Here is the needed commutator proof, including the boundary.
|
| 761 |
+
In an interior chart convolve the tensor components with a smooth
|
| 762 |
+
kernel $\eta_h$. A divergence term has form
|
| 763 |
+
$a(x)\partial_jT+b(x)T$, with smooth coefficients. For the principal
|
| 764 |
+
part, integration by parts in the commutator produces
|
| 765 |
+
$(a(y)-a(x))\partial\eta_h(x-y)$ and a term with
|
| 766 |
+
$(\partial a)(y)\eta_h(x-y)$. Together these cancel on constant
|
| 767 |
+
$T$. After subtracting $T(x)$ their integral is bounded by a fixed
|
| 768 |
+
constant times the modulus of continuity of $T$ on a ball of radius
|
| 769 |
+
$O(h)$, and hence tends uniformly to zero. The lower-order terms
|
| 770 |
+
commute up to the same type of error.
|
| 771 |
+
|
| 772 |
+
In a boundary chart evaluate the convolution instead at
|
| 773 |
+
$x+hc_0n_0$, with $n_0$ a constant inward coordinate direction and
|
| 774 |
+
$c_0$ large enough that the kernel stays on the original side.
|
| 775 |
+
The same proof applies: $|a(y)-a(x)|=O(h)$ throughout its support,
|
| 776 |
+
and the combined commutator still vanishes on a constant tensor.
|
| 777 |
+
It therefore extends the uniform estimate to the boundary without
|
| 778 |
+
extending the original stress as a divergence-free tensor. Take
|
| 779 |
+
these local approximations on slightly larger charts and recombine
|
| 780 |
+
with a smooth partition of unity. The extra differentiated
|
| 781 |
+
partition terms tend to zero, because their limiting sum is
|
| 782 |
+
$(\sum d\chi)\Pi=0$. This proves
|
| 783 |
+
\eqref{eq:stress-divergence-smoothing}.
|
| 784 |
+
|
| 785 |
+
Set $K_h=2\Pi_h-(\tr_g\Pi_h)g$. Then
|
| 786 |
+
$\divg K_h-d\tr K_h=2\divg\Pi_h\to0$ uniformly, and the algebraic
|
| 787 |
+
part $R_g+(\tr K_h)^2-|K_h|^2$ tends uniformly to $R_g+6>0$.
|
| 788 |
+
For sufficiently small $h$, \eqref{eq:stress-synthetic-DEC} follows
|
| 789 |
+
uniformly for $|v|\le1$, as does $K_h<0$. The strict gap
|
| 790 |
+
$H_i>|k_T^{(0)}|$ at the now fixed sphere also persists.
|
| 791 |
+
Write $K$ for this smooth tensor. The error in any integral
|
| 792 |
+
involving $\sqrt{H_i^2-k_T^2}$ can be made arbitrarily small at this
|
| 793 |
+
fixed sphere, because the square root is smooth on its positive
|
| 794 |
+
gap. This order of choices is essential; we require no smoothing
|
| 795 |
+
estimate uniform as the sphere tends to infinity.
|
| 796 |
+
|
| 797 |
+
The positive-Gauss metric on $\mathcal C\simeq\Sph^2$ has a smooth
|
| 798 |
+
strictly convex Euclidean isometric embedding by the smooth Weyl
|
| 799 |
+
embedding theorem \citep{Nirenberg1953}. This is precisely the
|
| 800 |
+
spherical positive-curvature version also stated in the introduction
|
| 801 |
+
of \citet{ShiTam2002}. Denote its outward Euclidean mean curvature
|
| 802 |
+
by $H_E$. We will construct the Shi--Tam scalar-flat extension with
|
| 803 |
+
the smooth positive prescribed boundary curvature
|
| 804 |
+
$H_o=\sqrt{H_i^2-k_T^2}$. The required estimate is
|
| 805 |
+
\begin{equation}
|
| 806 |
+
m_o\le\frac1{8\pi}\int_{\mathcal C}(H_E-H_o)\,\dd A.
|
| 807 |
+
\label{eq:stress-shitam-mass-bound}
|
| 808 |
+
\end{equation}
|
| 809 |
+
Before proving this extension assertion, we evaluate its right side
|
| 810 |
+
and record the exact coefficient of the charge term.
|
| 811 |
+
|
| 812 |
+
Scale the induced metric on $\mathcal C$ by $r^{-2}$.
|
| 813 |
+
Its area is $4\pi+O(r^{-3})$ and its Gauss curvature is
|
| 814 |
+
$1+O(r^{-3})$, with smooth angular control. For its convex Euclidean
|
| 815 |
+
embedding choose an interior point as origin and use Gauss-map
|
| 816 |
+
coordinates $\omega$. Let $l(\omega)>0$ be the support function.
|
| 817 |
+
Then the embedding is $l\omega+\nabla_\sigma l$, its inverse shape
|
| 818 |
+
operator is $\nabla_\sigma^2l+l\sigma$, and
|
| 819 |
+
\begin{equation}
|
| 820 |
+
\int H_E^{\mathrm{scaled}}\,\dd A
|
| 821 |
+
=\int_{\Sph^2}\tr_\sigma(\nabla_\sigma^2l+l\sigma)\,\dd A_\sigma
|
| 822 |
+
=2\int_{\Sph^2}l\,\dd A_\sigma.
|
| 823 |
+
\label{eq:stress-support-mean}
|
| 824 |
+
\end{equation}
|
| 825 |
+
The scaled enclosed volume is
|
| 826 |
+
$\frac13\int l\,dA$, and $dA=(1+O(r^{-3}))dA_\sigma$ by the Gauss
|
| 827 |
+
curvature estimate. Euclidean isoperimetry bounds this volume by
|
| 828 |
+
$4\pi/3+O(r^{-3})$. Positivity of $l$ now implies
|
| 829 |
+
$\int l\,dA_\sigma\le4\pi+O(r^{-3})$. Scaling back in
|
| 830 |
+
\eqref{eq:stress-support-mean} gives
|
| 831 |
+
\begin{equation}
|
| 832 |
+
\int_{\mathcal C}H_E\,\dd A\le8\pi r+O(r^{-2}).
|
| 833 |
+
\label{eq:stress-Euclidean-H-bound}
|
| 834 |
+
\end{equation}
|
| 835 |
+
This uses no quantitative stability theorem for the Weyl embedding.
|
| 836 |
+
|
| 837 |
+
Before smoothing the stress,
|
| 838 |
+
\eqref{eq:stress-outer-H-expansion} and
|
| 839 |
+
$dA=\phi^4r^2dA_\sigma$ give
|
| 840 |
+
\[
|
| 841 |
+
\int_{\mathcal C}H_o\,\dd A
|
| 842 |
+
=8\pi r+\int_{\Sph^2}(-16\alpha+e_0^{3/2})\,\dd A_\sigma+o(1).
|
| 843 |
+
\]
|
| 844 |
+
The smoothing error in this equality can be made arbitrarily small
|
| 845 |
+
after fixing $r$. Moreover, direct substitution of
|
| 846 |
+
$g-b=(4\alpha r^{-3}+O(r^{-3-\xi}))b$ in the mass flux gives
|
| 847 |
+
\begin{equation}
|
| 848 |
+
p_0(g)=8\langle\alpha\rangle.
|
| 849 |
+
\label{eq:stress-conformal-mass}
|
| 850 |
+
\end{equation}
|
| 851 |
+
For clarity, if $e=fb$, the flux one-form is
|
| 852 |
+
$-2(V_0\,df-f\,dV_0)$; for $f=4\alpha r^{-3}$ its radial sphere
|
| 853 |
+
integral tends to $32\int\alpha\,dA_\sigma$.
|
| 854 |
+
Consequently \eqref{eq:stress-Euclidean-H-bound} gives
|
| 855 |
+
\begin{align}
|
| 856 |
+
\frac1{8\pi}\int_{\mathcal C}(H_E-H_o)\,\dd A
|
| 857 |
+
&\le p_0(g)-\tfrac12\langle e_0^{3/2}\rangle+o(1)\notag\\
|
| 858 |
+
&\le p_0(g)-\tfrac12\langle e_0\rangle^{3/2}+o(1)
|
| 859 |
+
\le p_0(g)-\tfrac12a^3+o(1).
|
| 860 |
+
\label{eq:stress-cubic-budget}
|
| 861 |
+
\end{align}
|
| 862 |
+
The second inequality is Jensen's inequality. If $a=0$, its charge
|
| 863 |
+
term is simply nonnegative. In all cases first choosing $M_e$,
|
| 864 |
+
then $r$, then the compact smoothing tolerance makes the final error
|
| 865 |
+
smaller than the prescribed $\varepsilon_0$.
|
| 866 |
+
|
| 867 |
+
\emph{The scalar-flat extension and its mass.}
|
| 868 |
+
We include the extension argument to fix both the existence hypotheses
|
| 869 |
+
and the normalization in \eqref{eq:stress-shitam-mass-bound}. It is
|
| 870 |
+
the quasi-spherical construction of \citet[Section~2, Theorem~2.1,
|
| 871 |
+
and Lemma~4.2]{ShiTam2002}. The input here is exactly a smooth
|
| 872 |
+
strictly convex Euclidean sphere and a smooth positive prescribed
|
| 873 |
+
mean curvature; no compact fill-in is used.
|
| 874 |
+
|
| 875 |
+
Let $t\ge0$ be Euclidean distance along the outward normals to the
|
| 876 |
+
convex embedding. The parallels foliate its entire exterior. Write
|
| 877 |
+
the Euclidean metric as $dt^2+\gamma_t$, and denote the Euclidean
|
| 878 |
+
mean curvature and surface scalar curvature by $H_E(t)$ and $R_t$.
|
| 879 |
+
Both are positive. If $\lambda_1,\lambda_2>0$ are the initial
|
| 880 |
+
principal curvatures, then those at time $t$ are
|
| 881 |
+
$\lambda_j/(1+t\lambda_j)$, whence
|
| 882 |
+
\begin{equation}
|
| 883 |
+
\frac{R_t}{2H_E(t)}
|
| 884 |
+
=\frac1{2t+c(\omega)},\qquad
|
| 885 |
+
c=\lambda_1^{-1}+\lambda_2^{-1}>0.
|
| 886 |
+
\label{eq:stress-parallel-curvature}
|
| 887 |
+
\end{equation}
|
| 888 |
+
Solve the scalar parabolic equation
|
| 889 |
+
\begin{equation}
|
| 890 |
+
2H_E\partial_tU
|
| 891 |
+
=2U^2\Delta_{\gamma_t}U+(U-U^3)R_t,
|
| 892 |
+
\qquad U(0,\cdot)=H_E(0,\cdot)/H_o.
|
| 893 |
+
\label{eq:stress-quasispherical-equation}
|
| 894 |
+
\end{equation}
|
| 895 |
+
Smooth positive initial data give a local solution by strictly
|
| 896 |
+
parabolic theory. The reaction term is nonpositive above one and
|
| 897 |
+
nonnegative below one. The maximum principle therefore keeps $U$
|
| 898 |
+
between fixed positive constants. On every finite time interval
|
| 899 |
+
the equation is uniformly parabolic with smooth background geometry.
|
| 900 |
+
Scalar parabolic H\"older estimates for bounded solutions, followed
|
| 901 |
+
by Schauder estimates and bootstrapping, give continuation for all
|
| 902 |
+
finite times.
|
| 903 |
+
|
| 904 |
+
For the asymptotic estimate, choose positive constants respectively
|
| 905 |
+
above and below the entire initial range and one. Solve, for each
|
| 906 |
+
of these constants as initial value,
|
| 907 |
+
\begin{equation}
|
| 908 |
+
\dot z=(z-z^3)/(2t+c_{\max}),\qquad
|
| 909 |
+
c_{\max}=\max c.
|
| 910 |
+
\label{eq:stress-parabolic-barriers}
|
| 911 |
+
\end{equation}
|
| 912 |
+
By \eqref{eq:stress-parallel-curvature} these are respectively upper
|
| 913 |
+
and lower barriers: the sign of $z-z^3$ reverses the inequality in
|
| 914 |
+
the upper case. Since
|
| 915 |
+
\[
|
| 916 |
+
z^{-2}-1=(z(0)^{-2}-1)\frac{c_{\max}}{2t+c_{\max}},
|
| 917 |
+
\]
|
| 918 |
+
comparison gives $U-1=O((1+t)^{-1})$.
|
| 919 |
+
Put $s=\log(1+t)$ and $\widehat\gamma_t=(1+t)^{-2}\gamma_t$.
|
| 920 |
+
In the Gauss-map parametrization the parallel embedding is
|
| 921 |
+
$X(\omega)+t\omega$, so these scaled metrics and all their
|
| 922 |
+
derivatives have bounded geometry. Equation
|
| 923 |
+
\eqref{eq:stress-quasispherical-equation} in $s$ is uniformly
|
| 924 |
+
parabolic. Its local H\"older and then Schauder estimates on fixed
|
| 925 |
+
$s$-strips first bound all derivatives of $U$ uniformly. Next apply
|
| 926 |
+
the linear estimates to $U-1$ with the actual coefficients of this
|
| 927 |
+
solution; its equation is homogeneous, with a bounded smooth
|
| 928 |
+
zeroth-order coefficient. The supremum bound just proved gives
|
| 929 |
+
the same $O(e^{-s})$ decay at every fixed derivative order. This
|
| 930 |
+
proves the stated ordinary AF derivative bounds in the Euclidean
|
| 931 |
+
coordinates $x'=X(\omega)+t\omega$.
|
| 932 |
+
|
| 933 |
+
Set
|
| 934 |
+
\begin{equation}
|
| 935 |
+
g_o=U^2dt^2+\gamma_t.
|
| 936 |
+
\label{eq:stress-af-extension-metric}
|
| 937 |
+
\end{equation}
|
| 938 |
+
It has the required induced metric and inner mean curvature
|
| 939 |
+
$H_E/U=H_o$. Its scalar curvature is, by the hypersurface Gauss
|
| 940 |
+
and mean-variation formulas,
|
| 941 |
+
\begin{equation}
|
| 942 |
+
R_{g_o}=R_t(1-U^{-2})+2H_EU^{-3}\partial_tU
|
| 943 |
+
-2U^{-1}\Delta_{\gamma_t}U=0,
|
| 944 |
+
\label{eq:stress-af-scalar-zero}
|
| 945 |
+
\end{equation}
|
| 946 |
+
where the final equality is exactly
|
| 947 |
+
\eqref{eq:stress-quasispherical-equation}. The positive bounds on
|
| 948 |
+
$U$ and the Euclidean completeness of the parallel exterior give
|
| 949 |
+
completeness with the boundary included. There is precisely one
|
| 950 |
+
end, and $g_o-\delta=(U^2-1)dt^2$ has the stated decay.
|
| 951 |
+
|
| 952 |
+
Define
|
| 953 |
+
\[
|
| 954 |
+
\mathcal M(t)=\int_{\mathcal C_t}H_E(1-U^{-1})\,\dd A_{\gamma_t}.
|
| 955 |
+
\]
|
| 956 |
+
The Euclidean identities
|
| 957 |
+
$\partial_tH_E=-|\mathrm{II}_E|^2$,
|
| 958 |
+
$\partial_t dA=H_EdA$, and
|
| 959 |
+
$H_E^2-|\mathrm{II}_E|^2=R_t$, together with
|
| 960 |
+
\eqref{eq:stress-quasispherical-equation}, give
|
| 961 |
+
\begin{align}
|
| 962 |
+
\mathcal M'(t)
|
| 963 |
+
&=\int_{\mathcal C_t}\left[
|
| 964 |
+
R_t(1-U^{-1})+H_EU^{-2}\partial_tU\right]\,\dd A\notag\\
|
| 965 |
+
&=-\frac12\int_{\mathcal C_t}R_t(U+U^{-1}-2)\,\dd A\le0.
|
| 966 |
+
\label{eq:stress-shitam-monotonicity}
|
| 967 |
+
\end{align}
|
| 968 |
+
Here the integral of $\Delta_{\gamma_t}U$ vanishes. The asymptotic
|
| 969 |
+
bounds show that $\mathcal M$ is bounded and that its derivative
|
| 970 |
+
is integrable at infinity, so it has a finite limit.
|
| 971 |
+
|
| 972 |
+
We identify the limit with the ADM mass in the normalization
|
| 973 |
+
\eqref{eq:adm-mass}. For the purely normal Euclidean metric error
|
| 974 |
+
$e'=(U^2-1)dt^2$, the ADM flux through the parallel surface is exactly
|
| 975 |
+
\[
|
| 976 |
+
\int_{\mathcal C_t}
|
| 977 |
+
(\divg_\delta e'-d\tr_\delta e')(\partial_t)\,\dd A
|
| 978 |
+
=\int_{\mathcal C_t}H_E(U^2-1)\,\dd A.
|
| 979 |
+
\]
|
| 980 |
+
The normal derivatives of $U^2-1$ cancel, and
|
| 981 |
+
$\nabla_{\partial_t}\partial_t=0$ in the Euclidean metric, leaving
|
| 982 |
+
only the tangential divergence $H_E$. The scalar-curvature
|
| 983 |
+
linearization and $R_{g_o}=0$ show that the divergence of this
|
| 984 |
+
Euclidean flux is $O(|x'|^{-4})$. Its integral between a large
|
| 985 |
+
parallel and a comparable large round sphere tends to zero; thus
|
| 986 |
+
it computes the ordinary ADM mass. Finally
|
| 987 |
+
\[
|
| 988 |
+
(U^2-1)-2(1-U^{-1})=O((U-1)^2)
|
| 989 |
+
\]
|
| 990 |
+
and $H_E\,\Area(\mathcal C_t)=O(t)$, so
|
| 991 |
+
\begin{equation}
|
| 992 |
+
16\pi m_o
|
| 993 |
+
=\lim_{t\to\infty}\int_{\mathcal C_t}H_E(U^2-1)\,\dd A
|
| 994 |
+
=2\lim_{t\to\infty}\mathcal M(t)
|
| 995 |
+
\le2\mathcal M(0).
|
| 996 |
+
\label{eq:stress-adm-identification}
|
| 997 |
+
\end{equation}
|
| 998 |
+
As $H_E/U(0)=H_o$, this proves
|
| 999 |
+
\eqref{eq:stress-shitam-mass-bound}. Combining it with
|
| 1000 |
+
\eqref{eq:stress-cubic-budget} gives
|
| 1001 |
+
\eqref{eq:stress-attachment-budget}.
|
| 1002 |
+
|
| 1003 |
+
Lastly, convexity gives
|
| 1004 |
+
$\gamma_t(V,V)=\gamma_0((\Id+t\mathrm{II}_E^{\sharp})V,
|
| 1005 |
+
(\Id+t\mathrm{II}_E^{\sharp})V)\ge\gamma_0(V,V)$.
|
| 1006 |
+
The metric in \eqref{eq:stress-af-extension-metric} has no mixed
|
| 1007 |
+
normal--tangential terms. Its projection along the parallels to
|
| 1008 |
+
$(\mathcal C,\gamma_0)$ therefore has operator norm at most one,
|
| 1009 |
+
and hence upper two-dimensional Jacobian at most one. This is
|
| 1010 |
+
the area comparison required in the later transfer argument.
|
| 1011 |
+
\end{proof}
|
| 1012 |
+
|
| 1013 |
+
All data in Proposition~\ref{prop:af-attachment} are now fixed before
|
| 1014 |
+
the compact graph parameters are chosen. On $S$ and $\mathcal C$
|
| 1015 |
+
we use the base normals directed toward the end; derivatives and
|
| 1016 |
+
fluxes on the two sides of $\mathcal C$ use $g$ and $g_o$ respectively.
|
| 1017 |
+
Their boundary area forms agree. In the next section the notation
|
| 1018 |
+
$\tau=\tr_gK$ refers to the synthetic trace, not to the original
|
| 1019 |
+
asymptotic decay exponent.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/07-compact-construction.tex
ADDED
|
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|
| 1 |
+
\section{The compact graph construction}\label{sec:compact-construction}
|
| 2 |
+
|
| 3 |
+
Fix the compact data and the asymptotically flat attachment supplied by
|
| 4 |
+
Proposition~\ref{prop:af-attachment}. Thus the connected compact inner
|
| 5 |
+
manifold $(\Omega_i,g)$ has boundary $S\sqcup\mathcal C$, where
|
| 6 |
+
$\mathcal C$ is a sphere, and carries a smooth negative definite tensor
|
| 7 |
+
$K$. Put $\tau=\tr_g K$. The smooth exterior $(\Omega_o,g_o)$ is scalar
|
| 8 |
+
flat and asymptotically flat. The induced metrics on $\mathcal C$ agree.
|
| 9 |
+
All normals $n$ at $S$ and $\mathcal C$ point towards the designated end;
|
| 10 |
+
in particular the outward normal of $\Omega_i$ at $S$ is $-n$. Write
|
| 11 |
+
$k_T=\tr_{T\mathcal C}K$ on the seam and use the analogous notation on
|
| 12 |
+
$S$. The fixed data satisfy
|
| 13 |
+
\begin{equation}\label{eq:compact-base-data}
|
| 14 |
+
\begin{gathered}
|
| 15 |
+
H_g(S)\le0,\qquad H_i>|k_T|,\qquad
|
| 16 |
+
H_o=\sqrt{H_i^2-k_T^2},\\
|
| 17 |
+
D(v):=R_g+\tau^2-|K|^2-2(\divg_gK-\dd\tau)(v)>0
|
| 18 |
+
\quad (|v|_g\le1).
|
| 19 |
+
\end{gathered}
|
| 20 |
+
\end{equation}
|
| 21 |
+
No deformation parameter changes these base data. In this section every
|
| 22 |
+
integral without a metric subscript uses the base metric on its own side.
|
| 23 |
+
Piecewise integrals mean the sum of the two such integrals. Constants may
|
| 24 |
+
depend on these fixed smooth data.
|
| 25 |
+
|
| 26 |
+
On $\Omega_i$ define the fields, for $N_i>0$, by
|
| 27 |
+
\begin{equation}\label{eq:compact-constitutive}
|
| 28 |
+
\begin{gathered}
|
| 29 |
+
p=s^2\nabla f,\qquad s^2+|\dd f|^2s^4=N_i^2,\qquad v=p/N_i,\\
|
| 30 |
+
z=|v|,\quad y=z^2,\quad d=\sqrt{1-y},\quad W=d^{-1}=N_i/s.
|
| 31 |
+
\end{gathered}
|
| 32 |
+
\end{equation}
|
| 33 |
+
The positive root specifies $s$ smoothly, including at $\dd f=0$.
|
| 34 |
+
On a constant-height boundary we write $\widehat z=v\cdot n$.
|
| 35 |
+
On $\Omega_o$ put $f=p=0$, $s=N_o$, $W=1$, and $\bar g=g_o$;
|
| 36 |
+
inside put $\bar g=g+s^2\dd f^2$. On either side set
|
| 37 |
+
$x=sw$, $h=x\bar g$, and $A=Ns\bar g^{-1}$, with $N=N_i$ or $N_o$.
|
| 38 |
+
Here $d$ is a scalar, whereas $\dd$ denotes differentiation.
|
| 39 |
+
|
| 40 |
+
For a finite height $M\ge1$ and a homotopy parameter $u_*\in[0,1]$ the
|
| 41 |
+
equations are
|
| 42 |
+
\begin{equation}\label{eq:compact-system}
|
| 43 |
+
\begin{aligned}
|
| 44 |
+
\divg_g p&=TN_i &&\text{on }\Omega_i,\\
|
| 45 |
+
B&=\nabla N_i-(u_*K+\ell g)p,\qquad
|
| 46 |
+
\ell=T-u_*\tau &&\text{on }\Omega_i,\\
|
| 47 |
+
B&=\nabla N_o,\qquad \Sigma_-=0 &&\text{on }\Omega_o,\\
|
| 48 |
+
\divg B&=\Sigma_++\Sigma_-,\qquad
|
| 49 |
+
-\divg(A\dd w)=\Sigma_+x+P &&\text{on each side}.
|
| 50 |
+
\end{aligned}
|
| 51 |
+
\end{equation}
|
| 52 |
+
We first truncate the exterior at a smooth distant coordinate sphere
|
| 53 |
+
$\mathcal S_R$. The complete boundary conditions are
|
| 54 |
+
\begin{equation}\label{eq:compact-boundary}
|
| 55 |
+
\begin{array}{c|l}
|
| 56 |
+
S&f=u_*M,\quad B_n=-b_*,\quad (A\dd w)_n=0,\\
|
| 57 |
+
\mathcal C&f=0,\quad N_o=s_i,\quad (B_i)_n=(B_o)_n,
|
| 58 |
+
\quad w_i=w_o,\quad (A_i\dd w_i)_n=(A_o\dd w_o)_n,\\
|
| 59 |
+
\mathcal S_R&N_o=w=1.
|
| 60 |
+
\end{array}
|
| 61 |
+
\end{equation}
|
| 62 |
+
Here $b_*>0$ is fixed throughout the homotopy. Eventually $R\to\infty$
|
| 63 |
+
with every other parameter fixed, and the last row becomes $N_o,w\to1$.
|
| 64 |
+
|
| 65 |
+
We specify all cutoffs used in these equations. Let $d_S$ be a fixed
|
| 66 |
+
smooth function, positive away from $S$ and equal to inward distance on
|
| 67 |
+
a collar of $S$. Set $F=u_*M-f$. The quotient $F/d_S$ at $S$ is its
|
| 68 |
+
continuous extension. For example, in that collar it equals
|
| 69 |
+
$\int_0^1\partial_nF(q,td_S)\,\dd t$; hence it has one fewer controlled
|
| 70 |
+
derivative than $F$ in the relevant H\"older spaces. Choose smooth
|
| 71 |
+
cutoffs whose product $\chi_T$ is supported where
|
| 72 |
+
\begin{equation}\label{eq:compact-trace-cutoff}
|
| 73 |
+
F<M/10,\qquad z<1/2,\qquad FN_i\sqrt{x}<M^{-1},\qquad
|
| 74 |
+
N_iF/d_S<M^{-1},
|
| 75 |
+
\end{equation}
|
| 76 |
+
and equals one if all four upper bounds hold with an additional factor
|
| 77 |
+
$1/2$. The slope cutoff is a smooth function of $z^2$. The other scalar
|
| 78 |
+
cutoffs are extended as one for sufficiently negative arguments. Define
|
| 79 |
+
\begin{equation}\label{eq:compact-sources}
|
| 80 |
+
T=u_*\tau(1-\chi_T),\qquad
|
| 81 |
+
\Sigma_-=-\tfrac12N_i\ell^2\zeta(N_i),\qquad
|
| 82 |
+
\Sigma_+=u_*LW\eta_M\chi_x(x)\chi_N(N/\eps).
|
| 83 |
+
\end{equation}
|
| 84 |
+
The fixed smooth function $\zeta$ lies in $[0,1]$, equals one for
|
| 85 |
+
$N\le\delta_0$, and vanishes for $N\ge2\delta_0$.
|
| 86 |
+
Here $0<\delta_0,b_*,\delta<1$, $L\ge1$, $0<\eps<1$;
|
| 87 |
+
$\chi_x=1$ on $x\le1-\delta$ and is zero on $x\ge1-\delta/2$,
|
| 88 |
+
whereas $\chi_N=0$ on $N\le\eps$ and is one on $N\ge2\eps$.
|
| 89 |
+
In particular
|
| 90 |
+
\begin{equation}\label{eq:compact-source-size}
|
| 91 |
+
u_*\tau\le T\le0,\quad |\ell|\le C,\quad
|
| 92 |
+
-C N_i\le\Sigma_-\le0,\quad
|
| 93 |
+
\|\Sigma_-\|_{L^1}\le C\delta_0,\quad 0\le\Sigma_+\le LW.
|
| 94 |
+
\end{equation}
|
| 95 |
+
|
| 96 |
+
The spatial cutoff $\eta_M$ is chosen as follows. Let $\psi_\infty$
|
| 97 |
+
be the exterior capacitary potential, equal to one on $\mathcal C$ and
|
| 98 |
+
zero at infinity. Fix a large radius $R_\delta$ beyond which
|
| 99 |
+
$\psi_\infty<\delta$. Such a potential and radius follow from scalar
|
| 100 |
+
Dirichlet theory and the barriers $C|x'|^{-\beta}$, $0<\beta<1$,
|
| 101 |
+
on the fixed asymptotically flat end. Fix an exterior collar width
|
| 102 |
+
$a_o>0$. The designated set $\mathcal D_M$ consists of all of
|
| 103 |
+
$\Omega_i$ except an inner seam collar of width $2M^{-4}$, together
|
| 104 |
+
with the exterior between collar distance $2a_o$ and radius
|
| 105 |
+
$R_\delta$. Enlarge $R_\delta$ if necessary to contain that collar.
|
| 106 |
+
Take $\eta_M=1$ on a neighborhood of $\mathcal D_M$, supported away
|
| 107 |
+
from the seam, with inner separation at least $M^{-4}$ and exterior
|
| 108 |
+
separation at least $a_o$, and with support in a common compact region.
|
| 109 |
+
All spatial cutoffs below have slightly nested supports of this kind.
|
| 110 |
+
Thus $N_o$ is harmonic on the fixed exterior seam collar. The choice of
|
| 111 |
+
$R_\delta$ does not involve an unknown solution: the exterior equations
|
| 112 |
+
give $N_o\Delta_{g_o}x=-P\le0$, so comparison gives
|
| 113 |
+
\begin{equation}\label{eq:compact-capacity-comparison}
|
| 114 |
+
x\ge1-\psi_\infty \quad\text{on }\Omega_o.
|
| 115 |
+
\end{equation}
|
| 116 |
+
The same comparison holds on truncations since the right side is at
|
| 117 |
+
most one on $\mathcal S_R$. Consequently every exterior point with
|
| 118 |
+
$x<1-\delta$ lies inside the fixed radius $R_\delta$.
|
| 119 |
+
|
| 120 |
+
There are two further sources, $P=u_*(P_1+P_2)$. Put
|
| 121 |
+
$T_1=M^{9/10}$ and $T_2=C_2/\eps$. The source $P_1$ is an adjustable
|
| 122 |
+
finite constant $D_1$ times smooth cutoffs, supported inside where
|
| 123 |
+
$f>M/2$ and $w<4T_1$, and equal to $D_1$ where
|
| 124 |
+
$f\ge4M/5$ and $w\le2T_1$. The source $P_2$ is $D_2$ times smooth
|
| 125 |
+
cutoffs on the two spatial supports just described, vanishes if
|
| 126 |
+
$N\ge4\eps$ or $w\ge4T_2$, and equals $D_2$ on a neighborhood of
|
| 127 |
+
$\mathcal D_M$ where $N\le3\eps$ and $w\le2T_2$.
|
| 128 |
+
The constants $C_2,D_1,D_2$ will be chosen below. Every equation is a
|
| 129 |
+
smooth finite equation on the open domain $N_i,N_o,w>0$.
|
| 130 |
+
|
| 131 |
+
\begin{proposition}[Finite compact construction]\label{prop:compact-solutions}
|
| 132 |
+
Fix base data satisfying \eqref{eq:compact-base-data}. Fix
|
| 133 |
+
$b_*,\delta_0,\delta,a_o>0$ and $L\ge1$. For every sufficiently large
|
| 134 |
+
finite $M$, $C_2$ can be chosen depending on these parameters, and then
|
| 135 |
+
$\eps>0$ can be chosen arbitrarily small and $D_1,D_2$ sufficiently
|
| 136 |
+
large but finite, so that \eqref{eq:compact-system}--\eqref{eq:compact-boundary}
|
| 137 |
+
at $u_*=1$ has a positive solution on the full attached exterior.
|
| 138 |
+
It is smooth on each closed side of $\mathcal C$ and tends to the
|
| 139 |
+
specified values at infinity. It satisfies
|
| 140 |
+
\begin{equation}\label{eq:compact-bounds}
|
| 141 |
+
\begin{gathered}
|
| 142 |
+
0\le f\le M,\qquad N_i,N_o\le C(L)M,\qquad
|
| 143 |
+
\int_{\Omega_i}W^2\le C(L)M^2,\\
|
| 144 |
+
N_i\ge c\eps,\qquad s_i,N_o\ge c(M,L)\eps.
|
| 145 |
+
\end{gathered}
|
| 146 |
+
\end{equation}
|
| 147 |
+
The constants in these bounds do not depend on $\eps,D_1,D_2$ or the
|
| 148 |
+
outer truncation. Dependence on the fixed data and on the preceding
|
| 149 |
+
parameters is suppressed. At fixed $M,L,\eps$, the lapse and height
|
| 150 |
+
have uniform local continuity bounds off the seam, including at $S$,
|
| 151 |
+
independent of $D_1,D_2$. Moreover
|
| 152 |
+
\begin{equation}\label{eq:compact-penalty-targets}
|
| 153 |
+
w\ge M^{9/10}\quad\text{where }f\ge9M/10,
|
| 154 |
+
\qquad x\ge1\quad\text{on }\mathcal D_M\cap\{N\le2\eps\},
|
| 155 |
+
\end{equation}
|
| 156 |
+
and
|
| 157 |
+
\begin{equation}\label{eq:compact-penalty-cost}
|
| 158 |
+
\int P_1\le C(L)M^{-1/10},\qquad
|
| 159 |
+
\int P_2\le\omega_M(\eps),\qquad \omega_M(\eps)\longrightarrow0
|
| 160 |
+
\quad(\eps\downarrow0).
|
| 161 |
+
\end{equation}
|
| 162 |
+
The function $\omega_M$ is uniform in the finite strengths and outer
|
| 163 |
+
radius. In particular
|
| 164 |
+
\begin{equation}\label{eq:compact-bad-volume}
|
| 165 |
+
\int_{\mathcal D_M\cap\{x<1-\delta\}}W\le C/L,
|
| 166 |
+
\end{equation}
|
| 167 |
+
where $C$ is independent of $L,M,\eps,D_1,D_2$. On the smooth sides the
|
| 168 |
+
metric $h=x\bar g$ obeys the scalar and boundary identities
|
| 169 |
+
\eqref{eq:compact-scalar} and \eqref{eq:compact-mean-curvature} below.
|
| 170 |
+
Its asymptotically flat mass satisfies
|
| 171 |
+
\begin{equation}\label{eq:compact-mass-budget}
|
| 172 |
+
m_h\le m_o+C(b_*+\delta_0)+C(L)M^{-1/10}+C\omega_M(\eps).
|
| 173 |
+
\end{equation}
|
| 174 |
+
Thus the parameter order is: fix the base data; choose $b_*,\delta_0$
|
| 175 |
+
for the mass tolerance; choose $\delta,a_o$ and then $L$ for the area
|
| 176 |
+
tolerance; choose $M$ large; choose $C_2$; choose $\eps$ small; choose
|
| 177 |
+
the finite strengths; and finally let the outer radius tend to infinity.
|
| 178 |
+
\end{proposition}
|
| 179 |
+
|
| 180 |
+
We prove estimates for positive zeros in the H\"older domain used for
|
| 181 |
+
continuation in Section~\ref{sec:transmission-analysis}, before invoking
|
| 182 |
+
existence. Thus $f\in C^{3,\alpha'}(\overline\Omega_i)$ and
|
| 183 |
+
$N,w\in C^{2,\alpha'}$ on each closed side, for the fixed positive
|
| 184 |
+
exponent $\alpha'$ selected there. This is membership in the domain,
|
| 185 |
+
not an a priori bound on its norm. No a priori derivative bound on a
|
| 186 |
+
cutoff is used in the following finite estimates.
|
| 187 |
+
|
| 188 |
+
\begin{lemma}[Lapse and slope bounds]\label{lem:compact-lapse}
|
| 189 |
+
Every such positive zero, for $0\le u_*\le1$ and sufficiently large
|
| 190 |
+
outer radius, satisfies \eqref{eq:compact-bounds}, with $M$ replacing
|
| 191 |
+
the upper height bound by $u_*M$. These estimates are independent of
|
| 192 |
+
the strengths of $P_1,P_2$ and of all derivatives of $T$.
|
| 193 |
+
\end{lemma}
|
| 194 |
+
|
| 195 |
+
\begin{proof}
|
| 196 |
+
The minimum principle for the height equation gives $f\ge0$ because
|
| 197 |
+
$T\le0$. A maximum exceeding $u_*M$ has $F<0$ and $z=0$, so every
|
| 198 |
+
trace cutoff is fully active in its neighborhood and $T=0$ there.
|
| 199 |
+
The strong maximum principle, applied on the exceeding set, excludes
|
| 200 |
+
such a maximum. Hence $0\le f\le u_*M$.
|
| 201 |
+
|
| 202 |
+
Let $\psi_R$ be harmonic on the truncated exterior, one on
|
| 203 |
+
$\mathcal C$ and zero on $\mathcal S_R$, and set
|
| 204 |
+
$\gamma_R=-\partial_n\psi_R|_{\mathcal C}$. The functions $\gamma_R$
|
| 205 |
+
have uniform positive upper and lower bounds. Also $\psi_R$ has a
|
| 206 |
+
uniform positive lower bound on all exterior source supports. To check
|
| 207 |
+
uniformity, compare $\psi_R$ from below with a fixed finite annular
|
| 208 |
+
capacitary solution and from above with $\psi_\infty$, and apply
|
| 209 |
+
boundary estimates and the Hopf lemma on a fixed collar. Green's
|
| 210 |
+
formula on the exterior and the divergence theorem on the inside give
|
| 211 |
+
\begin{equation}\label{eq:compact-capacity}
|
| 212 |
+
\int_{\Omega_i}\Sigma_+
|
| 213 |
+
+\int_{\Omega_o}\psi_R\Sigma_+
|
| 214 |
+
+\int_{\mathcal C}\gamma_Rs_i
|
| 215 |
+
=\int_{\mathcal C}\gamma_R+\int_S b_*
|
| 216 |
+
-\int_{\Omega_i}\Sigma_-\le C.
|
| 217 |
+
\end{equation}
|
| 218 |
+
For example the seam contribution in the exterior Green formula is
|
| 219 |
+
$-B_n-\gamma_RN_o$, and its far contribution is
|
| 220 |
+
$-\partial_n\psi_R$; the harmonic flux identity for $\psi_R$ gives
|
| 221 |
+
the displayed signs. The constant uses only
|
| 222 |
+
$\int|\Sigma_-|\le C\delta_0$. In particular $\min_{\mathcal C}s_i\le C$.
|
| 223 |
+
|
| 224 |
+
Testing the height equation with $f$ and using its two constant traces
|
| 225 |
+
gives, since $p\cdot\dd f=W^2-1$,
|
| 226 |
+
\begin{equation}\label{eq:compact-height-energy}
|
| 227 |
+
\int_{\Omega_i}(W^2-1)
|
| 228 |
+
=-u_*M\int_S p_n-\int_{\Omega_i}fTN_i
|
| 229 |
+
\le CM\sup_{\Omega_i}N_i.
|
| 230 |
+
\end{equation}
|
| 231 |
+
|
| 232 |
+
For the lower lapse estimate freeze
|
| 233 |
+
$Z=(u_*K+\ell g)v$, which satisfies $|Z|\le C$, and freeze the positive
|
| 234 |
+
seam function $d=s_i/N_i\le1$. Solve the homogeneous density problem
|
| 235 |
+
with current $\nabla\widehat N_i-Z\widehat N_i$ inside, ordinary
|
| 236 |
+
gradient outside, divergence zero, zero current flux at $S$, matching
|
| 237 |
+
current at the seam, $\widehat N_o=d\widehat N_i$, and outer value one.
|
| 238 |
+
This is an independent linear problem. Its scalar Fredholm assertion
|
| 239 |
+
is proved in Lemma~\ref{lem:transmission-fredholm}, using only frozen
|
| 240 |
+
linear estimates, without the present nonlinear estimates. Its adjoint
|
| 241 |
+
has operator $\Delta+Z\cdot\nabla$ inside, ordinary Laplacian outside,
|
| 242 |
+
ordinary Neumann condition at $S$, continuous value at $\mathcal C$,
|
| 243 |
+
and $\partial_n h_i=d\partial_n h_o$ there. The maximum and Hopf
|
| 244 |
+
principles give zero adjoint kernel, hence invertibility. Dual testing
|
| 245 |
+
with nonpositive scalar forcing gives $\widehat N\ge0$. Harnack and
|
| 246 |
+
the Hopf lemma give strict positivity, also at the seam: a zero there
|
| 247 |
+
would be a zero on both sides and the opposite Hopf derivative signs
|
| 248 |
+
contradict current matching. The H\"older domain gives
|
| 249 |
+
$d\in C^{2,\alpha'}$ and $Z\in C^{1,\alpha'}$ (in fact
|
| 250 |
+
$Z\in C^{2,\alpha'}$), so the independent scalar lemma applies
|
| 251 |
+
separately to each frozen problem. Its inverse may depend on these
|
| 252 |
+
coefficient norms. The uniform estimate below uses only $|Z|\le C$
|
| 253 |
+
and $0<d\le1$ and does not use those inverse norms.
|
| 254 |
+
|
| 255 |
+
Put $H_*:=\sup\widehat N_i$. The homogeneous version of
|
| 256 |
+
\eqref{eq:compact-capacity} implies $H_*\ge1$, and exterior comparison
|
| 257 |
+
gives $\widehat N_o\le H_*$. We claim, uniformly in the frozen fields,
|
| 258 |
+
\begin{equation}\label{eq:compact-homogeneous-harnack}
|
| 259 |
+
\inf_{\Omega_i}\widehat N_i\ge cH_*.
|
| 260 |
+
\end{equation}
|
| 261 |
+
Here it is essential that no lower bound on $d$ is required. In Fermi
|
| 262 |
+
coordinates on the two sides reflect the normalized exterior field
|
| 263 |
+
into the inside and add it to $\widehat N_i/H_*$. The two coefficient
|
| 264 |
+
matrices, including volume densities, agree on the face and differ by
|
| 265 |
+
$O(|t|)$ at distance $|t|$ from it. For the positive exterior harmonic
|
| 266 |
+
field, interior gradient estimates and Harnack on balls of radius
|
| 267 |
+
comparable to $|t|$ give
|
| 268 |
+
$|t|\,|\nabla\widehat N_o|\le C\widehat N_o$.
|
| 269 |
+
Consequently the sum $U$ satisfies a uniformly elliptic divergence
|
| 270 |
+
equation with flux correction bounded by $CU$ and zero natural flux
|
| 271 |
+
on the face. Expressing that correction as a bounded vector times $U$
|
| 272 |
+
and reflecting again gives the ordinary divergence drift Harnack
|
| 273 |
+
inequality. Harnack chains on the fixed inner region, together with
|
| 274 |
+
this collar estimate and normalization by the inner supremum, give a
|
| 275 |
+
uniform positive lower bound for $U$ on the seam. The inner trace is
|
| 276 |
+
at least $U/2$, because $\widehat N_o=d\widehat N_i\le\widehat N_i$.
|
| 277 |
+
|
| 278 |
+
To carry this trace bound uniformly into a collar, take a smooth small
|
| 279 |
+
half-domain of radius $h$ in an inner chart and replace the normalized
|
| 280 |
+
inner field by its harmonic function with the same boundary data.
|
| 281 |
+
The replacement error is at most $Ch$: the divergence forcing
|
| 282 |
+
$Z\widehat N_i/H_*$ is bounded, and scaled zero-Dirichlet
|
| 283 |
+
$W^{1,p}$ estimates with $p>3$ give precisely that bound. The harmonic
|
| 284 |
+
replacement has a fixed positive lower bound centrally up to its
|
| 285 |
+
flat face, by the lower face data and nonnegative remaining data.
|
| 286 |
+
First choose $h$ small enough and then use interior Harnack chains.
|
| 287 |
+
This proves \eqref{eq:compact-homogeneous-harnack}.
|
| 288 |
+
|
| 289 |
+
The ratio $r_N=N/\widehat N$ is continuous across the seam. On a
|
| 290 |
+
sublevel $r_N<\eps/H_*$ we have $N<\eps$, so $\Sigma_+=0$ and
|
| 291 |
+
$\Sigma_-\le0$. Dividing the density equation by $\widehat N$ gives
|
| 292 |
+
a scalar supersolution inequality with no zeroth order term.
|
| 293 |
+
At the seam its normal derivatives match with positive weights
|
| 294 |
+
$\widehat N_i,\widehat N_o$; the flux $-b_*$ at $S$ has the favorable
|
| 295 |
+
sign for a minimum. The minimum and boundary point principles exclude
|
| 296 |
+
a minimum below $\eps/H_*$. Therefore
|
| 297 |
+
$N_i\ge(\eps/H_*)\widehat N_i\ge c\eps$.
|
| 298 |
+
|
| 299 |
+
Next suppose, with $L$ fixed, that the upper estimate fails. Along a
|
| 300 |
+
sequence write $N_*:=\sup N_i$ with $N_*/M\to\infty$. The exterior
|
| 301 |
+
maximum is bounded by $\max(N_*,1)$ since $\Delta N_o\ge0$.
|
| 302 |
+
By \eqref{eq:compact-height-energy},
|
| 303 |
+
\[
|
| 304 |
+
\|\Sigma_+/N_*\|_{L^2(\Omega_i)}
|
| 305 |
+
\le CL\bigl(N_*^{-2}+M/N_*\bigr)^{1/2}\longrightarrow0.
|
| 306 |
+
\]
|
| 307 |
+
The normalized negative source also tends to zero, and the exterior
|
| 308 |
+
source tends uniformly to zero. Equation~\eqref{eq:compact-capacity}
|
| 309 |
+
shows that $N_o/N_*$ has seam trace tending to zero in $L^1$.
|
| 310 |
+
The normalized exterior field tends to zero on every open exterior
|
| 311 |
+
compact set. Indeed it is bounded above by $N_*^{-1}$ plus the positive
|
| 312 |
+
harmonic extension, decaying at infinity, of its nonnegative seam
|
| 313 |
+
trace. That extension is bounded by $\psi_\infty$ and tends locally
|
| 314 |
+
to zero off the seam by the $L^1$ trace convergence, using a fixed
|
| 315 |
+
annular Poisson estimate and then the decay of $\psi_\infty$.
|
| 316 |
+
|
| 317 |
+
The reflected sum of the actual normalized lapses is uniformly
|
| 318 |
+
H\"older continuous up to the seam by the preceding reflected-sum
|
| 319 |
+
argument, now with scalar forcing tending to zero in $L^2$.
|
| 320 |
+
Interior Laplace divergence estimates give the same compactness away
|
| 321 |
+
from the seam and at $S$. After passage to a subsequence the open
|
| 322 |
+
inner limit $V$ extends continuously to the seam using the limit of
|
| 323 |
+
the sum. It is nonnegative and nonzero: an inner supremum equal to one
|
| 324 |
+
either lies away from the seam or gives a sum at least one in the
|
| 325 |
+
seam collar. With $Z$ converging weakly star, this limit satisfies the
|
| 326 |
+
homogeneous density equation with natural zero flux on both inner
|
| 327 |
+
faces. Here is a way to justify the latter assertion without individual
|
| 328 |
+
inner trace compactness. Use inner smooth test functions with ordinary
|
| 329 |
+
zero normal derivative at both faces, extended across the seam with
|
| 330 |
+
matching values and outer support in the harmonic collar. Integrate
|
| 331 |
+
the lapse derivatives onto the tests. All outer volume and trace
|
| 332 |
+
terms vanish by the convergence just proved, as do the normalized
|
| 333 |
+
sources and $b_*$. Thus
|
| 334 |
+
\[
|
| 335 |
+
\int_{\Omega_i}\bigl(V\Delta\varphi+VZ_\infty\cdot\nabla\varphi\bigr)=0
|
| 336 |
+
\quad\text{for every smooth ordinary Neumann test }\varphi.
|
| 337 |
+
\]
|
| 338 |
+
Solve the Neumann Laplace problem with divergence datum $VZ_\infty$.
|
| 339 |
+
Testing the difference by Neumann Poisson solutions shows that its
|
| 340 |
+
solution differs from $V$ by a constant. Hence $V\in H^1$ and the
|
| 341 |
+
natural zero-flux equation holds in the usual weak sense. Reflection
|
| 342 |
+
and Harnack show $V>0$ on the whole closed inner region. In particular
|
| 343 |
+
the original normalized inner fields are bounded below away from the
|
| 344 |
+
seam; near it the sum, the trace inequality, and the harmonic
|
| 345 |
+
replacement argument above give the same lower bound. The replacement
|
| 346 |
+
error now has the additional vanishing scaled $L^2$ forcing term.
|
| 347 |
+
|
| 348 |
+
We reach a contradiction by the differential estimate of
|
| 349 |
+
Lemma~\ref{lem:gradient-maximum}. Put $G=-\log s$ and maximize
|
| 350 |
+
$G+j(f)$ on $\Omega_i$, where
|
| 351 |
+
$j(f)=D(f^2-2Mf)$ and $D>0$ is fixed sufficiently large depending on
|
| 352 |
+
$L$. Since $j\le0$ on the height range and $j(0)=0$,
|
| 353 |
+
at the maximum $s\le\min_{\mathcal C}s\le C$. Since
|
| 354 |
+
$N_i\ge cN_*$ there, $y\to1$. At an interior maximum that lemma gives
|
| 355 |
+
\begin{equation}\label{eq:compact-gradient-test}
|
| 356 |
+
j''q|\dd f|^2\le C\{1+\Sigma_+/N_i+
|
| 357 |
+
(1-y)^2(j'|\dd f|)^2\},\qquad
|
| 358 |
+
q=\frac{1-y}{1+y}.
|
| 359 |
+
\end{equation}
|
| 360 |
+
Use $q|\dd f|^2=J/s^2$, $J=y/(1+y)$,
|
| 361 |
+
$\Sigma_+/N_i\le L/s$, and
|
| 362 |
+
$(1-y)^2(j'|\dd f|)^2\le(j'/N_i)^2=o(1)$.
|
| 363 |
+
Multiplication by $s^2$ contradicts \eqref{eq:compact-gradient-test}
|
| 364 |
+
once $D$ exceeds a fixed multiple of $1+L$ and the fixed upper bounds
|
| 365 |
+
for $s^2$ and $s$ at this maximum.
|
| 366 |
+
|
| 367 |
+
At a constant-height boundary, write $\widehat z=v\cdot n\le0$.
|
| 368 |
+
Lemma~\ref{lem:graph-boundary} gives
|
| 369 |
+
\begin{equation}\label{eq:compact-boundary-gradient}
|
| 370 |
+
d^2\partial_n(G+j(f))
|
| 371 |
+
=-B_n/N_i+u_*k_T\widehat z-yH+j'\widehat z/N_i.
|
| 372 |
+
\end{equation}
|
| 373 |
+
At $S$ this is strictly positive because $j'\le0$, $H\le0$,
|
| 374 |
+
$k_T<0$, and $B_n=-b_*$. That is impossible for an inward derivative
|
| 375 |
+
at a maximum. At a seam maximum $s$ is its seam minimum. The positive
|
| 376 |
+
harmonic exterior lapse on the fixed collar satisfies
|
| 377 |
+
$B_n\ge-Cs$ at that point: compare with the seam minimum times a
|
| 378 |
+
fixed harmonic function equal to one on the seam and zero on the
|
| 379 |
+
other collar boundary. Equation~\eqref{eq:compact-boundary-gradient}
|
| 380 |
+
is then at most $Cd+|k_T|z-yH_i+o(1)<0$, using
|
| 381 |
+
$H_i>|k_T|$. That is impossible for an outward derivative at a maximum.
|
| 382 |
+
This proves $N_i,N_o\le C(L)M$ and, by
|
| 383 |
+
\eqref{eq:compact-height-energy}, the stated $L^2$ estimate for $W$.
|
| 384 |
+
|
| 385 |
+
Finally keep $M,L$ fixed and suppose $\inf s_i/\eps\to0$.
|
| 386 |
+
Choose a fixed smooth $j$ on $[0,M]$ with $j''>0$ and
|
| 387 |
+
$0<j'<b_*/2$. At a maximum of $G+j(f)$, bounded oscillation of $j$
|
| 388 |
+
implies $s_i/\eps\to0$. The lapse floor gives $y\to1$.
|
| 389 |
+
Multiply \eqref{eq:compact-gradient-test} by $s^2$: its left side
|
| 390 |
+
stays positive, while its right side is bounded by
|
| 391 |
+
$C(s^2+Ls+(j')^2d^2)$ and tends to zero. At $S$, the first and last
|
| 392 |
+
terms of \eqref{eq:compact-boundary-gradient} have sum at least
|
| 393 |
+
$(b_*-j')/N_i>0$. At the seam its last term is nonpositive, and the
|
| 394 |
+
same harmonic collar comparison makes the derivative strictly
|
| 395 |
+
negative. These contradictions prove $s_i\ge c(M,L)\eps$.
|
| 396 |
+
On the exterior, below the level $\eps$ the positive source vanishes
|
| 397 |
+
and the lapse is harmonic. Its boundary values and the minimum
|
| 398 |
+
principle therefore give $N_o\ge c(M,L)\eps$ too.
|
| 399 |
+
\end{proof}
|
| 400 |
+
|
| 401 |
+
\begin{lemma}[Finite penalty selection]\label{lem:compact-penalties}
|
| 402 |
+
For fixed preceding parameters the sources can be selected with finite
|
| 403 |
+
strengths to obtain \eqref{eq:compact-penalty-targets}--\eqref{eq:compact-bad-volume}
|
| 404 |
+
in every actual positive solution, uniformly in the outer truncation.
|
| 405 |
+
Their costs obey \eqref{eq:compact-penalty-cost}.
|
| 406 |
+
\end{lemma}
|
| 407 |
+
|
| 408 |
+
\begin{proof}
|
| 409 |
+
All assertions in this proof concern $u_*=1$. First choose
|
| 410 |
+
$C_2\ge c(M,L)^{-1}$ from Lemma~\ref{lem:compact-lapse}, so that
|
| 411 |
+
$sT_2\ge1$. This precedes the choice of $\eps$. For a piecewise
|
| 412 |
+
Lipschitz test $\varphi$ with common seam value and zero outer value,
|
| 413 |
+
testing the positive $w$ equation with $\varphi^2/w$ gives
|
| 414 |
+
\begin{equation}\label{eq:compact-penalty-test}
|
| 415 |
+
\int P\frac{\varphi^2}{w}\le\int A(\dd\varphi,\dd\varphi).
|
| 416 |
+
\end{equation}
|
| 417 |
+
Indeed the omitted term $\Sigma_+x\varphi^2/w$ is nonnegative,
|
| 418 |
+
and completing the square in the two derivative terms gives the
|
| 419 |
+
right side. Flux matching cancels the seam terms and the inner flux
|
| 420 |
+
is zero.
|
| 421 |
+
|
| 422 |
+
Take $\varphi=f/M$, extended by zero outside. Directly from
|
| 423 |
+
\eqref{eq:compact-constitutive},
|
| 424 |
+
$A(\dd f,\dd f)=W-W^{-1}$. On the support of $P_1$ we have
|
| 425 |
+
$\varphi>1/2$ and $w<4T_1$. Thus
|
| 426 |
+
\[
|
| 427 |
+
\int P_1\le\frac{16T_1}{M^2}\int_{\Omega_i}W
|
| 428 |
+
\le C(L)M^{-1/10},
|
| 429 |
+
\]
|
| 430 |
+
by Cauchy--Schwarz and \eqref{eq:compact-bounds}.
|
| 431 |
+
|
| 432 |
+
For $P_2$ take spatial localizers equal to one on its supports and
|
| 433 |
+
vanishing on slightly larger collars of the seam, multiplied by a
|
| 434 |
+
scalar cutoff of $N/\eps$ which is one below four and zero above five.
|
| 435 |
+
These tests may meet $S$ and have zero seam value on each side. Since
|
| 436 |
+
$A\le N^2g_{\rm base}^{-1}$ and $w<4T_2$ on the source support,
|
| 437 |
+
\begin{equation}\label{eq:compact-low-lapse-cost}
|
| 438 |
+
\int P_2\le C_M\eps+
|
| 439 |
+
C_M\eps^{-1}\int_{\mathcal U\cap\{N<5\eps\}}|\nabla N|^2.
|
| 440 |
+
\end{equation}
|
| 441 |
+
The fixed localization sets $\mathcal U$ stay away from the seam;
|
| 442 |
+
constants here may depend on $M$ and every preceding parameter.
|
| 443 |
+
Testing the lapse equation with a squared spatial cutoff times
|
| 444 |
+
$(6\eps-N)^+$ gives
|
| 445 |
+
\begin{equation}\label{eq:compact-low-lapse-energy}
|
| 446 |
+
\int_{\mathcal U\cap\{N<5\eps\}}|\nabla N|^2
|
| 447 |
+
\le C_M\eps^2+
|
| 448 |
+
C\eps\int_{\mathcal U'\cap\{N<6\eps\}}\Sigma_+.
|
| 449 |
+
\end{equation}
|
| 450 |
+
To check the signs, on this sublevel the current correction has size
|
| 451 |
+
at most $CN\le C\eps$, so Young's inequality absorbs its gradient
|
| 452 |
+
term and the cutoff terms cost $C_M\eps^2$. The negative source can
|
| 453 |
+
be discarded. At $S$ the outward current equals $b_*>0$, so its
|
| 454 |
+
contribution decreases the right side of the energy inequality.
|
| 455 |
+
|
| 456 |
+
We next prove that the last integral tends uniformly to zero as
|
| 457 |
+
$\eps\downarrow0$. This step does not use a positive lapse floor.
|
| 458 |
+
If uniformity failed, take a violating sequence. Equations
|
| 459 |
+
\eqref{eq:compact-height-energy} and \eqref{eq:compact-bounds} bound
|
| 460 |
+
the positive sources in $L^2$, independently of $\eps$ and the
|
| 461 |
+
strengths. The lapse equation with bounded divergence datum $ZN$
|
| 462 |
+
therefore gives local $W^{1,p}$ bounds for every $3<p<6$, also at $S$
|
| 463 |
+
with the fixed flux data. After passing to a subsequence, the lapses
|
| 464 |
+
converge uniformly to a nonnegative function $V$ on the localization
|
| 465 |
+
sets, the drifts converge weakly star, and the sources converge weakly
|
| 466 |
+
in $L^2$. The limit equation has the form
|
| 467 |
+
\[
|
| 468 |
+
\Delta V=\divg(Z_\infty V)+g_1.
|
| 469 |
+
\]
|
| 470 |
+
The negative-source limit vanishes almost everywhere on $\{V=0\}$
|
| 471 |
+
because $|\Sigma_-|\le CN$.
|
| 472 |
+
|
| 473 |
+
For completeness the scalar source $g_1$ also vanishes there. Let
|
| 474 |
+
$q$ be a density point of $\{V=0\}$ and a Lebesgue point of $g_1$
|
| 475 |
+
and $|g_1|^2$ in an interior chart. Rescale a ball of radius $r$ to a
|
| 476 |
+
unit ball and divide $V$ by $r^2$. The resulting nonnegative functions
|
| 477 |
+
vanish at the center. The inhomogeneous Harnack estimate gives a
|
| 478 |
+
uniform bound on a smaller ball: the rescaled drift is $rZ_\infty$,
|
| 479 |
+
and the rescaled scalar forcing has bounded $L^2$ norm at this
|
| 480 |
+
Lebesgue point. Since the zero sets occupy a fraction tending to one,
|
| 481 |
+
the rescaled functions tend to zero in local $L^1$. Testing their
|
| 482 |
+
equations against a fixed smooth bump, with derivatives transferred
|
| 483 |
+
to that bump, gives $g_1(q)=0$. Thus the nonnegative positive-source
|
| 484 |
+
limit $\sigma_+$ vanishes almost everywhere on $\{V=0\}$ as well.
|
| 485 |
+
Boundary points do not matter for these volume integrals. For each
|
| 486 |
+
$t>0$, uniform convergence implies
|
| 487 |
+
$\{N<6\eps\}\subset\{V\le t\}$ along the sequence eventually.
|
| 488 |
+
Weak $L^2$ convergence, tested against the characteristic function of
|
| 489 |
+
this fixed set, and then $t\downarrow0$, show
|
| 490 |
+
\[
|
| 491 |
+
\limsup\int_{\mathcal U'\cap\{N<6\eps\}}\Sigma_+
|
| 492 |
+
\le\int_{\mathcal U'\cap\{V=0\}}\sigma_+=0.
|
| 493 |
+
\]
|
| 494 |
+
Combining this with \eqref{eq:compact-low-lapse-cost} and
|
| 495 |
+
\eqref{eq:compact-low-lapse-energy} proves the second cost in
|
| 496 |
+
\eqref{eq:compact-penalty-cost}, uniformly in both strengths.
|
| 497 |
+
|
| 498 |
+
Now fix such an $\eps$. The lapse and slope bounds give uniform
|
| 499 |
+
ellipticity, independent of strengths. They also give uniform
|
| 500 |
+
continuity of $N$ and $f$ on the localization sets. For $N$, use the
|
| 501 |
+
same Laplace divergence estimates, now with bounded scalar forcing;
|
| 502 |
+
for $f$ the already established gradient bound suffices. Consequently
|
| 503 |
+
each point with $f\ge9M/10$ has a neighborhood of a uniform positive
|
| 504 |
+
radius on which $f\ge4M/5$. It is uniformly separated from the seam
|
| 505 |
+
unless the neighborhood ends at $S$, where the constant trace permits
|
| 506 |
+
reflection. Likewise every point of
|
| 507 |
+
$\mathcal D_M\cap\{N\le2\eps\}$ has a uniform neighborhood within
|
| 508 |
+
the full spatial cutoff range and with $N\le3\eps$.
|
| 509 |
+
|
| 510 |
+
In either neighborhood let $T_j$ be its corresponding threshold.
|
| 511 |
+
The volume of $\{w\le2T_j\}$ there is at most
|
| 512 |
+
$D_j^{-1}\int P_j$, hence tends uniformly to zero as $D_j\to\infty$.
|
| 513 |
+
The function $(2T_j-w)^+$ is a bounded weak subsolution of the
|
| 514 |
+
homogeneous scalar divergence equation with coefficient $A$.
|
| 515 |
+
Its local supremum is bounded by its $L^2$ mean, with a uniform
|
| 516 |
+
constant on these fixed neighborhoods; at $S$ use the homogeneous
|
| 517 |
+
natural-flux reflection. Since its support has the preceding small
|
| 518 |
+
volume and its value is at most $2T_j$, this supremum is strictly
|
| 519 |
+
less than $T_j$ once the strength is sufficiently large. This gives
|
| 520 |
+
$w\ge T_1$ on the height target and $w\ge T_2$ on the low-lapse
|
| 521 |
+
target. The latter implies $x\ge1$ since $sT_2\ge1$.
|
| 522 |
+
The choices can be made with a strict margin, so the weak inequalities
|
| 523 |
+
survive limits of outer truncations.
|
| 524 |
+
|
| 525 |
+
If $x<1-\delta$ at a designated point, the second target now forces
|
| 526 |
+
$N>2\eps$. All cutoffs in $\Sigma_+$ equal one, so
|
| 527 |
+
$\Sigma_+=LW$ there. Apply \eqref{eq:compact-capacity}, using the
|
| 528 |
+
positive lower bound of $\psi_R$ on the common exterior support.
|
| 529 |
+
This proves \eqref{eq:compact-bad-volume} with a constant independent
|
| 530 |
+
of $L,M,\eps$ and the strengths.
|
| 531 |
+
\end{proof}
|
| 532 |
+
|
| 533 |
+
\begin{proof}[Proof of Proposition~\ref{prop:compact-solutions}]
|
| 534 |
+
Choose the parameters in the stated order, using
|
| 535 |
+
Lemmas~\ref{lem:compact-lapse} and \ref{lem:compact-penalties}.
|
| 536 |
+
Proposition~\ref{prop:transmission-existence}, proved independently in
|
| 537 |
+
the next section, now supplies a positive zero for each sufficiently
|
| 538 |
+
large compact truncation. Its hypotheses are exactly the finite
|
| 539 |
+
smooth cutoffs above, the homotopy bounds of
|
| 540 |
+
Lemma~\ref{lem:compact-lapse}, and the fixed exterior harmonic collar.
|
| 541 |
+
Its continuation starts with the ordinary scalar transmission problem
|
| 542 |
+
at $u_*=0$; it does not assume solvability of the coupled problem.
|
| 543 |
+
That proposition also supplies an expanding-truncation subsequence
|
| 544 |
+
converging smoothly on compact subsets of each closed side, with
|
| 545 |
+
$N_o,w\to1$ at infinity. All the bounds and penalty conclusions pass
|
| 546 |
+
to this limit. This is the only invocation of nonlinear existence in
|
| 547 |
+
the present proof.
|
| 548 |
+
|
| 549 |
+
We record the geometric conclusions precisely. Set
|
| 550 |
+
$\pi=N_i^{-1}\operatorname{sym}\nabla p^\flat$,
|
| 551 |
+
$\lambda=\pi-K$ inside, and set these fields to zero outside.
|
| 552 |
+
Lemma~\ref{lem:graph-current}, applied at $u_*=1$, gives
|
| 553 |
+
\begin{equation}\label{eq:compact-scalar}
|
| 554 |
+
xR_h=D(v)+|\lambda|^2-\ell^2-2\Sigma_-/N
|
| 555 |
+
+2P/(Nx)+\tfrac32|\dd\log x|_{\bar g}^2.
|
| 556 |
+
\end{equation}
|
| 557 |
+
On the exterior take $D=R_{g_o}=0$. The current
|
| 558 |
+
$Q=B+A\dd w$ has matching normal flux and
|
| 559 |
+
$\divg Q=(1-x)\Sigma_++\Sigma_- -P$. At a constant-height face,
|
| 560 |
+
Lemma~\ref{lem:graph-boundary} gives
|
| 561 |
+
\begin{equation}\label{eq:compact-mean-curvature}
|
| 562 |
+
s\sqrt{x}\,H_h
|
| 563 |
+
=N(H-k_T\widehat z)+B_n+(A\dd w)_n/x.
|
| 564 |
+
\end{equation}
|
| 565 |
+
At $S$ this is strictly negative. At $\mathcal C$ the induced metrics
|
| 566 |
+
agree, because $s_i=N_o$ and $w$ is continuous. The seam mean
|
| 567 |
+
curvatures satisfy $H_{h,i}\ge H_{h,o}$ in the specified direction:
|
| 568 |
+
the flux terms agree and
|
| 569 |
+
\[
|
| 570 |
+
H_i-k_T\widehat z\ge
|
| 571 |
+
\sqrt{1-\widehat z^2}\sqrt{H_i^2-k_T^2},
|
| 572 |
+
\]
|
| 573 |
+
as follows by squaring, since the difference of squares is
|
| 574 |
+
$(H_i\widehat z-k_T)^2$ and both relevant sides are nonnegative.
|
| 575 |
+
|
| 576 |
+
Beyond the fixed source supports, both $N_o$ and $x=N_ow$ are
|
| 577 |
+
harmonic and tend to one. Radial barriers and scaled estimates give
|
| 578 |
+
$N_o-1,x-1=O_2(|x'|^{-\beta})$ for every fixed $1/2<\beta<1$.
|
| 579 |
+
Thus $h=xg_o$ is asymptotically flat, and the flux of $Q$ equals
|
| 580 |
+
the limiting flux of $\nabla x$; the remaining terms have vanishing
|
| 581 |
+
integral by $2\beta>1$. The linear conformal ADM variation is
|
| 582 |
+
$m_h-m_o=-(8\pi)^{-1}\lim\int\partial_nx$. Integration of the
|
| 583 |
+
current equation therefore gives the exact identity
|
| 584 |
+
\begin{equation}\label{eq:compact-mass}
|
| 585 |
+
8\pi(m_h-m_o)
|
| 586 |
+
=\int_S b_*+\int\bigl[(x-1)\Sigma_++P-\Sigma_-\bigr].
|
| 587 |
+
\end{equation}
|
| 588 |
+
Since the support of $\Sigma_+$ has $x<1$, discarding its contribution
|
| 589 |
+
and using the source costs proves \eqref{eq:compact-mass-budget}.
|
| 590 |
+
The scalar curvature decays as $O(|x'|^{-2-2\beta})$ on the end,
|
| 591 |
+
by \eqref{eq:compact-scalar}; this has integrable decay since
|
| 592 |
+
$2+2\beta>3$.
|
| 593 |
+
\end{proof}
|
| 594 |
+
|
| 595 |
+
The omitted collars have a controlled cost in the area comparison.
|
| 596 |
+
Indeed $W=1$ outside, and the inner omitted collar has volume
|
| 597 |
+
$O(M^{-4})$. Hence
|
| 598 |
+
\begin{equation}\label{eq:compact-full-bad-volume}
|
| 599 |
+
\int_{\{x<1-\delta\}}W
|
| 600 |
+
\le C/L+C a_o+C(L)M^{-1}.
|
| 601 |
+
\end{equation}
|
| 602 |
+
This uses \eqref{eq:compact-capacity-comparison} outside $R_\delta$
|
| 603 |
+
and Cauchy--Schwarz with \eqref{eq:compact-bounds} in the inner
|
| 604 |
+
collar. It explains why $a_o$ and $L$ are chosen before $M$.
|
| 605 |
+
Finally the possible negative scalar curvature is confined to the
|
| 606 |
+
closed set defined by the weak inequalities in
|
| 607 |
+
\eqref{eq:compact-trace-cutoff} and $N_i\ge\delta_0$.
|
| 608 |
+
Outside that set either $\ell=0$ or $\zeta=1$, and
|
| 609 |
+
\eqref{eq:compact-scalar} is nonnegative. On that set the height
|
| 610 |
+
penalty and $z\le1/2$ give
|
| 611 |
+
$x\ge(\sqrt3/2)\delta_0M^{9/10}$, so
|
| 612 |
+
$R_h\ge-C\delta_0^{-1}M^{-9/10}$ everywhere on the smooth sides.
|
| 613 |
+
The geometric treatment of this exceptional set is the content of
|
| 614 |
+
Section~\ref{sec:scalar-error}.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/08-transmission-analysis.tex
ADDED
|
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|
| 1 |
+
\section{Regularity and continuation at the transmission surface}
|
| 2 |
+
\label{sec:transmission-analysis}
|
| 3 |
+
|
| 4 |
+
We prove the existence assertion needed in Section~\ref{sec:compact-construction}.
|
| 5 |
+
Throughout this section all parameters, including the penalty strengths, are
|
| 6 |
+
finite. Constants in estimates for the lapse and height state may depend on
|
| 7 |
+
the fixed parameters preceding the strengths, but not on those strengths.
|
| 8 |
+
Constants involving the conformal factor or higher derivatives may also
|
| 9 |
+
depend on the strengths. Neither assertion requires uniform ellipticity as
|
| 10 |
+
the internal parameters tend to their final limits.
|
| 11 |
+
|
| 12 |
+
Write $\Omega_R=\Omega_i\cup_{\mathcal C}\Omega_{o,R}$, with far boundary
|
| 13 |
+
$S_R$. On both sides of $\mathcal C$ the normal $n$ points toward the end.
|
| 14 |
+
Thus equality of the two $n$-fluxes is the condition for cancellation in
|
| 15 |
+
Green's formula. The two base metrics have the same induced metric at
|
| 16 |
+
$\mathcal C$. Joined Fermi charts have coordinates $(z',t)$, with
|
| 17 |
+
$t<0$ inside, $t>0$ outside, and $n=\partial_t$ at the face. Coordinate
|
| 18 |
+
divergence currents below include the relevant volume density. We retain
|
| 19 |
+
the notation $d=s/N$, $y=1-d^2$, $q=(1-y)/(1+y)$,
|
| 20 |
+
$I=(1+y)^{-1}$, $J=y/(1+y)$, and $\beta=2/(1+y)$ from the graph calculus.
|
| 21 |
+
|
| 22 |
+
\begin{proposition}[Finite-parameter transmission existence]
|
| 23 |
+
\label{prop:transmission-existence}
|
| 24 |
+
Fix the smooth compact base data and AF attachment of
|
| 25 |
+
Section~\ref{sec:compact-construction}, with $H_i>|k_T|$ on
|
| 26 |
+
$\mathcal C$, $H_g(S)\leq0$, and the smooth negative definite synthetic
|
| 27 |
+
tensor $K$. Fix positive finite parameters and smooth cutoffs as in
|
| 28 |
+
\eqref{eq:compact-system}--\eqref{eq:compact-trace-cutoff}, including a
|
| 29 |
+
source-free exterior collar of $\mathcal C$ and the constant $b_*>0$.
|
| 30 |
+
Then on every sufficiently large smooth truncation there is a positive
|
| 31 |
+
piecewise smooth solution of \eqref{eq:compact-system} and
|
| 32 |
+
\eqref{eq:compact-boundary} at $u_*=1$.
|
| 33 |
+
|
| 34 |
+
At these fixed parameters a subsequence of such solutions as $R\to\infty$
|
| 35 |
+
converges smoothly on each closed side on compact subsets to a positive
|
| 36 |
+
piecewise smooth solution on the full joined exterior. Its end values are
|
| 37 |
+
$N_o,w\to1$. The bounds in \eqref{eq:compact-bounds} hold, and all
|
| 38 |
+
compact-set derivative bounds are uniform in $R$. The penalty conclusions
|
| 39 |
+
in Section~\ref{sec:compact-construction}, when the strengths have been
|
| 40 |
+
chosen there, therefore hold for these solutions.
|
| 41 |
+
\end{proposition}
|
| 42 |
+
|
| 43 |
+
The proof uses the a priori estimates of Lemma~\ref{lem:compact-lapse},
|
| 44 |
+
which were proved for positive classical zeros without assuming existence.
|
| 45 |
+
The scalar linear transmission fact used in that lemma is established
|
| 46 |
+
independently below as part of Lemma~\ref{lem:transmission-fredholm}.
|
| 47 |
+
In particular there is no appeal to
|
| 48 |
+
Proposition~\ref{prop:compact-solutions} in proving this proposition.
|
| 49 |
+
|
| 50 |
+
\subsection{Energy and oscillation of the lapse and height state}
|
| 51 |
+
|
| 52 |
+
For the moment consider any positive homotopy zero in the continuation
|
| 53 |
+
domain: $f\in C^{3,\alpha'}$ on the closed inner side and
|
| 54 |
+
$N,w\in C^{2,\alpha'}$ on each closed side, with $\alpha'>0$.
|
| 55 |
+
No bound for these norms is assumed. The exponent $\gamma$ obtained
|
| 56 |
+
below depends only on the finite state bounds, so the continuation
|
| 57 |
+
domain can subsequently be fixed with $\alpha'<\gamma$.
|
| 58 |
+
The finite bounds in \eqref{eq:compact-bounds} give positive constants
|
| 59 |
+
$c_0,C_0$ such that
|
| 60 |
+
\begin{equation}
|
| 61 |
+
c_0\leq N_i,s_i,N_o\leq C_0,
|
| 62 |
+
\qquad |\dd f|\leq C_0.
|
| 63 |
+
\label{eq:transmission-state-range}
|
| 64 |
+
\end{equation}
|
| 65 |
+
Here and below an estimate for $s$ on the exterior means the same estimate
|
| 66 |
+
for $N_o$. The scalar lapse sources and the drift
|
| 67 |
+
$(u_*K+\ell g)p$ are bounded at this stage; their derivatives are not used.
|
| 68 |
+
|
| 69 |
+
\begin{lemma}[Continuity at the nonlinear seam]
|
| 70 |
+
\label{lem:seam-holder}
|
| 71 |
+
For the state range \eqref{eq:transmission-state-range}, there are
|
| 72 |
+
$\gamma>0$ and $C<\infty$ such that
|
| 73 |
+
\begin{equation}
|
| 74 |
+
\|N_i\|_{C^\gamma(\overline\Omega_i)}
|
| 75 |
+
+\|\dd f\|_{C^\gamma(\overline\Omega_i)}
|
| 76 |
+
+\|N_o\|_{C^\gamma(K\cap\overline\Omega_o)}\leq C
|
| 77 |
+
\label{eq:transmission-holder}
|
| 78 |
+
\end{equation}
|
| 79 |
+
on every fixed compact set $K$. The constants are uniform over homotopy
|
| 80 |
+
zeros and sufficiently large outer truncations. They depend on the finite
|
| 81 |
+
state range, bounds for the undifferentiated height and lapse sources,
|
| 82 |
+
and the fixed geometry, but not on derivatives of $T$ or the strength of
|
| 83 |
+
$P$.
|
| 84 |
+
\end{lemma}
|
| 85 |
+
|
| 86 |
+
\begin{proof}
|
| 87 |
+
Away from $\mathcal C$, the lapse equation is a smooth metric Laplace
|
| 88 |
+
equation with bounded divergence forcing and bounded scalar forcing.
|
| 89 |
+
Its local $W^{1,p}$ bounds hold for some $p>3$, also up to $S$ with its
|
| 90 |
+
natural current flux. The prescribed constant flux at $S$ can be put in
|
| 91 |
+
the current by a smooth bounded extension before reflection. Differentiating
|
| 92 |
+
the divergence height equation gives scalar uniformly elliptic equations
|
| 93 |
+
for the coordinate derivatives of $f$. Their divergence forcing contains
|
| 94 |
+
first derivatives of $N$, bounded in $L^p$, and the bounded scalar height
|
| 95 |
+
forcing, put into the corresponding component of the differentiated
|
| 96 |
+
current. In particular differentiating that scalar forcing in the weak
|
| 97 |
+
equation does not require a bound for $\dd T$.
|
| 98 |
+
The inhomogeneous scalar divergence estimate gives H\"older bounds for
|
| 99 |
+
$\dd f$. At $S$ subtract the constant height and reflect it oddly, the
|
| 100 |
+
lapse evenly, and the metric with its tensor parities in an orthogonal
|
| 101 |
+
collar. The reflected metric is Lipschitz. The height flux satisfies the
|
| 102 |
+
weak reflected equation, since its normal component has the required even
|
| 103 |
+
parity. Difference quotients justify differentiation there. These
|
| 104 |
+
arguments prove the assertion away from the seam.
|
| 105 |
+
|
| 106 |
+
At the seam we first bound energy weighted by inverse distance.
|
| 107 |
+
A modified Newton current then gives an estimate relative to compatible
|
| 108 |
+
constant states. The weighted bound supplies a uniformly positive
|
| 109 |
+
scale of small excess; a blowup to an explicit linear transmission
|
| 110 |
+
problem gives excess decay and hence H\"older continuity.
|
| 111 |
+
|
| 112 |
+
\smallskip\noindent\emph{Weighted energy.}
|
| 113 |
+
Set
|
| 114 |
+
\begin{equation}
|
| 115 |
+
E=\begin{cases}|\nabla N_i|^2+|\nabla^2 f|^2,&t<0,\\
|
| 116 |
+
|\nabla N_o|^2,&t>0,
|
| 117 |
+
\end{cases}
|
| 118 |
+
\qquad G=-\log s,\qquad Y=s^{-k_0},
|
| 119 |
+
\label{eq:transmission-energy-definition}
|
| 120 |
+
\end{equation}
|
| 121 |
+
where $k_0$ is sufficiently large for
|
| 122 |
+
Lemma~\ref{lem:gradient-energy}. On the inside its divergence matrix is
|
| 123 |
+
$\rho\mathcal P$, where $\rho=(1+y)/d$, and on the outside it is the
|
| 124 |
+
base cometric. After including the volume densities, these give a bounded
|
| 125 |
+
symmetric uniformly elliptic matrix $a$ in the joined chart.
|
| 126 |
+
$Y$ is continuous across the face because $N_o=s_i$ there.
|
| 127 |
+
The energy identity and the boundary identity give
|
| 128 |
+
\begin{equation}
|
| 129 |
+
\partial_j(a^{jk}\partial_kY)
|
| 130 |
+
\geq cE-C-C\delta_{\mathcal C}.
|
| 131 |
+
\label{eq:transmission-joined-energy}
|
| 132 |
+
\end{equation}
|
| 133 |
+
This is a distributional inequality. Indeed $\rho q=d$ on a
|
| 134 |
+
Dirichlet-height face, and the inner normal $Y$-flux is
|
| 135 |
+
$-k_0YB_n/s+O(1)$, whereas the outer one is $-k_0YB_n/s$.
|
| 136 |
+
The bounded discrepancy is precisely the surface term in
|
| 137 |
+
\eqref{eq:transmission-joined-energy}.
|
| 138 |
+
|
| 139 |
+
Fix concentric chart balls strictly contained in a larger joined chart.
|
| 140 |
+
Let $\theta_\varepsilon$ be the zero Dirichlet Green potential, for
|
| 141 |
+
$-\partial(a\partial)$ on the larger ball, of a nonnegative normalized
|
| 142 |
+
bump at a point $z_0$ in the smaller ball. If $Y_H$ is the homogeneous
|
| 143 |
+
replacement of $Y$ with its boundary values, then
|
| 144 |
+
\begin{equation}
|
| 145 |
+
\big\langle\partial(a\partial Y),\theta_\varepsilon\big\rangle
|
| 146 |
+
=\int(Y_H-Y)\,\chi_\varepsilon\leq C.
|
| 147 |
+
\label{eq:transmission-green-pairing}
|
| 148 |
+
\end{equation}
|
| 149 |
+
The maximum principle bounds $Y_H$, and $Y$ is bounded by
|
| 150 |
+
\eqref{eq:transmission-state-range}. For each classical solution the
|
| 151 |
+
identity follows first with regular potentials and then by Sobolev
|
| 152 |
+
approximation. The surface term is well defined by the trace theorem.
|
| 153 |
+
The divergence Green bounds for symmetric measurable uniformly elliptic
|
| 154 |
+
matrices in dimension three give an upper bound $C|z-z_0|^{-1}$ and a
|
| 155 |
+
comparable lower bound on a sufficiently small interior ball
|
| 156 |
+
\citep[Theorem~7.1 and pp.~66--67]{LSW1963}. The surface integral of
|
| 157 |
+
$|z-z_0|^{-1}$ is uniformly finite. Letting the bump shrink, using
|
| 158 |
+
\eqref{eq:transmission-joined-energy} and Fatou's lemma, proves
|
| 159 |
+
\begin{equation}
|
| 160 |
+
\int_{B_{h_0}(z_0)}\frac{E(z)}{|z-z_0|}\,\dd z\leq C.
|
| 161 |
+
\label{eq:transmission-green-energy}
|
| 162 |
+
\end{equation}
|
| 163 |
+
Both $h_0>0$ and $C$ are uniform on the finite collection of seam charts.
|
| 164 |
+
|
| 165 |
+
\smallskip\noindent\emph{Comparison with a constant state.}
|
| 166 |
+
We next prove an energy bound relative to a compatible constant state.
|
| 167 |
+
Such a state is
|
| 168 |
+
\begin{equation}
|
| 169 |
+
\mathcal V_*=(n_*,a_*\dd t,s_*),\qquad
|
| 170 |
+
s_*=s(n_*,|a_*|),\qquad
|
| 171 |
+
\mathcal V=(N_i,\dd f,N_o).
|
| 172 |
+
\label{eq:transmission-reference}
|
| 173 |
+
\end{equation}
|
| 174 |
+
The pairs $(n_*,a_*)$ range over a compact rectangle containing the
|
| 175 |
+
state ranges with a margin, with $n_*>0$. Since $|\dd t|_g=1$, $s_*$ is
|
| 176 |
+
constant in this Fermi chart. Norms of the state mean the sum of the
|
| 177 |
+
inner pair's squared norm on the inner half and the outer lapse's
|
| 178 |
+
squared norm on the outer half.
|
| 179 |
+
|
| 180 |
+
To derive the bound, put
|
| 181 |
+
$\mathcal T_f=\nabla^2f-(\Delta f)g$. The Newton-current identity in
|
| 182 |
+
Lemma~\ref{lem:newton-flux} says
|
| 183 |
+
\begin{equation}
|
| 184 |
+
\rho\mathcal P\nabla G
|
| 185 |
+
=-\frac{\nabla N_i}{s}
|
| 186 |
+
+\mathcal T_f\left(\frac{y\nabla f}{d|\dd f|^2}\right)+O(1).
|
| 187 |
+
\label{eq:transmission-newton-current}
|
| 188 |
+
\end{equation}
|
| 189 |
+
The coefficient vector extends smoothly through $\dd f=0$. In the
|
| 190 |
+
current $a\dd Y$, add $k_0Y_*B/s_*$ on both sides, where
|
| 191 |
+
$Y_*=s_*^{-k_0}$, and on the inside subtract the Newton term in
|
| 192 |
+
\eqref{eq:transmission-newton-current} with its full coefficient
|
| 193 |
+
$k_0Y,y\nabla f/(d|\dd f|^2)$ frozen at the reference. Include metric
|
| 194 |
+
densities in all three currents. Call the resulting joined current
|
| 195 |
+
$\mathcal J_*$. The cancellation of the coefficients of $\nabla N$
|
| 196 |
+
and $\nabla^2f$ at the reference gives
|
| 197 |
+
\begin{equation}
|
| 198 |
+
|\mathcal J_*|\leq C\bigl(1+|\mathcal V-\mathcal V_*|\sqrt E\bigr).
|
| 199 |
+
\label{eq:transmission-modified-current-size}
|
| 200 |
+
\end{equation}
|
| 201 |
+
Moreover $\divg\mathcal T_f=\Ric(\nabla f,\cdot)$, so the divergence
|
| 202 |
+
of the subtracted term is bounded by $C(1+\sqrt E)$; its frozen vector
|
| 203 |
+
is extended smoothly using $\partial_t$. The added $B$-current has
|
| 204 |
+
bounded divergence and no seam jump. The frozen Newton vector is normal
|
| 205 |
+
at the seam. Its normal contraction there involves
|
| 206 |
+
$-\tr_{\mathcal C}\nabla^2f$, which is bounded since $f$ is constant
|
| 207 |
+
along that face and $|\dd f|$ is bounded. Young's inequality therefore
|
| 208 |
+
gives, after lowering $c$,
|
| 209 |
+
\begin{equation}
|
| 210 |
+
\divg\mathcal J_*\geq cE-C-C\delta_{\mathcal C}.
|
| 211 |
+
\label{eq:transmission-modified-current-divergence}
|
| 212 |
+
\end{equation}
|
| 213 |
+
Test by $\chi^2$, with $\chi=1$ on $B_h$, supported in $B_{2h}$ and
|
| 214 |
+
$|\dd\chi|\leq C/h$. Absorb half the energy using
|
| 215 |
+
\eqref{eq:transmission-modified-current-size}. The volume, constant
|
| 216 |
+
current, and surface contributions are at most $Ch^3$, $Ch^2$, and
|
| 217 |
+
$Ch^2$, respectively. We obtain
|
| 218 |
+
\begin{equation}
|
| 219 |
+
h^{-1}\int_{B_h}E\leq
|
| 220 |
+
C\left(\frac{1}{|B_{2h}|}\int_{B_{2h}}
|
| 221 |
+
|\mathcal V-\mathcal V_*|^2+h\right).
|
| 222 |
+
\label{eq:transmission-caccioppoli}
|
| 223 |
+
\end{equation}
|
| 224 |
+
On a pure inner ball the identical construction uses any constant
|
| 225 |
+
covector reference. The coefficients frozen against this reference may
|
| 226 |
+
vary smoothly with the background metric; their derivatives give only
|
| 227 |
+
$C(1+\sqrt E)$ errors. On a pure outer ball the analogous assertion
|
| 228 |
+
is the usual lapse Caccioppoli inequality.
|
| 229 |
+
|
| 230 |
+
\smallskip\noindent\emph{A scale of small excess.}
|
| 231 |
+
Fix $0<b_0<1$ and define the seam excess
|
| 232 |
+
\begin{equation}
|
| 233 |
+
\mathcal E(z_0,h)=
|
| 234 |
+
\inf_{\mathcal V_*}\frac{1}{|B_h|}\int_{B_h(z_0)}
|
| 235 |
+
|\mathcal V-\mathcal V_*|^2+h^{b_0}.
|
| 236 |
+
\label{eq:transmission-excess}
|
| 237 |
+
\end{equation}
|
| 238 |
+
There is a uniformly positive scale at which this excess is arbitrarily
|
| 239 |
+
small. To see the quantitative content, put $h_j=2^{-j}h_0$. For each
|
| 240 |
+
$z\ne z_0$ the sum of $h_j^{-1}$ over the indices with $|z-z_0|<h_j$
|
| 241 |
+
is at most $C|z-z_0|^{-1}$. Thus
|
| 242 |
+
\eqref{eq:transmission-green-energy} bounds
|
| 243 |
+
$\sum_j h_j^{-1}\int_{B_{h_j}}E$ uniformly. Given $\eta>0$, first
|
| 244 |
+
make the starting ceiling small enough that $h_0^{b_0}+h_0^2<\eta$.
|
| 245 |
+
Among a fixed finite number of its dyadic descendants there is a scale
|
| 246 |
+
with $h^{-1}\int_{B_h}E<\eta$. The number depends only on the
|
| 247 |
+
Green bound and $\eta$, so the chosen scale has a uniform positive
|
| 248 |
+
lower bound.
|
| 249 |
+
|
| 250 |
+
Here is why this is also a small excess scale. Scaled Poincar\'e and
|
| 251 |
+
the half-ball trace inequality bound both the volume deviations and the
|
| 252 |
+
mean-square face deviations from each side mean by
|
| 253 |
+
\begin{equation}
|
| 254 |
+
C h^{-1}\int_{B_h}E+Ch^2.
|
| 255 |
+
\label{eq:transmission-trace-poincare}
|
| 256 |
+
\end{equation}
|
| 257 |
+
The additional $Ch^2$ allows for Christoffel terms when replacing
|
| 258 |
+
covariant Hessians by coordinate derivatives of $\dd f$. The
|
| 259 |
+
tangential trace of $\dd f$ is zero; hence the tangential components of
|
| 260 |
+
its mean are small. The trace relation $N_o=s(N_i,\partial_t f)$ and
|
| 261 |
+
the uniform Lipschitz bound for $s$ on the state range show that the
|
| 262 |
+
outer mean differs from the value obtained from the two inner means by
|
| 263 |
+
at most the square root of \eqref{eq:transmission-trace-poincare}.
|
| 264 |
+
This provides a compatible reference with excess $C\eta$. All
|
| 265 |
+
references obtained this way lie in a compact subrange with room for
|
| 266 |
+
the subsequent small updates.
|
| 267 |
+
|
| 268 |
+
\smallskip\noindent\emph{Excess decay.}
|
| 269 |
+
We claim that, for fixed sufficiently small $\vartheta>0$, whenever
|
| 270 |
+
$h$ and $\mathcal E(z_0,h)$ are sufficiently small,
|
| 271 |
+
\begin{equation}
|
| 272 |
+
\mathcal E(z_0,\vartheta h)
|
| 273 |
+
\leq 2\bigl(C\vartheta^2+\vartheta^{b_0}\bigr)
|
| 274 |
+
\mathcal E(z_0,h).
|
| 275 |
+
\label{eq:transmission-excess-decay}
|
| 276 |
+
\end{equation}
|
| 277 |
+
The constant $C$ is independent of $\vartheta$. We give the
|
| 278 |
+
compactness argument, including the value trace.
|
| 279 |
+
|
| 280 |
+
If the claim fails, choose violating balls with
|
| 281 |
+
$\sigma_j^2=\mathcal E(z_j,h_j)\to0$ and best references
|
| 282 |
+
$(n_j,a_j\dd t,s_j)$. Translate and dilate these balls to unit size
|
| 283 |
+
using $z=z_j+h_j\zeta$, and rotate tangential coordinates to be
|
| 284 |
+
orthonormal at their centers. Define the lapse differences divided by
|
| 285 |
+
$\sigma_j$, and the height difference by
|
| 286 |
+
\begin{equation}
|
| 287 |
+
u_{i,j}=\frac{N_i-n_j}{\sigma_j},\qquad
|
| 288 |
+
u_{o,j}=\frac{N_o-s_j}{\sigma_j},\qquad
|
| 289 |
+
\phi_j(\zeta)=
|
| 290 |
+
\frac{f(z_j+h_j\zeta)-a_jh_j\zeta_3}{h_j\sigma_j}.
|
| 291 |
+
\label{eq:transmission-normalized-fields}
|
| 292 |
+
\end{equation}
|
| 293 |
+
The trace of $\phi_j$ is zero. Their state has bounded $L^2$ norm on
|
| 294 |
+
the unit ball. Applying \eqref{eq:transmission-caccioppoli} on smaller
|
| 295 |
+
balls gives locally bounded $H^1$ norms for $u_{i,j},u_{o,j}$ and
|
| 296 |
+
$\nabla\phi_j$. Indeed its error after normalization is
|
| 297 |
+
$h_j/\sigma_j^2\leq h_j^{1-b_0}\to0$.
|
| 298 |
+
The $L^2$ norm of $\phi_j$ is controlled by its gradient and its zero
|
| 299 |
+
trace. Rellich compactness and compactness of the $H^1$ trace into
|
| 300 |
+
$L^2$ on smaller face patches give strong local $L^2$ convergence of
|
| 301 |
+
the state in the bulk and on the face, and weak $H^1$ convergence.
|
| 302 |
+
|
| 303 |
+
Pass to a convergent reference $(n_*,a_*,s_*)$. The derivative of
|
| 304 |
+
the height flux with respect to the gradient is $s_*^2\mathcal P_*$;
|
| 305 |
+
its lapse derivative is $s_*^2(\beta/n_*)a_*\partial_t$.
|
| 306 |
+
Taylor remainders divided by $\sigma_j$ have $L^1$ norm tending to
|
| 307 |
+
zero, since the unnormalized state difference is $\sigma_j$ times
|
| 308 |
+
an $L^2$-bounded function. The same assertion holds on the face by
|
| 309 |
+
the trace bounds. Smooth metric errors are $O(h_j/\sigma_j)$,
|
| 310 |
+
which tends to zero. The height source and lapse drift enter weak
|
| 311 |
+
tests with this same factor; the scalar lapse source has the smaller
|
| 312 |
+
factor $O(h_j^2/\sigma_j)$. Thus no derivative of a source is being
|
| 313 |
+
passed to the limit. Joined tests have a common value on the face,
|
| 314 |
+
so lapse current matching passes to equality of the limiting normal
|
| 315 |
+
derivatives. We arrive at
|
| 316 |
+
\begin{align}
|
| 317 |
+
\Delta u_i&=\Delta u_o=0,
|
| 318 |
+
& (q\partial_t^2+\Delta_{z'})\phi+k\partial_tu_i&=0,
|
| 319 |
+
& k&=\beta a_*/n_*,\label{eq:transmission-frozen-interior}\\
|
| 320 |
+
\phi&=0,
|
| 321 |
+
&\partial_tu_i&=\partial_tu_o,
|
| 322 |
+
&u_o&=r_0u_i+r_0c\partial_t\phi \quad(t=0),
|
| 323 |
+
\label{eq:transmission-frozen-boundary}
|
| 324 |
+
\end{align}
|
| 325 |
+
where
|
| 326 |
+
\begin{equation}
|
| 327 |
+
r_0=dI>0,\qquad c=-\frac{n_*y}{a_*},\qquad
|
| 328 |
+
ck=q-1,\qquad r_0c=-\frac{s_*J}{a_*}.
|
| 329 |
+
\label{eq:transmission-frozen-relations}
|
| 330 |
+
\end{equation}
|
| 331 |
+
All expressions have their continuous interpretations at $a_*=0$;
|
| 332 |
+
in particular $c=k=0$ there. Differentiating
|
| 333 |
+
$s^2+|\dd f|^2s^4=N_i^2$ gives
|
| 334 |
+
$\dot s=dI\dot N_i-sJ\partial_t\dot f/a_*$, which verifies
|
| 335 |
+
the value relation directly.
|
| 336 |
+
|
| 337 |
+
The elementary harmonic estimate proved just below gives uniform
|
| 338 |
+
smooth bounds for these limits on smaller closed half-balls in terms
|
| 339 |
+
of their $L^2$ state norms. Consequently their deviations from the
|
| 340 |
+
center values have mean square at most $C\vartheta^2$. The center
|
| 341 |
+
values satisfy the linearized compatibility relation. Replace the
|
| 342 |
+
old reference by
|
| 343 |
+
\begin{equation}
|
| 344 |
+
n_j'=n_j+\sigma_j u_i(0),\qquad
|
| 345 |
+
a_j'=a_j+\sigma_j\partial_t\phi(0),\qquad
|
| 346 |
+
s_j'=s(n_j',|a_j'|).
|
| 347 |
+
\label{eq:transmission-reference-update}
|
| 348 |
+
\end{equation}
|
| 349 |
+
The nonlinear compatibility error in the outer value is
|
| 350 |
+
$O(\sigma_j^2)$, and the tangential height gradient is zero at the
|
| 351 |
+
center. Strong local $L^2$ convergence therefore proves
|
| 352 |
+
\eqref{eq:transmission-excess-decay}, contradicting its violation.
|
| 353 |
+
The added radius term contributes at most
|
| 354 |
+
$\vartheta^{b_0}\sigma_j^2$, as required.
|
| 355 |
+
|
| 356 |
+
For completeness, the harmonic estimate used here is as follows.
|
| 357 |
+
Reflect $u_o$ into $t<0$ and put $U=u_i+u_o^{\rm refl}$. It is
|
| 358 |
+
harmonic with zero Neumann data, so it is smooth with controlled local
|
| 359 |
+
norms by even reflection. On a smaller inner cylinder choose a
|
| 360 |
+
harmonic primitive $D$ with $D_t=u_i$. An explicit choice is
|
| 361 |
+
\begin{equation}
|
| 362 |
+
D(z',t)=\int_{t_0}^{t}u_i(z',v)\,\dd v+a(z'),
|
| 363 |
+
\qquad \Delta_{z'}a=-\partial_tu_i(z',t_0),
|
| 364 |
+
\label{eq:transmission-harmonic-primitive}
|
| 365 |
+
\end{equation}
|
| 366 |
+
where $t_0<0$ is a fixed interior slice. The slice data are controlled
|
| 367 |
+
by interior harmonic estimates. This formula gives $D\in H^2$
|
| 368 |
+
locally up to the face: the mixed and double normal derivatives come
|
| 369 |
+
from $u_i\in H^1$, and tangential Laplace estimates applied to
|
| 370 |
+
$\Delta_{z'}D=-\partial_tu_i$ give its remaining second derivatives.
|
| 371 |
+
The function $V=D+c\phi$ satisfies
|
| 372 |
+
$(q\partial_t^2+\Delta_{z'})V=0$, since $ck=q-1$, and $V=D$
|
| 373 |
+
on the face. Set $\widetilde V(z',t)=V(z',\sqrt q\,t)$.
|
| 374 |
+
It is harmonic and, with $a_0=r_0/\sqrt q>0$,
|
| 375 |
+
\begin{equation}
|
| 376 |
+
(\widetilde V-D)|_{t=0}=0,
|
| 377 |
+
\qquad \partial_t(D+a_0\widetilde V)|_{t=0}=U.
|
| 378 |
+
\label{eq:transmission-positive-harmonic-combinations}
|
| 379 |
+
\end{equation}
|
| 380 |
+
Scalar harmonic Dirichlet and Neumann estimates control both
|
| 381 |
+
combinations. Their coefficient matrix is invertible because
|
| 382 |
+
$1+a_0>0$; in fact $a_0=1/\sqrt{1+y}$. They control $D$, then
|
| 383 |
+
$u_i=D_t$ and $u_o=U-u_i^{\rm refl}$. Finally the scalar Dirichlet
|
| 384 |
+
equation in \eqref{eq:transmission-frozen-interior} controls $\phi$.
|
| 385 |
+
This last step avoids division by $c$, so all estimates are uniform
|
| 386 |
+
through zero slope. The normal rescaling only reduces the patch by
|
| 387 |
+
a uniform factor on the state range.
|
| 388 |
+
|
| 389 |
+
Choose $\vartheta$ so small, and then $\gamma>0$ so small, that
|
| 390 |
+
$2(C\vartheta^2+\vartheta^{b_0})\leq\vartheta^{2\gamma}$.
|
| 391 |
+
Begin iteration at the small-excess scales with uniform positive
|
| 392 |
+
lower bound constructed above. The references stay in the permitted
|
| 393 |
+
range because their successive changes are bounded by a convergent
|
| 394 |
+
geometric sum. This yields a mean-square oscillation bound
|
| 395 |
+
$Ch^{2\gamma}$ at every seam center. On a pure ball near the seam,
|
| 396 |
+
the first scale comparable to its distance from the seam is controlled
|
| 397 |
+
by a seam ball. The corresponding interior excess argument, with an
|
| 398 |
+
arbitrary constant gradient reference, then gives the bound at all
|
| 399 |
+
smaller scales. Its limit equations are a harmonic lapse and a
|
| 400 |
+
constant uniformly elliptic height equation with the known lapse
|
| 401 |
+
coupling; scalar interior estimates give the same decay. Campanato's
|
| 402 |
+
characterization on each closed half-chart proves
|
| 403 |
+
\eqref{eq:transmission-holder}. Finitely many charts and the earlier
|
| 404 |
+
ordinary boundary estimates complete the proof.
|
| 405 |
+
\end{proof}
|
| 406 |
+
|
| 407 |
+
\subsection{Estimates with the full derivative orders}
|
| 408 |
+
|
| 409 |
+
We first record the linear estimate, including the unequal orders of
|
| 410 |
+
the unknowns. This is also a proof of the relevant boundary estimate;
|
| 411 |
+
it does not invoke a general theorem for the nonlinear transmission
|
| 412 |
+
condition.
|
| 413 |
+
|
| 414 |
+
\begin{lemma}[Local transmission Schauder estimate]
|
| 415 |
+
\label{lem:transmission-schauder}
|
| 416 |
+
Give a height variation $\phi$ order $3$, lapse variations $u_i,u_o$
|
| 417 |
+
order $2$, and conformal-factor variations $v_i,v_o$ order $2$.
|
| 418 |
+
For frozen coefficients from a state in
|
| 419 |
+
\eqref{eq:transmission-state-range}, the principal equations are
|
| 420 |
+
\begin{equation}
|
| 421 |
+
\mathcal P:\nabla^2\phi
|
| 422 |
+
+\frac\beta N\nabla f\cdot\nabla u_i,\qquad
|
| 423 |
+
\Delta u_i,\quad\Delta u_o,\qquad
|
| 424 |
+
A_i:\nabla^2v_i,\quad A_o:\nabla^2v_o.
|
| 425 |
+
\label{eq:transmission-principal-rows}
|
| 426 |
+
\end{equation}
|
| 427 |
+
Their residual norms are respectively $C^{1,\alpha}$ and
|
| 428 |
+
$C^{0,\alpha}$ for the other four rows. The height trace has
|
| 429 |
+
$C^{3,\alpha}$ norm. The lapse and conformal-factor value residuals
|
| 430 |
+
have $C^{2,\alpha}$ norm, and their current-flux residuals have
|
| 431 |
+
$C^{1,\alpha}$ norm. On a smaller fixed patch, the field norms of
|
| 432 |
+
the indicated orders are bounded by these residual norms and the
|
| 433 |
+
supremum norms of the fields on a larger patch. The constants are
|
| 434 |
+
uniform on compact positive state ranges.
|
| 435 |
+
|
| 436 |
+
At the seam the height/lapse principal conditions are
|
| 437 |
+
\eqref{eq:transmission-frozen-boundary}; the conformal-factor block
|
| 438 |
+
has value continuity and positive conormal matching. At $S$ they
|
| 439 |
+
are Dirichlet for height and Neumann for the other fields; at $S_R$
|
| 440 |
+
they are Dirichlet. The same estimates hold for scalar transmission
|
| 441 |
+
with a fixed positive $C^{2,\alpha}$ value ratio, and while its outer
|
| 442 |
+
normal-derivative coefficient is decreased to zero, the inner
|
| 443 |
+
coefficient being kept strictly positive.
|
| 444 |
+
\end{lemma}
|
| 445 |
+
|
| 446 |
+
\begin{proof}
|
| 447 |
+
It suffices first to work on a flat seam patch. Subtract scalar
|
| 448 |
+
particular solutions of the two lapse Poisson equations, with
|
| 449 |
+
$C^{2,\alpha}$ control, and a $C^{3,\alpha}$ particular solution
|
| 450 |
+
of the height row, including its $C^{3,\alpha}$ boundary trace.
|
| 451 |
+
The height forcing includes the first derivative of the particular
|
| 452 |
+
inner lapse, hence belongs to $C^{1,\alpha}$ as required. Such
|
| 453 |
+
particular solutions can be made on smooth domains having flat face
|
| 454 |
+
portions containing the smaller patch, after extending localized
|
| 455 |
+
data; ordinary scalar Dirichlet estimates give their stated norms.
|
| 456 |
+
We are left with harmonic lapses and the homogeneous height row,
|
| 457 |
+
zero height trace, and residuals
|
| 458 |
+
\begin{equation}
|
| 459 |
+
\partial_tu_i-\partial_tu_o=h_1,
|
| 460 |
+
\qquad u_o-r_0u_i-r_0c\partial_t\phi=h_2,
|
| 461 |
+
\label{eq:transmission-inhomogeneous-seam}
|
| 462 |
+
\end{equation}
|
| 463 |
+
where $h_1\in C^{1,\alpha}$ and $h_2\in C^{2,\alpha}$.
|
| 464 |
+
The reflected sum $U=u_i+u_o^{\rm refl}$ is harmonic with Neumann
|
| 465 |
+
data $h_1$, and has a controlled $C^{2,\alpha}$ norm on a smaller
|
| 466 |
+
patch. Construct $D$ by
|
| 467 |
+
\eqref{eq:transmission-harmonic-primitive} and use its same local
|
| 468 |
+
supremum bound. The two harmonic combinations in
|
| 469 |
+
\eqref{eq:transmission-positive-harmonic-combinations} now have
|
| 470 |
+
Dirichlet datum zero and Neumann datum $U-h_2$, respectively.
|
| 471 |
+
The latter belongs to $C^{2,\alpha}$, so both combinations, and
|
| 472 |
+
therefore $D$, are controlled in $C^{3,\alpha}$. This controls
|
| 473 |
+
both lapses in $C^{2,\alpha}$. Scalar Dirichlet estimates for the
|
| 474 |
+
height row finish the $C^{3,\alpha}$ estimate for $\phi$.
|
| 475 |
+
|
| 476 |
+
For the conformal-factor block, the frozen inner matrix in orthonormal
|
| 477 |
+
face coordinates is a positive multiple of
|
| 478 |
+
$\operatorname{diag}(1,1,d^2)$, and the outer matrix is isotropic.
|
| 479 |
+
Subtract particular solutions, rescale the two normal coordinates,
|
| 480 |
+
and reflect the outer field. The resulting fields are harmonic;
|
| 481 |
+
their difference has the prescribed value datum and a positive
|
| 482 |
+
weighted sum has the prescribed Neumann datum. This gives their
|
| 483 |
+
$C^{2,\alpha}$ bounds. More generally, if the value relation is
|
| 484 |
+
$v_o=r v_i+h$ with $r>0$, and the flux relation after reflection is
|
| 485 |
+
$a\partial_tv_i+b\partial_tv_o^{\rm refl}=k$, then the harmonic
|
| 486 |
+
combinations $v_o^{\rm refl}-rv_i$ and $av_i+bv_o^{\rm refl}$
|
| 487 |
+
have Dirichlet and Neumann data. Their coefficient determinant is
|
| 488 |
+
$a+br>0$. It stays positive if $b$ decreases to zero with $a>0$.
|
| 489 |
+
Variable fixed $C^{2,\alpha}$ ratios are treated by freezing, as in the
|
| 490 |
+
next paragraph. Localization differentiates the value row at most
|
| 491 |
+
twice and the flux row at most once; the constants depend only on
|
| 492 |
+
the corresponding coefficient norms. The ordinary boundary and interior estimates follow
|
| 493 |
+
from the scalar estimates, with the lapse estimated before the
|
| 494 |
+
height row.
|
| 495 |
+
|
| 496 |
+
For fixed regular variable coefficients, localization gives the same
|
| 497 |
+
estimate with lower-order terms. In a sufficiently small chart
|
| 498 |
+
the leading coefficients differ little in supremum norm from their
|
| 499 |
+
frozen values. Apply the constant-coefficient estimate to cutoff
|
| 500 |
+
fields on that chart. In a product such as
|
| 501 |
+
$(a-a_*)D^2v$, the coefficient supremum multiplies the top H\"older
|
| 502 |
+
seminorm and can be absorbed. Its fixed H\"older seminorm multiplies
|
| 503 |
+
the second-derivative supremum, which is bounded by an arbitrarily
|
| 504 |
+
small multiple of the full high norm plus a fixed multiple of the
|
| 505 |
+
field supremum, by interpolation. The same argument applies to
|
| 506 |
+
the order-$1$ height coupling and to the differentiated value
|
| 507 |
+
relation. Cutoff commutators have strictly lower orders. A finite
|
| 508 |
+
cover and interpolation for separated-point H\"older quotients give
|
| 509 |
+
the claimed local or global variable-coefficient estimate. This
|
| 510 |
+
argument requires only fixed coefficient bounds and is uniform
|
| 511 |
+
along compact families of such coefficients.
|
| 512 |
+
\end{proof}
|
| 513 |
+
|
| 514 |
+
We give the nonlinear application of this estimate in detail. Fix
|
| 515 |
+
$0<\alpha'<\alpha<\gamma$, decreasing $\gamma$ in
|
| 516 |
+
Lemma~\ref{lem:seam-holder} if necessary. On a fixed truncation use
|
| 517 |
+
the Banach domain
|
| 518 |
+
\begin{equation}
|
| 519 |
+
X=C^{3,\alpha'}(\overline\Omega_i)_f
|
| 520 |
+
\times C^{2,\alpha'}(\overline\Omega_i)_{N_i,w_i}
|
| 521 |
+
\times C^{2,\alpha'}(\overline\Omega_{o,R})_{N_o,w_o},
|
| 522 |
+
\label{eq:transmission-domain-space}
|
| 523 |
+
\end{equation}
|
| 524 |
+
with the two height Dirichlet values imposed by an affine lift of
|
| 525 |
+
$u_*$, and with the open condition $N_i,N_o,w_i,w_o>0$.
|
| 526 |
+
There are no other conditions built into this domain. The output
|
| 527 |
+
space, denoted $\mathscr Y$, contains the height equation in
|
| 528 |
+
$C^{1,\alpha'}$, the two lapse and two conformal-factor equations
|
| 529 |
+
in $C^{0,\alpha'}$, the seam value residuals and the far Dirichlet
|
| 530 |
+
residuals in $C^{2,\alpha'}$, and the flux residuals at $S$ and
|
| 531 |
+
$\mathcal C$ in $C^{1,\alpha'}$. Height boundary values are not
|
| 532 |
+
additional outputs because they are prescribed in $X$.
|
| 533 |
+
|
| 534 |
+
The quotient in the trace cutoff causes no additional loss. In a
|
| 535 |
+
distance collar $r_S\geq0$ of $S$, with $F=u_*M-f=0$ on $S$,
|
| 536 |
+
\begin{equation}
|
| 537 |
+
\frac{F(z',r_S)}{r_S}
|
| 538 |
+
=\int_0^1\partial_{r_S}F(z',\theta r_S)\,\dd\theta.
|
| 539 |
+
\label{eq:transmission-quotient}
|
| 540 |
+
\end{equation}
|
| 541 |
+
It is consequently an affine bounded map from the height domain
|
| 542 |
+
into $C^{2,\alpha'}$. The same formula controls it in all the
|
| 543 |
+
order-by-order estimates below. Outside this collar its denominator
|
| 544 |
+
is smooth and positive. Products and the finite smooth cutoffs
|
| 545 |
+
therefore define a smooth residual map
|
| 546 |
+
\begin{equation}
|
| 547 |
+
\mathscr F:[0,1]\times X_+\longrightarrow\mathscr Y,
|
| 548 |
+
\label{eq:transmission-nonlinear-map}
|
| 549 |
+
\end{equation}
|
| 550 |
+
where $X_+$ denotes the positive open domain after the height lift.
|
| 551 |
+
|
| 552 |
+
At an exact zero, $w\geq1$. Indeed its equation has nonnegative
|
| 553 |
+
right-hand side, its outer value is $1$, and its natural fluxes
|
| 554 |
+
match with zero inner flux. Testing with $(1-w)^+$ gives the claim.
|
| 555 |
+
Since $\Sigma_+x$ is bounded on its support by the finite state
|
| 556 |
+
range and the cutoff $x<1-\delta/2$, and $P$ has finite strength,
|
| 557 |
+
the forcing in this scalar joined equation is bounded independently
|
| 558 |
+
of the particular zero. Testing with $w-1$ and using the
|
| 559 |
+
Dirichlet Poincar\'e inequality gives an $H^1$ bound for $w-1$ on
|
| 560 |
+
the fixed truncation. Local scalar boundedness and H\"older estimates
|
| 561 |
+
for its measurable uniformly elliptic joined divergence matrix give
|
| 562 |
+
a $C^\gamma$ bound, after reducing $\gamma>0$. Reflection handles
|
| 563 |
+
the homogeneous inner flux. Thus
|
| 564 |
+
\begin{equation}
|
| 565 |
+
\mathscr U=(\dd f,N_i,N_o,w_i,w_o)
|
| 566 |
+
\quad\hbox{is bounded piecewise in }C^\gamma.
|
| 567 |
+
\label{eq:transmission-state-holder-all}
|
| 568 |
+
\end{equation}
|
| 569 |
+
|
| 570 |
+
We now prove an a priori $C^{2,\alpha}$ bound for $\mathscr U$.
|
| 571 |
+
For a smooth zero, differentiate the nondivergence height row once.
|
| 572 |
+
Its highest terms are the height and lapse terms in
|
| 573 |
+
\eqref{eq:transmission-principal-rows}. Expanding the lapse and
|
| 574 |
+
$w$ equations shows that their only highest terms at these column
|
| 575 |
+
orders are their own second derivatives. Every other term involves
|
| 576 |
+
at most two factors of first derivatives of $\mathscr U$, with
|
| 577 |
+
coefficients that are smooth functions of its bounded state and of
|
| 578 |
+
the quotient \eqref{eq:transmission-quotient}. At the seam,
|
| 579 |
+
differentiating the value relation twice tangentially gives
|
| 580 |
+
\begin{equation}
|
| 581 |
+
\partial_a\partial_b(N_o-s_i)
|
| 582 |
+
=\partial_a\partial_b N_o
|
| 583 |
+
-D s_i\,\partial_a\partial_b(N_i,\dd f)
|
| 584 |
+
-D^2s_i\bigl(\partial_a(N_i,\dd f),
|
| 585 |
+
\partial_b(N_i,\dd f)\bigr)
|
| 586 |
+
+\mathcal R_{ab},
|
| 587 |
+
\label{eq:transmission-value-differentiation}
|
| 588 |
+
\end{equation}
|
| 589 |
+
where $\mathcal R_{ab}$ contains only bounded geometry coefficients
|
| 590 |
+
and lower-order derivatives. The leading first differential is
|
| 591 |
+
exactly the principal value relation already used. One derivative
|
| 592 |
+
of a current-flux relation has only the indicated first-order
|
| 593 |
+
principal boundary operators; its other terms are lower at these
|
| 594 |
+
column orders. Formula~\eqref{eq:transmission-quotient} gives the
|
| 595 |
+
same derivative count for every occurrence of $F/d_S$.
|
| 596 |
+
|
| 597 |
+
Here are the interpolation exponents needed for absorption, to make
|
| 598 |
+
the dependence on the prior continuity estimate explicit. Put
|
| 599 |
+
$H=1+\|\mathscr U\|_{C^{2,\alpha}}$ and suppose
|
| 600 |
+
$\|\mathscr U\|_{C^\gamma}\leq C_0$. On fixed slightly enlarged
|
| 601 |
+
patches, H\"older interpolation gives
|
| 602 |
+
\begin{align}
|
| 603 |
+
\|D\mathscr U\,D\mathscr U\|_{C^{0,\alpha}}
|
| 604 |
+
&\leq C H^{\theta_1},
|
| 605 |
+
&\theta_1&=\frac{2+\alpha-2\gamma}{2+\alpha-\gamma}<1,
|
| 606 |
+
\label{eq:transmission-product-interpolation}\\
|
| 607 |
+
\|D^2\mathscr U\|_{C^0}
|
| 608 |
+
&\leq C H^{\theta_2},
|
| 609 |
+
&\theta_2&=\frac{2-\gamma}{2+\alpha-\gamma}<1.
|
| 610 |
+
\label{eq:transmission-sup-interpolation}
|
| 611 |
+
\end{align}
|
| 612 |
+
Terms of still lower order have smaller exponents or admit the usual
|
| 613 |
+
$\eta H+C_\eta$ bound. The first estimate follows by assigning
|
| 614 |
+
one first derivative its supremum norm and the other its
|
| 615 |
+
$C^{0,\alpha}$ norm; their interpolation numerators are
|
| 616 |
+
$1-\gamma$ and $1+\alpha-\gamma$, respectively.
|
| 617 |
+
|
| 618 |
+
Freeze the coefficients in a chart of radius chosen using only
|
| 619 |
+
\eqref{eq:transmission-state-holder-all}. Their oscillations in
|
| 620 |
+
supremum norm are then as small as desired, while their
|
| 621 |
+
$C^\gamma$ norms are bounded. A principal coefficient error
|
| 622 |
+
times a top derivative has $C^{0,\alpha}$ norm bounded by a small
|
| 623 |
+
constant times $H$ plus a constant times $H^{\theta_2}$.
|
| 624 |
+
The same estimate after two tangential derivatives applies to the
|
| 625 |
+
value row in \eqref{eq:transmission-value-differentiation}; its
|
| 626 |
+
quadratic part is controlled by
|
| 627 |
+
\eqref{eq:transmission-product-interpolation}. Apply
|
| 628 |
+
Lemma~\ref{lem:transmission-schauder} to cutoff fields with matched
|
| 629 |
+
cutoff values at a seam. A second, slightly larger cutoff extends
|
| 630 |
+
coefficient differences without losing their small supremum norm.
|
| 631 |
+
Cutoff commutators contain only lower derivatives and have fixed
|
| 632 |
+
patch-dependent bounds. Taking the maximum over a finite cover,
|
| 633 |
+
and using supremum interpolation for H\"older quotients with
|
| 634 |
+
separated points, gives
|
| 635 |
+
\begin{equation}
|
| 636 |
+
H\leq \eta H+C\bigl(1+H^{\theta_1}+H^{\theta_2}
|
| 637 |
+
+H^{\theta_3}\bigr),\qquad
|
| 638 |
+
0\leq\theta_3<1.
|
| 639 |
+
\label{eq:transmission-global-absorption}
|
| 640 |
+
\end{equation}
|
| 641 |
+
Choose $\eta<1/2$. This bounds $H$. Constants for differentiated
|
| 642 |
+
cutoffs and source functions may depend on the finite parameter
|
| 643 |
+
choices, which is permitted here.
|
| 644 |
+
|
| 645 |
+
We must also justify using smooth-zero estimates for zeros initially
|
| 646 |
+
in \eqref{eq:transmission-domain-space}. The following difference
|
| 647 |
+
quotient argument supplies that justification. Off the seam,
|
| 648 |
+
ordinary scalar bootstrapping applies, estimating lapse and $w$
|
| 649 |
+
first and height next; at $S$ the $w$ conormal condition is its
|
| 650 |
+
ordinary homogeneous Neumann condition because the height gradient
|
| 651 |
+
is normal. Near a seam flatten the face and take a tangential
|
| 652 |
+
difference quotient of the equations. For the value relation use
|
| 653 |
+
the averaged first differential of $s$ between the two states.
|
| 654 |
+
For a fixed zero these coefficients are uniformly
|
| 655 |
+
$C^{2,\alpha'}$ and, on a sufficiently small patch and for
|
| 656 |
+
sufficiently small differences, are supremum-close to the same
|
| 657 |
+
frozen principal coefficients. The difference quotients have
|
| 658 |
+
uniformly bounded one-lower norms from the starting regularity.
|
| 659 |
+
Apply the fixed-coefficient estimate to their cutoffs. Principal
|
| 660 |
+
oscillations times top seminorms are absorbed; top supremum terms
|
| 661 |
+
are interpolated against the known one-lower norm. All
|
| 662 |
+
commutators and differentiated explicit data involve only these
|
| 663 |
+
known orders. This controls one tangential derivative in the same
|
| 664 |
+
column spaces.
|
| 665 |
+
|
| 666 |
+
The normal derivatives are recovered in a definite order. Solve
|
| 667 |
+
the lapse and $w$ equations for their double normal derivatives;
|
| 668 |
+
their strictly positive normal coefficients permit division.
|
| 669 |
+
Then solve the height row for its double normal derivative, using
|
| 670 |
+
the newly controlled lapse derivatives. Other second derivative
|
| 671 |
+
terms have at least one tangential index, which is already
|
| 672 |
+
controlled. Iterating proves smoothness. More explicitly, if
|
| 673 |
+
orders $m+3,\alpha'$ for height and $m+2,\alpha'$ for the other
|
| 674 |
+
fields are known, apply the same estimate to a tangential
|
| 675 |
+
difference quotient of $m$ tangential derivatives. In the height
|
| 676 |
+
row, including its one residual derivative, every distributed
|
| 677 |
+
coefficient term other than the principal row on the increments
|
| 678 |
+
uses at most $m+2,\alpha'$ derivatives of $\mathscr U$.
|
| 679 |
+
The other interior rows start with at most one derivative of
|
| 680 |
+
$\mathscr U$ outside their own principal terms. In the value row
|
| 681 |
+
the only new-order term is its first state differential on the
|
| 682 |
+
increment. Thus the same argument gives the next derivatives with
|
| 683 |
+
the largest number of tangential indices. Recover the others with
|
| 684 |
+
successively fewer tangential indices by the lapse and $w$
|
| 685 |
+
equations first, then the height equation. These identities hold
|
| 686 |
+
on the open side and extend continuously to the face. The quotient
|
| 687 |
+
near $S$ obeys \eqref{eq:transmission-quotient} at every step.
|
| 688 |
+
|
| 689 |
+
Consequently every zero of \eqref{eq:transmission-nonlinear-map}
|
| 690 |
+
is smooth, and \eqref{eq:transmission-global-absorption} bounds it
|
| 691 |
+
at the stronger exponent $\alpha$. On a fixed truncation the
|
| 692 |
+
positive zero set over $0\leq u_*\leq1$ is compact in $X$:
|
| 693 |
+
the stronger H\"older bounds give precompactness, the residual map
|
| 694 |
+
is continuous, and the uniform positive floors for $N$ and $w$
|
| 695 |
+
keep limits in $X_+$.
|
| 696 |
+
|
| 697 |
+
\subsection{Fredholm index and continuation}
|
| 698 |
+
|
| 699 |
+
\begin{lemma}[Index zero for the linearized transmission problem]
|
| 700 |
+
\label{lem:transmission-fredholm}
|
| 701 |
+
The field derivative $D_X\mathscr F$ at each zero of
|
| 702 |
+
\eqref{eq:transmission-nonlinear-map} is Fredholm of index zero
|
| 703 |
+
between \eqref{eq:transmission-domain-space} and its specified
|
| 704 |
+
residual space. Independently, the scalar density and adjoint
|
| 705 |
+
problems with smooth base metrics, fixed $C^{1,\alpha'}$ drift,
|
| 706 |
+
a fixed positive $C^{2,\alpha'}$ value ratio, natural flux matching,
|
| 707 |
+
inner Neumann and outer Dirichlet data are
|
| 708 |
+
Fredholm of index zero. Their estimates may depend on derivatives
|
| 709 |
+
of the fixed ratio.
|
| 710 |
+
\end{lemma}
|
| 711 |
+
|
| 712 |
+
\begin{proof}
|
| 713 |
+
Discard compact lower-order terms in the linearization. This is
|
| 714 |
+
legitimate with the column orders used above. For example, a
|
| 715 |
+
variation of the trace target in the expanded lapse row contains
|
| 716 |
+
at most two derivatives of the height variation or one of the
|
| 717 |
+
other variations, and therefore maps compactly to its
|
| 718 |
+
$C^{0,\alpha'}$ residual. Variations of $F/d_S$ lose one height
|
| 719 |
+
derivative by \eqref{eq:transmission-quotient}, which still leaves
|
| 720 |
+
this compactness. In contrast, the first differential of
|
| 721 |
+
$N_o-s(N_i,\dd f)$ in the $C^{2,\alpha'}$ seam residual is
|
| 722 |
+
principal and is retained. The principal height coupling to a
|
| 723 |
+
lapse derivative in its $C^{1,\alpha'}$ residual is also retained.
|
| 724 |
+
|
| 725 |
+
In this principal operator scale the background $\dd f$ continuously
|
| 726 |
+
to zero and recompute $q,\mathcal P,\beta,s,A$, the height coupling,
|
| 727 |
+
and the value-differential coefficients from that scaled background.
|
| 728 |
+
This scales coefficient fields, not the variations. In particular
|
| 729 |
+
$ck=q-1$ in \eqref{eq:transmission-frozen-relations} holds all
|
| 730 |
+
along the path. The states remain in a fixed positive ellipticity
|
| 731 |
+
range. The local estimates of
|
| 732 |
+
Lemma~\ref{lem:transmission-schauder}, followed by localization,
|
| 733 |
+
give along this path
|
| 734 |
+
\begin{equation}
|
| 735 |
+
\|v\|_X\leq C\bigl(\|L_\lambda v\|_{\mathscr Y}
|
| 736 |
+
+\|v\|_0\bigr),
|
| 737 |
+
\label{eq:transmission-linear-apriori}
|
| 738 |
+
\end{equation}
|
| 739 |
+
where $\|v\|_0$ is a sum of field supremum norms and $C$ is
|
| 740 |
+
uniform in the path parameter $\lambda$.
|
| 741 |
+
|
| 742 |
+
At zero background gradient the height decouples, and the lapse
|
| 743 |
+
and $w$ blocks have scalar value and positive conormal transmission.
|
| 744 |
+
Decrease each outer derivative coefficient in its flux relation to
|
| 745 |
+
zero, leaving the inner coefficient positive. The determinant
|
| 746 |
+
$a+br$ in the proof of
|
| 747 |
+
Lemma~\ref{lem:transmission-schauder} stays positive, so
|
| 748 |
+
\eqref{eq:transmission-linear-apriori} remains valid. At the
|
| 749 |
+
endpoint each scalar block is triangular: solve the inner Neumann
|
| 750 |
+
problem, then the outer Dirichlet problem with the trace prescribed
|
| 751 |
+
from the inner solution. On each connected inner component the
|
| 752 |
+
scalar Neumann problem has equal kernel and compatibility-cokernel
|
| 753 |
+
dimensions, both one; the outer Dirichlet and height Dirichlet
|
| 754 |
+
problems have index zero. Dividing by positive scalar principal
|
| 755 |
+
factors and discarding connection terms reduces this assertion to
|
| 756 |
+
ordinary Poisson theory. Thus the endpoint index is zero.
|
| 757 |
+
|
| 758 |
+
We justify index propagation using only
|
| 759 |
+
\eqref{eq:transmission-linear-apriori}. A sufficiently fine fixed
|
| 760 |
+
finite grid of field evaluations defines
|
| 761 |
+
$\mathfrak p:X\to\R^l$ with
|
| 762 |
+
$\|v\|_0\leq\eta\|v\|_X+C_\eta|\mathfrak p v|$.
|
| 763 |
+
Choose $\eta$ small in \eqref{eq:transmission-linear-apriori}.
|
| 764 |
+
The augmented operators
|
| 765 |
+
\begin{equation}
|
| 766 |
+
\mathfrak A_\lambda=(L_\lambda,\mathfrak p):
|
| 767 |
+
X\longrightarrow\mathscr Y\times\R^l
|
| 768 |
+
\quad\hbox{satisfy}\quad
|
| 769 |
+
\|v\|_X\leq C\|\mathfrak A_\lambda v\|.
|
| 770 |
+
\label{eq:transmission-augmented-bound}
|
| 771 |
+
\end{equation}
|
| 772 |
+
They are injective with closed range. At an index-zero Fredholm
|
| 773 |
+
parameter their range has codimension $l$. If parameters
|
| 774 |
+
$\lambda_j$ of this kind tend to $\lambda$, and the limit range
|
| 775 |
+
had codimension at least $l+1$, choose an $(l+1)$-dimensional
|
| 776 |
+
subspace $Z_0$ disjoint from that range. At each $\lambda_j$
|
| 777 |
+
there is a unit vector $z_j\in Z_0\cap\operatorname{ran}
|
| 778 |
+
\mathfrak A_{\lambda_j}$. Its preimages $v_j$ are bounded by
|
| 779 |
+
\eqref{eq:transmission-augmented-bound}. A subsequence of $z_j$
|
| 780 |
+
converges in the finite-dimensional space to a unit vector $z$,
|
| 781 |
+
and operator-norm continuity gives
|
| 782 |
+
$\mathfrak A_\lambda v_j\to z$. Closedness of the limit range
|
| 783 |
+
is a contradiction. Its codimension is therefore finite.
|
| 784 |
+
|
| 785 |
+
The kernel of $L_\lambda$ is finite dimensional because
|
| 786 |
+
$\mathfrak p$ is injective on it. Its range is closed and has
|
| 787 |
+
finite codimension: add the finite-dimensional factor
|
| 788 |
+
$\{0\}\times\R^l$ to the closed finite-codimensional augmented
|
| 789 |
+
range, and then quotient by that factor. This sum is closed, and
|
| 790 |
+
the resulting quotient is exactly $\operatorname{ran}L_\lambda$.
|
| 791 |
+
Thus $L_\lambda$ is Fredholm also at the limit. Openness and local
|
| 792 |
+
constancy of the Fredholm index, together with this closedness
|
| 793 |
+
argument starting from the endpoint, propagate index zero along
|
| 794 |
+
the whole path. Restoring compact lower-order terms does not
|
| 795 |
+
change it.
|
| 796 |
+
|
| 797 |
+
For the independent scalar density problem take the fixed positive
|
| 798 |
+
$C^{2,\alpha'}$ ratio and fixed $C^{1,\alpha'}$ drift as coefficients.
|
| 799 |
+
Its local
|
| 800 |
+
principal boundary estimate is the scalar positive-ratio estimate
|
| 801 |
+
already proved, and its lower-order drift is compact at the scalar
|
| 802 |
+
column order two. Localization uses only the stated coefficient
|
| 803 |
+
norms, so no approximation in a H\"older norm is needed.
|
| 804 |
+
The same outer-flux deformation and augmentation
|
| 805 |
+
argument applies without reference to a nonlinear zero or to an
|
| 806 |
+
a priori estimate for such zeros. For its adjoint the value ratio
|
| 807 |
+
and positive derivative weight exchange their roles; the same
|
| 808 |
+
scalar combinations apply. This proves both independent index
|
| 809 |
+
assertions.
|
| 810 |
+
\end{proof}
|
| 811 |
+
|
| 812 |
+
We now complete existence on a fixed truncation. At $u_*=0$ the
|
| 813 |
+
height is identically zero. Indeed its Dirichlet values are zero,
|
| 814 |
+
its trace target is zero, and testing its divergence equation by
|
| 815 |
+
$f$ gives $\int p\cdot\dd f=0$. All scaled sources vanish and
|
| 816 |
+
$s_i=N_i$, so the lapse solves the scalar harmonic transmission
|
| 817 |
+
problem with ordinary value and normal-derivative matching, inner
|
| 818 |
+
flux $-b_*$ in the $n$ direction, and far value $1$. The weak
|
| 819 |
+
form on the joined manifold is coercive after subtracting the
|
| 820 |
+
outer boundary value. Equivalently its index is zero by
|
| 821 |
+
Lemma~\ref{lem:transmission-fredholm} and its homogeneous kernel
|
| 822 |
+
is zero by energy testing. It therefore has a unique solution.
|
| 823 |
+
Comparison with $1$, using the outward inner flux $+b_*$, gives
|
| 824 |
+
$N\geq1$. Scalar transmission regularity makes it piecewise
|
| 825 |
+
smooth. The remaining equation is
|
| 826 |
+
$\divg(N^2\dd w)=0$ with matching value and flux, inner zero
|
| 827 |
+
flux, and far value $1$; hence $w=1$.
|
| 828 |
+
|
| 829 |
+
This initial zero is nondegenerate. Its homogeneous linearization
|
| 830 |
+
is triangular: first
|
| 831 |
+
$\divg(N^2\dd\dot f)=0$ with zero height traces, then the
|
| 832 |
+
ordinary harmonic lapse transmission problem with homogeneous
|
| 833 |
+
boundary data, then the homogeneous $w$ divergence problem with
|
| 834 |
+
zero far value. Energy testing makes each variation zero.
|
| 835 |
+
Terms differentiating the source cutoffs carry $u_*$ or vanish
|
| 836 |
+
because $\ell=0$; constitutive-coefficient variations in these
|
| 837 |
+
rows multiply $\dd f=0$ or $\dd w=0$. Index zero now implies
|
| 838 |
+
invertibility of the full field derivative.
|
| 839 |
+
|
| 840 |
+
We supply the finite-dimensional continuation argument so that no
|
| 841 |
+
orientation or uniqueness assumption at the target parameter is
|
| 842 |
+
implicit. Let $\mathcal K$ be the compact set of positive zeros
|
| 843 |
+
of \eqref{eq:transmission-nonlinear-map} over $[0,1]$. By the
|
| 844 |
+
Fredholm assertion, a finite-dimensional subspace
|
| 845 |
+
$\mathfrak Z\subset\mathscr Y$ can be chosen so that
|
| 846 |
+
\begin{equation}
|
| 847 |
+
D_X\mathscr F(X)+\mathfrak Z=\mathscr Y
|
| 848 |
+
\label{eq:transmission-cokernel-span}
|
| 849 |
+
\end{equation}
|
| 850 |
+
at every point of $\mathcal K$: choose local cokernel complements
|
| 851 |
+
and use a finite cover. Surjectivity persists on a neighborhood
|
| 852 |
+
$\mathcal O$ of $\mathcal K$. If $Q$ is the quotient map to
|
| 853 |
+
$\mathscr Y/\mathfrak Z$, then
|
| 854 |
+
\begin{equation}
|
| 855 |
+
\mathcal M=\{(u_*,v)\in\mathcal O:
|
| 856 |
+
Q\mathscr F(u_*,v)=0\}
|
| 857 |
+
\label{eq:transmission-reduction-manifold}
|
| 858 |
+
\end{equation}
|
| 859 |
+
is a smooth finite-dimensional manifold of dimension
|
| 860 |
+
$\dim\mathfrak Z+1$. The field derivative of $Q\mathscr F$
|
| 861 |
+
is onto, so the parameter projection on $\mathcal M$ is a
|
| 862 |
+
submersion. Its only endpoint faces are therefore $u_*=0$ and
|
| 863 |
+
$u_*=1$. Choose a relatively open neighborhood $\mathcal U$ of
|
| 864 |
+
$\mathcal K$ in $\mathcal M$ with compact closure contained in
|
| 865 |
+
$\mathcal O$ and with relative boundary disjoint from the zero
|
| 866 |
+
set. This is possible in the finite-dimensional locally compact
|
| 867 |
+
manifold. The norm of $\mathscr F$ has a positive minimum on
|
| 868 |
+
that relative boundary.
|
| 869 |
+
|
| 870 |
+
Apply Sard's theorem simultaneously to $\mathscr F|_{\mathcal M}$,
|
| 871 |
+
which takes values in $\mathfrak Z$, and its two endpoint faces.
|
| 872 |
+
For a sufficiently small common regular value
|
| 873 |
+
$z\in\mathfrak Z$, its preimage in $\mathcal U$ is a compact
|
| 874 |
+
one-manifold whose boundary lies only on the endpoint faces.
|
| 875 |
+
The implicit function theorem at the unique nondegenerate initial
|
| 876 |
+
zero gives exactly one point on the $u_*=0$ face. Compactness of
|
| 877 |
+
$\overline{\mathcal U}$ excludes other points on that face for
|
| 878 |
+
small $z$: a sequence of such extra points would limit to an
|
| 879 |
+
additional zero, or to the initial zero in its uniqueness
|
| 880 |
+
neighborhood. A compact one-manifold has an even number of
|
| 881 |
+
boundary points. Consequently the $u_*=1$ face is nonempty.
|
| 882 |
+
Let a sequence of these regular values tend to zero and use
|
| 883 |
+
compactness of $\overline{\mathcal U}$ once more. Its limiting
|
| 884 |
+
point is an exact positive zero at $u_*=1$. This proves the
|
| 885 |
+
finite-truncation assertion of
|
| 886 |
+
Proposition~\ref{prop:transmission-existence}.
|
| 887 |
+
|
| 888 |
+
\subsection{Removal of the outer truncation}
|
| 889 |
+
|
| 890 |
+
Keep every internal parameter fixed and let $R\to\infty$ through
|
| 891 |
+
the solutions just obtained. The lapse, slope, and low-order seam
|
| 892 |
+
bounds are locally uniform by
|
| 893 |
+
\eqref{eq:compact-bounds} and Lemma~\ref{lem:seam-holder}. We
|
| 894 |
+
explain why the local upper bound for $w$ is also independent of
|
| 895 |
+
$R$, since the fixed-truncation energy bound alone does not imply
|
| 896 |
+
this assertion.
|
| 897 |
+
|
| 898 |
+
Choose a fixed sphere $\mathcal S$ outside all source supports.
|
| 899 |
+
On its exterior both $N_o$ and $x=N_ow$ are harmonic. For $x$
|
| 900 |
+
this follows directly from the two equations:
|
| 901 |
+
\begin{equation}
|
| 902 |
+
N_o\Delta_{g_o}(N_ow)=-P,
|
| 903 |
+
\label{eq:transmission-exterior-x}
|
| 904 |
+
\end{equation}
|
| 905 |
+
so the conclusion holds wherever $P=0$, in particular beyond
|
| 906 |
+
$\mathcal S$. Both fields have value $1$ at the truncating
|
| 907 |
+
boundary. Positive radial superharmonic barriers on the AF end
|
| 908 |
+
of weight $|x'|^{-\beta}$, with any fixed $0<\beta<1$, bound
|
| 909 |
+
their deviations from $1$ by their bounded values at
|
| 910 |
+
$\mathcal S$ times such a weight. Their construction uses
|
| 911 |
+
$\Delta_{g_o}|x'|^{-\beta}
|
| 912 |
+
=\beta(\beta-1)|x'|^{-\beta-2}
|
| 913 |
+
+O(|x'|^{-\beta-3})<0$ at large radius; enlarge $\mathcal S$
|
| 914 |
+
if necessary. At a finite outer edge the zero deviation is
|
| 915 |
+
consistent with the positive barrier.
|
| 916 |
+
|
| 917 |
+
Suppose the supremum of $w$ on the fixed region inside
|
| 918 |
+
$\mathcal S$ were unbounded, and divide by this supremum $H_j$.
|
| 919 |
+
Exterior harmonic comparison for $x$, together with the global
|
| 920 |
+
positive floor for $N_o$, bounds the normalized $w$ everywhere
|
| 921 |
+
and gives a decay bound $C|x'|^{-\beta}$ for any subsequential
|
| 922 |
+
limit. On compact sets its scalar forcing divided by $H_j$
|
| 923 |
+
tends to zero: $\Sigma_+x$ is bounded by its cutoff and the
|
| 924 |
+
finite state bounds, and $P$ has fixed finite strength. The
|
| 925 |
+
coefficient matrices converge locally along a subsequence by the
|
| 926 |
+
H\"older estimates for $N$ and $\dd f$. Scalar local
|
| 927 |
+
boundedness, H\"older compactness and weak energy estimates
|
| 928 |
+
then give a nonnegative limit $w_\infty$, with a nonzero
|
| 929 |
+
maximum on the fixed compact region, satisfying
|
| 930 |
+
\begin{equation}
|
| 931 |
+
-\divg(A_\infty\dd w_\infty)=0,
|
| 932 |
+
\qquad [w_\infty]_{\mathcal C}=0,
|
| 933 |
+
\qquad [(A_\infty\dd w_\infty)_n]_{\mathcal C}=0,
|
| 934 |
+
\qquad (A_\infty\dd w_\infty)_n|_S=0.
|
| 935 |
+
\label{eq:transmission-normalized-w-limit}
|
| 936 |
+
\end{equation}
|
| 937 |
+
It tends to zero at infinity. This is impossible: on arbitrarily
|
| 938 |
+
large compact joined domains, the weak maximum principle with
|
| 939 |
+
natural inner flux bounds it by the supremum on the distant
|
| 940 |
+
Dirichlet sphere, and that supremum tends to zero. This argument
|
| 941 |
+
uses only the scalar joined divergence form and remains valid for
|
| 942 |
+
the limiting piecewise coefficients. The contradiction proves
|
| 943 |
+
the required compact upper bound for $w$.
|
| 944 |
+
|
| 945 |
+
Without normalization the same exterior barriers show that every
|
| 946 |
+
limit has $N_o,x\to1$, and hence $w\to1$. They also give
|
| 947 |
+
derivative estimates of every fixed order on annuli after scaling,
|
| 948 |
+
by ordinary scalar harmonic estimates for the fixed smooth AF
|
| 949 |
+
metric. On the compact region containing the sources, the
|
| 950 |
+
H\"older estimates and the absorption argument above are uniform
|
| 951 |
+
in $R$: take an auxiliary fixed surrounding annulus, whose
|
| 952 |
+
derivatives are already bounded by these harmonic estimates, and
|
| 953 |
+
use the finite cover of compact patches inside it. A diagonal
|
| 954 |
+
subsequence therefore converges in every fixed smooth norm on
|
| 955 |
+
each closed side on compact sets. Its positive floors and its
|
| 956 |
+
boundary and transmission conditions persist. This proves the
|
| 957 |
+
outer-limit assertion and completes
|
| 958 |
+
Proposition~\ref{prop:transmission-existence}.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/09-scalar-error.tex
ADDED
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|
| 1 |
+
\section{Scalar errors, smoothing, and free enclosures}
|
| 2 |
+
\label{sec:scalar-error}
|
| 3 |
+
|
| 4 |
+
Fix the compact data and the scalar-flat attachment of
|
| 5 |
+
Proposition~\ref{prop:af-attachment}. All solutions in this section are
|
| 6 |
+
the actual solutions, with homotopy parameter equal to one, of
|
| 7 |
+
Proposition~\ref{prop:compact-solutions}. In particular, the notation
|
| 8 |
+
\(N_i,N_o,f,s,w,x,W,T,\ell,\Sigma_\pm,P\) has the meaning given in
|
| 9 |
+
Section~\ref{sec:compact-construction}. Constants can depend on the fixed
|
| 10 |
+
compact data, the positive numbers \(b_*,\delta_0\), the chosen exterior
|
| 11 |
+
collar, and the fixed value of \(L\). They are independent of \(M\), of
|
| 12 |
+
the sufficiently small subsequent lapse cutoff, and of the sufficiently
|
| 13 |
+
large finite penalty strengths, unless stated otherwise. None of the
|
| 14 |
+
arguments in this section restricts the topology of the compact part.
|
| 15 |
+
|
| 16 |
+
We first state the output needed in the final comparison. The capped
|
| 17 |
+
manifold in this statement is auxiliary; no extension of the original
|
| 18 |
+
initial data across its boundary is asserted.
|
| 19 |
+
|
| 20 |
+
\begin{proposition}[Smooth AF comparison and two enclosures]
|
| 21 |
+
\label{prop:af-comparison}
|
| 22 |
+
Let \((\Omega_i,g,K)\) and \((\Omega_o,g_o)\) be the fixed inner data
|
| 23 |
+
and attachment of Proposition~\ref{prop:af-attachment}, with attachment
|
| 24 |
+
mass \(m_o\). Given \(0<\delta<1\) and positive tolerances
|
| 25 |
+
\(\eta_m,\eta_v,\eta_g\), the parameters of
|
| 26 |
+
Proposition~\ref{prop:compact-solutions} can be chosen so that there is
|
| 27 |
+
a smooth complete connected one-ended AF manifold \((X,h')\), a fixed
|
| 28 |
+
topological cap set \(O\) with \(\partial O=S\), and precompact smooth
|
| 29 |
+
open sets \(E_0,E\) containing \(O\) in their interiors, with the
|
| 30 |
+
following properties.
|
| 31 |
+
\begin{enumerate}[label=\textup{(\roman*)}]
|
| 32 |
+
\item The boundaries of \(E_0\) and \(E\) are compact embedded minimal
|
| 33 |
+
surfaces. Both sets are outward minimizing, their open exteriors are
|
| 34 |
+
connected, and
|
| 35 |
+
\begin{equation}
|
| 36 |
+
\Per_{h'}(E_0)\le \Per_{h'}(E).
|
| 37 |
+
\label{eq:unsafe-two-perimeters}
|
| 38 |
+
\end{equation}
|
| 39 |
+
The set \(E_0\) is a largest perimeter minimizing enclosure of \(O\)
|
| 40 |
+
alone, is strictly outward minimizing, and every component of \(E_0\)
|
| 41 |
+
meets \(O\).
|
| 42 |
+
\item On the original side of the caps,
|
| 43 |
+
\begin{equation}
|
| 44 |
+
\Scal_{h'}\ge-2,\qquad
|
| 45 |
+
\Scal_{h'}\ge0\quad\hbox{on }X\setminus E,\qquad
|
| 46 |
+
m_{h'}\le m_o+\eta_m .
|
| 47 |
+
\label{eq:unsafe-comparison-output}
|
| 48 |
+
\end{equation}
|
| 49 |
+
In particular the closed exterior of \(E\) is smooth and complete,
|
| 50 |
+
has exactly one AF end, and has outer minimizing minimal boundary.
|
| 51 |
+
For any fixed \(1/2<\beta<1\), its end has metric decay
|
| 52 |
+
\(O_2(|x'|^{-\beta})\) and scalar decay
|
| 53 |
+
\(O(|x'|^{-2-2\beta})\).
|
| 54 |
+
\item Identify the two original base pieces with their images in
|
| 55 |
+
\(X\setminus\operatorname{int}O\), smoothly on each closed side of
|
| 56 |
+
the seam, and let \(g_{\rm base}\) denote their respective metrics
|
| 57 |
+
\(g,g_o\). For the piecewise graph metric
|
| 58 |
+
\(h=x\bar g\), where \(\bar g=g+s^2\dd f^2\) inside and
|
| 59 |
+
\(\bar g=g_o\) outside, one has
|
| 60 |
+
\begin{equation}
|
| 61 |
+
(1-\eta_g)h\le h'\le(1+\eta_g)h,\qquad
|
| 62 |
+
\bar g\ge g_{\rm base},\qquad
|
| 63 |
+
\dd V_{\bar g}=W\,\dd V_{\rm base},
|
| 64 |
+
\label{eq:unsafe-metric-output}
|
| 65 |
+
\end{equation}
|
| 66 |
+
after decreasing \(\eta_g\) below one if necessary, and
|
| 67 |
+
\begin{equation}
|
| 68 |
+
\int_{\{x<1-\delta\}}W\,\dd V_{\rm base}<\eta_v.
|
| 69 |
+
\label{eq:unsafe-bad-volume-output}
|
| 70 |
+
\end{equation}
|
| 71 |
+
The scalar lower bound and the topology of \(X\setminus
|
| 72 |
+
\operatorname{int}O\) are independent of the large parameters.
|
| 73 |
+
\end{enumerate}
|
| 74 |
+
The order of choice is the following: choose \(b_*,\delta_0\) for the
|
| 75 |
+
mass tolerance, then \(\delta\), the thin exterior omitted collar and
|
| 76 |
+
\(L\) for the volume tolerance, then \(M\), then the lapse cutoff and
|
| 77 |
+
the finite penalty strengths. The corner smoothing is chosen last,
|
| 78 |
+
separately for each resulting fixed solution. In the enclosure
|
| 79 |
+
construction a large fixed scaled ball radius is chosen before \(M\).
|
| 80 |
+
\end{proposition}
|
| 81 |
+
|
| 82 |
+
We prove the proposition in several steps. Throughout, a closed unsafe
|
| 83 |
+
set is used, so excluding it from the new exterior also excludes limits
|
| 84 |
+
of the regions in which the scalar sign is uncertain.
|
| 85 |
+
|
| 86 |
+
\subsection{Uniform geometry at unsafe points}
|
| 87 |
+
|
| 88 |
+
Define \(\mathcal U_M\subset\overline\Omega_i\) by the closed
|
| 89 |
+
versions of the four trace-cutoff inequalities in
|
| 90 |
+
\eqref{eq:compact-trace-cutoff}, together with \(N_i\ge\delta_0\).
|
| 91 |
+
The quotient at \(S\) has the continuous interpretation specified
|
| 92 |
+
there. This is a compact set for each fixed solution. The scalar
|
| 93 |
+
identity \eqref{eq:compact-scalar} and the definition of \(\Sigma_-\)
|
| 94 |
+
show that
|
| 95 |
+
\begin{equation}
|
| 96 |
+
\Scal_h\ge0\quad\hbox{off }\mathcal U_M
|
| 97 |
+
\quad\hbox{on each smooth side of the seam}.
|
| 98 |
+
\label{eq:unsafe-scalar-support}
|
| 99 |
+
\end{equation}
|
| 100 |
+
Indeed the only possibly negative term is
|
| 101 |
+
\(-\ell^2(1-\zeta(N_i))\); it vanishes when the trace cutoff is
|
| 102 |
+
inactive or when \(N_i\le\delta_0\).
|
| 103 |
+
|
| 104 |
+
At \(P\in\mathcal U_M\), set
|
| 105 |
+
\begin{equation}
|
| 106 |
+
N_0=N_i(P),\qquad r_P=x(P)^{-1/2}.
|
| 107 |
+
\label{eq:unsafe-scale}
|
| 108 |
+
\end{equation}
|
| 109 |
+
Since \(f(P)\ge9M/10\), \(z(P)\le1/2\), and
|
| 110 |
+
\(w(P)\ge M^{9/10}\),
|
| 111 |
+
\begin{equation}
|
| 112 |
+
x(P)\ge\frac{\sqrt3}{2}\delta_0 M^{9/10},\qquad
|
| 113 |
+
r_P\le C M^{-9/20}.
|
| 114 |
+
\label{eq:unsafe-radius-bound}
|
| 115 |
+
\end{equation}
|
| 116 |
+
The negative term in the scalar identity is bounded independently of
|
| 117 |
+
\(M\), so \eqref{eq:unsafe-scalar-support} also gives
|
| 118 |
+
\(\Scal_h\ge-1\) everywhere on the two smooth pieces for all
|
| 119 |
+
sufficiently large \(M\).
|
| 120 |
+
|
| 121 |
+
\begin{lemma}[Geometry at the unsafe scale]
|
| 122 |
+
\label{lem:unsafe-blowup}
|
| 123 |
+
There is a constant \(C\ge1\) with the following property. For every
|
| 124 |
+
fixed \(R<\infty\), all sufficiently large \(M\), and every
|
| 125 |
+
\(P\in\mathcal U_M\), the base ball of radius \(Rr_P\) about \(P\)
|
| 126 |
+
does not meet the seam. In interior charts, or in charts flattened at
|
| 127 |
+
\(S\) when necessary, whose unit of base length is \(r_P\),
|
| 128 |
+
\begin{equation}
|
| 129 |
+
C^{-1}\Id\le h\le C\Id
|
| 130 |
+
\label{eq:unsafe-uniform-metric}
|
| 131 |
+
\end{equation}
|
| 132 |
+
on the corresponding ball, restricted to the original side of \(S\).
|
| 133 |
+
The same comparison holds after reflection across \(S\). The constant
|
| 134 |
+
\(C\) is independent of \(R\); the required lower bound for \(M\)
|
| 135 |
+
may depend on \(R\). Equivalently, the order of the quantifiers is
|
| 136 |
+
\begin{equation}
|
| 137 |
+
\exists C\ \forall R<\infty\ \exists M_0(R)\
|
| 138 |
+
\forall M\ge M_0(R)\ \forall P\in\mathcal U_M.
|
| 139 |
+
\label{eq:unsafe-quantifiers}
|
| 140 |
+
\end{equation}
|
| 141 |
+
\end{lemma}
|
| 142 |
+
|
| 143 |
+
\begin{proof}
|
| 144 |
+
We first control the normalized lapse without a slope bound.
|
| 145 |
+
Height compactness and a sublevel argument then exclude positive
|
| 146 |
+
limiting heights and a seam at bounded scaled distance.
|
| 147 |
+
Only after this do we use the gradient estimate to obtain the flat
|
| 148 |
+
graph limit. Finally a truncated Harnack argument controls the
|
| 149 |
+
conformal factor with a constant independent of the fixed scaled radius.
|
| 150 |
+
|
| 151 |
+
It is enough to examine an arbitrary sequence \(M\to\infty\) and
|
| 152 |
+
marked centers \(P\in\mathcal U_M\). Write \(r=r_P\). Use smooth
|
| 153 |
+
base charts, with Fermi charts at a boundary, and rescale their lengths
|
| 154 |
+
by \(r\); equivalently use the base metric \(g_r=r^{-2}g\). On each
|
| 155 |
+
fixed scaled compact set the base metrics converge smoothly to the
|
| 156 |
+
Euclidean metric, or to the Euclidean metric on a half-space. The two
|
| 157 |
+
compact boundary faces \(S\) and \(\mathcal C\) have positive base
|
| 158 |
+
separation, so at most one can remain at a bounded scaled distance.
|
| 159 |
+
|
| 160 |
+
\smallskip\noindent\emph{Lapse bounds before slope bounds.}
|
| 161 |
+
We first obtain lapse estimates without using height-gradient bounds.
|
| 162 |
+
Testing the height equation on nested base balls with a cutoff and a
|
| 163 |
+
height function bounded in absolute value by \(M\) gives, in scaled
|
| 164 |
+
volume units,
|
| 165 |
+
\begin{equation}
|
| 166 |
+
\int_{B_H}(W^2-1)\,\dd V_{g_r}
|
| 167 |
+
\le C_H\frac{M}{r}
|
| 168 |
+
\int_{B_{H'}}N_i\,\dd V_{g_r},\qquad H<H'.
|
| 169 |
+
\label{eq:unsafe-local-height-energy}
|
| 170 |
+
\end{equation}
|
| 171 |
+
For a ball reaching a Dirichlet face, subtract its constant boundary
|
| 172 |
+
height before testing; the boundary term then vanishes. To verify the
|
| 173 |
+
estimate, use \(p\cdot\dd f=W^2-1\), \(|p|\le N_i\),
|
| 174 |
+
\(|T|\le C\), and a cutoff derivative of size \(C_H/r\).
|
| 175 |
+
These are also the only estimates required if the ball meets a face.
|
| 176 |
+
|
| 177 |
+
Put \(U=N_i/N_0\), and let \(A_{H'}\) be a supremum of this
|
| 178 |
+
normalized lapse on a larger fixed scaled patch. The scalar forcing
|
| 179 |
+
in its rescaled equation obeys
|
| 180 |
+
\begin{align}
|
| 181 |
+
\left\|\frac{r^2}{N_0}(\Sigma_++\Sigma_-)\right\|_{L^2(B_H,g_r)}
|
| 182 |
+
&\le C_H\left(r^2+
|
| 183 |
+
M^{1/2}r^{3/2}N_0^{-1/2}A_{H'}^{1/2}\right) \\
|
| 184 |
+
&\le C_H\left(r^2+M^{-7/40}A_{H'}^{1/2}\right).
|
| 185 |
+
\label{eq:unsafe-scaled-source}
|
| 186 |
+
\end{align}
|
| 187 |
+
Here \(\Sigma_+\le LW\), \(|\Sigma_-|\le C\delta_0\),
|
| 188 |
+
\(N_0\ge\delta_0\), and \eqref{eq:unsafe-local-height-energy} were
|
| 189 |
+
used. The divergence drift has size \(O(r)\). The natural flux
|
| 190 |
+
error at \(S\) has size \(O(rb_*/N_0)\); a bounded extension of the
|
| 191 |
+
normal datum incorporates it in the divergence forcing.
|
| 192 |
+
|
| 193 |
+
If no seam is present on the patch, the inhomogeneous Harnack estimate
|
| 194 |
+
for \(U\), including natural-flux reflection at \(S\), bounds the
|
| 195 |
+
smaller supremum by a constant times its infimum plus the right side
|
| 196 |
+
of \eqref{eq:unsafe-scaled-source}. Choose the smaller patch to
|
| 197 |
+
contain the center, or use a boundary-foot ball containing it, so that
|
| 198 |
+
the infimum is at most \(U(P)=1\). Thus, on finitely many nested
|
| 199 |
+
patches,
|
| 200 |
+
\begin{equation}
|
| 201 |
+
A_H\le C_H\left(1+r^2+M^{-7/40}A_{H'}^{1/2}\right).
|
| 202 |
+
\label{eq:unsafe-nonseam-iteration}
|
| 203 |
+
\end{equation}
|
| 204 |
+
The crude bound \(N_i\le C(L)M\) gives \(A_{H'}=O(M)\).
|
| 205 |
+
The exponent of \(M\) improves by
|
| 206 |
+
\(a\mapsto\max(0,a/2-7/40)\). Two applications give
|
| 207 |
+
\(1\mapsto13/40\mapsto0\). We have therefore obtained local
|
| 208 |
+
boundedness by a finite iteration, before asserting that the forcing
|
| 209 |
+
tends to zero.
|
| 210 |
+
|
| 211 |
+
There is a slightly different normalization argument if the seam has
|
| 212 |
+
bounded scaled distance. Reflect the exterior lapse into the inner
|
| 213 |
+
side in the two base Fermi collars, and set
|
| 214 |
+
\(V=U+N_o^{\rm refl}/N_0\). Use the inner density-cometric matrix
|
| 215 |
+
for the summed equation. The common induced metric implies that the
|
| 216 |
+
two matrices differ by \(O(r|t|)\) at scaled distance \(|t|\) from
|
| 217 |
+
the face. Positivity and the interior gradient estimate for the
|
| 218 |
+
harmonic exterior lapse on balls of radius comparable to \(|t|\)
|
| 219 |
+
give
|
| 220 |
+
\begin{equation}
|
| 221 |
+
|(a_i-a_o^{\rm refl})\nabla(N_o^{\rm refl}/N_0)|
|
| 222 |
+
\le Cr(N_o^{\rm refl}/N_0).
|
| 223 |
+
\label{eq:unsafe-seam-drift}
|
| 224 |
+
\end{equation}
|
| 225 |
+
The exterior is harmonic on the fixed omitted collar, which contains
|
| 226 |
+
every such scaled patch for large \(M\). The inner drift obeys the
|
| 227 |
+
same bound with \(U\). Consequently the total correction is a
|
| 228 |
+
bounded divergence drift of size \(Cr\) times \(V\), with zero
|
| 229 |
+
natural flux at the face, and the scalar forcing is still bounded by
|
| 230 |
+
\eqref{eq:unsafe-scaled-source} with a larger supremum of \(V\).
|
| 231 |
+
|
| 232 |
+
The infimum in Harnack for \(V\) must be anchored to the inner
|
| 233 |
+
center value. Here is that step explicitly. Let \(m\) be the
|
| 234 |
+
infimum of \(V\) on a fixed smaller half-patch containing the
|
| 235 |
+
center and a central disk in the face. On the face,
|
| 236 |
+
\(N_o=dN_i\), \(0<d\le1\), whence \(U\ge m/2\).
|
| 237 |
+
Choose a fixed smooth half-domain with that flat disk in its boundary
|
| 238 |
+
and containing the center. The harmonic measure of a smaller disk
|
| 239 |
+
at the center is bounded below by a fixed positive number; this
|
| 240 |
+
remains true as the center approaches that disk. Write \(U=H+e\),
|
| 241 |
+
where \(H\) is the harmonic replacement with the same boundary
|
| 242 |
+
values. The zero-Dirichlet estimate for \(e\), using divergence
|
| 243 |
+
forcing in \(L^p\), \(3<p<6\), and scalar forcing in \(L^2\),
|
| 244 |
+
gives
|
| 245 |
+
\begin{equation}
|
| 246 |
+
\|e\|_\infty\le
|
| 247 |
+
C_H\left(rA_{H'}+r^2+M^{-7/40}A_{H'}^{1/2}\right).
|
| 248 |
+
\label{eq:unsafe-replacement-error}
|
| 249 |
+
\end{equation}
|
| 250 |
+
The remaining boundary values of \(H\) are nonnegative, and
|
| 251 |
+
\(U(P)=1\). Harmonic measure therefore bounds \(m\) by a
|
| 252 |
+
constant times one plus this error. Combining this with the Harnack
|
| 253 |
+
estimate for the reflected sum yields
|
| 254 |
+
\begin{equation}
|
| 255 |
+
A_H\le C_H\left(1+rA_{H'}+r^2+
|
| 256 |
+
M^{-7/40}A_{H'}^{1/2}\right).
|
| 257 |
+
\label{eq:unsafe-seam-iteration}
|
| 258 |
+
\end{equation}
|
| 259 |
+
Starting again from \(O(M)\), the exponent improves by
|
| 260 |
+
\(a\mapsto\max(0,a-9/20,a/2-7/40)\). Three nested applications
|
| 261 |
+
give \(1\mapsto11/20\mapsto1/10\mapsto0\). Thus the sum is
|
| 262 |
+
locally bounded. This argument uses no derivative of the seam trace
|
| 263 |
+
ratio and no separate trace compactness for either lapse.
|
| 264 |
+
|
| 265 |
+
The forcing in \eqref{eq:unsafe-scaled-source} now tends to zero.
|
| 266 |
+
Local Laplace estimates give \(W^{1,p}\) bounds, \(p>3\), and
|
| 267 |
+
H\"older compactness, including reflected natural boundary estimates
|
| 268 |
+
when appropriate. Without a seam, every subsequential limit is a
|
| 269 |
+
positive harmonic function on all of \(\R^3\), or on a half-space
|
| 270 |
+
with zero Neumann data. Positive harmonic Liouville, after reflection
|
| 271 |
+
in the latter case, and the center normalization show that the limit
|
| 272 |
+
is one. At a seam the reflected sum has instead a positive constant
|
| 273 |
+
limit. Its constant is positive because it is at least the inner
|
| 274 |
+
center value. Its trace lower bound, the relation \(U\ge V/2\)
|
| 275 |
+
on the face, and harmonic replacement with the error
|
| 276 |
+
\eqref{eq:unsafe-replacement-error} tending to zero give a positive
|
| 277 |
+
lower bound for the inner lapse up to the face. On compact open
|
| 278 |
+
inner sets it converges, in a smaller H\"older exponent, to a smooth
|
| 279 |
+
positive harmonic function. These conclusions hold on every fixed
|
| 280 |
+
patch by diagonal extraction. In particular both upper and positive
|
| 281 |
+
lower lapse bounds are now available in every case.
|
| 282 |
+
|
| 283 |
+
\smallskip\noindent\emph{Height compactness.}
|
| 284 |
+
We turn to the height, setting
|
| 285 |
+
\begin{equation}
|
| 286 |
+
\mathcal F=\frac{N_0(M-f)}{r},\qquad
|
| 287 |
+
\mathcal U=\frac{N_i}{N_0},\qquad \widetilde s=\frac{s}{N_0}.
|
| 288 |
+
\label{eq:unsafe-normalized-height}
|
| 289 |
+
\end{equation}
|
| 290 |
+
It is nonnegative and \(\mathcal F(P)\le M^{-1}\) by the closed
|
| 291 |
+
cutoff inequality. Its flux in the metric \(g_r\) is
|
| 292 |
+
\begin{equation}
|
| 293 |
+
\mathfrak p=\widetilde s^2\nabla_{g_r}\mathcal F
|
| 294 |
+
=-\frac r{N_0}p,\qquad
|
| 295 |
+
\divg_{g_r}\mathfrak p=-rT\mathcal U=o(1).
|
| 296 |
+
\label{eq:unsafe-height-equation}
|
| 297 |
+
\end{equation}
|
| 298 |
+
The constitutive rule is unchanged:
|
| 299 |
+
\(\widetilde s^2+|\mathfrak p|_{g_r}^2=\mathcal U^2\).
|
| 300 |
+
If \(\mathcal U\) is frozen at its actual value, the flux is
|
| 301 |
+
strictly monotone in its gradient argument \(\xi\), and the positive
|
| 302 |
+
upper and lower lapse bounds give
|
| 303 |
+
\begin{equation}
|
| 304 |
+
\langle\mathfrak p(\xi),\xi\rangle
|
| 305 |
+
\ge c\min(|\xi|^2,|\xi|),\qquad
|
| 306 |
+
|\mathfrak p(\xi)|^2
|
| 307 |
+
\le C\langle\mathfrak p(\xi),\xi\rangle.
|
| 308 |
+
\label{eq:unsafe-flux-coercivity}
|
| 309 |
+
\end{equation}
|
| 310 |
+
For example, in an orthonormal frame
|
| 311 |
+
\(\mathfrak p(\xi)=a\xi\), where
|
| 312 |
+
\(a+a^2|\xi|^2=\mathcal U^2\); these assertions follow directly
|
| 313 |
+
by differentiation and by considering \(|\xi|\le1\) and
|
| 314 |
+
\(|\xi|\ge1\).
|
| 315 |
+
|
| 316 |
+
We require a compactness argument for possibly very steep graphs.
|
| 317 |
+
In the product of a scaled base chart with a height line, the bounded
|
| 318 |
+
vector field \((-\mathfrak p,1)\) has bounded divergence and its
|
| 319 |
+
pairing with the upward unit graph normal is bounded below by a
|
| 320 |
+
positive constant, by \eqref{eq:unsafe-flux-coercivity}. Gauss--Green
|
| 321 |
+
applied to the subgraph and supergraph in product balls gives, for
|
| 322 |
+
either side's volume function \(V(a)\), an upper bound
|
| 323 |
+
\(C(V'(a)+V(a))\) for the graph perimeter in that ball. It also
|
| 324 |
+
gives local perimeter bounds by using fixed surrounding balls.
|
| 325 |
+
The four-dimensional isoperimetric inequality, at sufficiently small
|
| 326 |
+
radii to absorb the volume term, yields
|
| 327 |
+
\(V'(a)\ge cV(a)^{3/4}\). Thus at every interior graph point both
|
| 328 |
+
sides have volume at least \(ca^4\). These constants are uniform
|
| 329 |
+
on each of the fixed patches under consideration.
|
| 330 |
+
|
| 331 |
+
At \(S\), \(\mathcal F=0\). For product balls at heights bounded
|
| 332 |
+
away above zero, extend the subgraph as the empty set across the
|
| 333 |
+
face. There is no new face perimeter, because its trace is empty
|
| 334 |
+
there. The same subgraph density estimate is therefore valid even
|
| 335 |
+
when the ball reaches \(S\). BV compactness on open inner product
|
| 336 |
+
patches and vertical nesting now give a subsequence such that all
|
| 337 |
+
bounded height truncations converge in local measure to those of an
|
| 338 |
+
extended measurable function \(\mathcal F_\infty\ge0\), whose
|
| 339 |
+
value is allowed initially to be \(+\infty\).
|
| 340 |
+
|
| 341 |
+
We next prove that a nonzero limiting height forces a positive lower
|
| 342 |
+
bound. On a ball \(B_H\) contained in the inner side, test
|
| 343 |
+
\eqref{eq:unsafe-height-equation} with
|
| 344 |
+
\(\chi^2(k-\mathcal F)^+\), where \(\chi=1\) on \(B_h\).
|
| 345 |
+
By \eqref{eq:unsafe-flux-coercivity} and Young's inequality,
|
| 346 |
+
\begin{equation}
|
| 347 |
+
\int_{B_h}\min(|\dd(k-\mathcal F)^+|^2,
|
| 348 |
+
|\dd(k-\mathcal F)^+|)
|
| 349 |
+
\le C\left(\frac{k^2}{(H-h)^2}+\varepsilon_M k\right)
|
| 350 |
+
|\{\mathcal F<k\}\cap B_H|,
|
| 351 |
+
\label{eq:unsafe-sublevel-energy}
|
| 352 |
+
\end{equation}
|
| 353 |
+
where \(\varepsilon_M\to0\) on the fixed patch. The same test is
|
| 354 |
+
allowed on a half-patch with extension by zero across a Dirichlet
|
| 355 |
+
face whose height exceeds \(k\). On the portion with derivative at
|
| 356 |
+
most one, use Cauchy--Schwarz; on its complement use the linear part
|
| 357 |
+
of the energy. The \(W^{1,1}\) Sobolev inequality for an
|
| 358 |
+
intermediate cutoff then gives, for \(0<l<k\),
|
| 359 |
+
\begin{equation}
|
| 360 |
+
(k-l)|\{\mathcal F<l\}\cap B_h|^{2/3}
|
| 361 |
+
\le C\left(\frac{k}{H-h}+
|
| 362 |
+
\frac{k^2}{(H-h)^2}+o(1)\right)
|
| 363 |
+
|\{\mathcal F<k\}\cap B_H|.
|
| 364 |
+
\label{eq:unsafe-sublevel-sobolev}
|
| 365 |
+
\end{equation}
|
| 366 |
+
The error here includes \((\varepsilon_M k)^{1/2}\) and
|
| 367 |
+
\(\varepsilon_M k\), which tend to zero for fixed levels.
|
| 368 |
+
|
| 369 |
+
For completeness, take radii decreasing from \(H\) to \(H/2\)
|
| 370 |
+
and levels decreasing from \(k\) to \(k/2\) geometrically. First
|
| 371 |
+
take \(M\) sufficiently large at the fixed \(H,k\) to absorb the
|
| 372 |
+
forcing into the first cutoff term. This also absorbs it at every
|
| 373 |
+
later step, since the level remains at least \(k/2\) and the cutoff
|
| 374 |
+
derivatives only increase. After dividing volumes by \(H^3\),
|
| 375 |
+
\eqref{eq:unsafe-sublevel-sobolev} has the form
|
| 376 |
+
\begin{equation}
|
| 377 |
+
v_{j+1}^{2/3}\le C^{j+1}(1+k/H)v_j.
|
| 378 |
+
\label{eq:unsafe-sublevel-iteration}
|
| 379 |
+
\end{equation}
|
| 380 |
+
For \(0<k\le H\), a sufficiently small initial fraction, with a
|
| 381 |
+
threshold independent of \(k/H\), therefore forces \(v_j\to0\).
|
| 382 |
+
If \(\mathcal F_\infty\) is not zero almost everywhere, choose
|
| 383 |
+
a density ball of one of its positive superlevel sets and then a
|
| 384 |
+
small fixed \(k>0\). Convergence of truncations supplies that
|
| 385 |
+
small initial fraction. Consequently \(\mathcal F\ge k/2\)
|
| 386 |
+
on a smaller open inner ball for all sufficiently large indices.
|
| 387 |
+
|
| 388 |
+
This lower bound propagates to compact subsets of the connected
|
| 389 |
+
limiting inner domain. To justify propagation for the capped flux,
|
| 390 |
+
choose a fixed smooth connecting subdomain with a small nonnegative
|
| 391 |
+
Dirichlet bump on a boundary portion inside the known positive ball
|
| 392 |
+
and zero data elsewhere. On this subdomain the actual lapse fields
|
| 393 |
+
converge in a H\"older exponent to smooth positive coefficients.
|
| 394 |
+
The flux is smooth and uniformly elliptic near zero gradient. The
|
| 395 |
+
Dirichlet inverse of its linearization at zero maps divergence
|
| 396 |
+
\(C^\gamma\) data to \(C^{1,\gamma}\); contraction in a small
|
| 397 |
+
\(C^{1,\gamma}\) ball therefore supplies small-gradient barriers,
|
| 398 |
+
uniformly for the sequence, with divergence a positive constant
|
| 399 |
+
tending to zero that dominates the right side of
|
| 400 |
+
\eqref{eq:unsafe-height-equation}. Their limiting solutions have
|
| 401 |
+
positive interior values by the strict maximum principle. The
|
| 402 |
+
constructed boundary values are below those of \(\mathcal F\).
|
| 403 |
+
Strict gradient-flux monotonicity, testing the positive part of the
|
| 404 |
+
barrier minus \(\mathcal F\), proves comparison in the required
|
| 405 |
+
direction. A finite chain of such domains and a finite covering
|
| 406 |
+
prove propagation on every compact inner subset.
|
| 407 |
+
|
| 408 |
+
In the \(S\) alternative, the lapse convergence is also H\"older
|
| 409 |
+
up to that face. The connecting subdomains may then reach a flat
|
| 410 |
+
boundary patch, with zero data on that portion. The limiting
|
| 411 |
+
barrier is smooth there and has strictly positive inward derivative
|
| 412 |
+
by Hopf's lemma. The \(C^1\) convergence of the barriers gives
|
| 413 |
+
a uniform lower bound by a positive constant times inward scaled
|
| 414 |
+
distance. This contradicts the closed unsafe condition
|
| 415 |
+
\begin{equation}
|
| 416 |
+
\frac{\mathcal F(P)}{d_S(P)/r}\le M^{-1},
|
| 417 |
+
\label{eq:unsafe-boundary-touchdown}
|
| 418 |
+
\end{equation}
|
| 419 |
+
with the normal derivative interpretation if \(P\in S\).
|
| 420 |
+
An interior limiting center is already excluded by
|
| 421 |
+
\(\mathcal F(P)\le M^{-1}\). Thus a nonzero limiting height
|
| 422 |
+
is impossible in these two alternatives.
|
| 423 |
+
|
| 424 |
+
\smallskip\noindent\emph{Excluding seam limits.}
|
| 425 |
+
If the center approaches the seam, the boundary height is instead
|
| 426 |
+
\(N_0M/r\to\infty\). A positive limiting height propagates
|
| 427 |
+
through the open half-space as above. On a fixed ball reaching the
|
| 428 |
+
face, omit first a thin strip adjacent to the face. The lower
|
| 429 |
+
bound on the remaining compact set, followed by a small choice of
|
| 430 |
+
\(k\), makes the starting sublevel fraction arbitrarily small.
|
| 431 |
+
Apply \eqref{eq:unsafe-sublevel-iteration} with the negative part
|
| 432 |
+
extended by zero across the seam. It supplies a positive lower
|
| 433 |
+
bound up to the central face patch and contradicts center
|
| 434 |
+
touchdown. This step does not require H\"older convergence of
|
| 435 |
+
the individual lapse traces.
|
| 436 |
+
|
| 437 |
+
The zero almost everywhere alternative is also impossible at a
|
| 438 |
+
seam. On a fixed half-patch choose a smooth nonnegative function
|
| 439 |
+
\(b\) with amplitude \(k\), derivative \(O(k)\), positive by
|
| 440 |
+
\(ck\) on a central face disk and zero near the other edges.
|
| 441 |
+
The test \((b-\mathcal F)^+\) has zero boundary trace, since the
|
| 442 |
+
seam height tends to infinity. Monotonicity and
|
| 443 |
+
\eqref{eq:unsafe-flux-coercivity} give
|
| 444 |
+
\begin{equation}
|
| 445 |
+
\int_{\{\mathcal F<b\}}\min(|\dd\mathcal F|^2,
|
| 446 |
+
|\dd\mathcal F|)
|
| 447 |
+
\le Ck^2+o(1)k.
|
| 448 |
+
\label{eq:unsafe-seam-energy}
|
| 449 |
+
\end{equation}
|
| 450 |
+
The function \(v=\min(\mathcal F,b)\) has trace \(b\) on
|
| 451 |
+
that disk and tends to zero in measure in the interior. On almost
|
| 452 |
+
every line normal to a smaller central disk, the fundamental
|
| 453 |
+
theorem of calculus, followed by averaging over interior slices of
|
| 454 |
+
a fixed thin collar \(D_\varepsilon\), gives
|
| 455 |
+
\(\int_{D_\varepsilon}|\dd v|\ge ck-o(1)\). Here convergence
|
| 456 |
+
in measure suffices because \(0\le v\le k\). Since
|
| 457 |
+
\(\min(t^2,t)\ge t-1/4\) for \(t\ge0\), the left side of
|
| 458 |
+
\eqref{eq:unsafe-seam-energy} is at least
|
| 459 |
+
\begin{equation}
|
| 460 |
+
ck-Ck|D_\varepsilon|-\tfrac14|D_\varepsilon|-o(1).
|
| 461 |
+
\label{eq:unsafe-seam-trace-cost}
|
| 462 |
+
\end{equation}
|
| 463 |
+
Choose first \(k>0\) small enough that \(ck\) dominates
|
| 464 |
+
\(Ck^2\), and then the collar thin enough. This contradicts
|
| 465 |
+
\eqref{eq:unsafe-seam-energy}. All possible seam limits have now
|
| 466 |
+
been excluded. Consequently
|
| 467 |
+
\begin{equation}
|
| 468 |
+
\dist_g(P,\mathcal C)/r_P\longrightarrow\infty,
|
| 469 |
+
\qquad \mathcal F_\infty=0
|
| 470 |
+
\quad\hbox{almost everywhere in the remaining limits}.
|
| 471 |
+
\label{eq:unsafe-seam-escape}
|
| 472 |
+
\end{equation}
|
| 473 |
+
|
| 474 |
+
\smallskip\noindent\emph{Uniform height and slope convergence.}
|
| 475 |
+
The height convergence is in fact uniform on every scaled compact
|
| 476 |
+
set, including up to \(S\). Otherwise continuity and local
|
| 477 |
+
convergence in measure produce graph points at some fixed positive
|
| 478 |
+
height in a slightly larger patch. A fixed small product ball at
|
| 479 |
+
such a point has uniformly positive subgraph volume by the density
|
| 480 |
+
bound proved above. But that volume tends to zero because the
|
| 481 |
+
limiting height is zero. If the points approach \(S\), use the
|
| 482 |
+
empty extension across the face; alternatively omit a thin boundary
|
| 483 |
+
strip before taking the limit. The strip has too little product
|
| 484 |
+
volume to account for the density lower bound. This excludes
|
| 485 |
+
positive spikes as well as bounded positive plateaus.
|
| 486 |
+
|
| 487 |
+
We can now apply the differential gradient estimate
|
| 488 |
+
Lemma~\ref{lem:gradient-maximum}. Under the rescaling above the
|
| 489 |
+
synthetic endomorphism and trace target become \(-rK\) and
|
| 490 |
+
\(-rT\), and the lapse current becomes \((r^2/N_0)B\), so the
|
| 491 |
+
same identity applies. Maximize
|
| 492 |
+
\begin{equation}
|
| 493 |
+
-\log\widetilde s+j(\mathcal F)+k_0\log\chi,
|
| 494 |
+
\label{eq:unsafe-local-gradient-test}
|
| 495 |
+
\end{equation}
|
| 496 |
+
where \(k_0\ge2\), \(\chi\) is a fixed local cutoff, and
|
| 497 |
+
\(j',j''\) are positive, bounded, and bounded away from zero on
|
| 498 |
+
the now bounded height range. If \(m=|\dd\mathcal F|_{g_r}\),
|
| 499 |
+
the constitutive relations give
|
| 500 |
+
\begin{equation}
|
| 501 |
+
qm^2=\frac{J}{\widetilde s^2}
|
| 502 |
+
=\frac{JW^2}{\mathcal U^2},\qquad
|
| 503 |
+
(1-y)^2(j'm)^2=\frac{(j')^2z^2}{\mathcal U^2}.
|
| 504 |
+
\label{eq:unsafe-scaled-gradient-algebra}
|
| 505 |
+
\end{equation}
|
| 506 |
+
At an interior maximum with \(y\ge1/2\), the positive leading
|
| 507 |
+
term therefore controls \(W^2\). The source term has size
|
| 508 |
+
\(r^2\Sigma_+/N_i\le CW\), and localization costs
|
| 509 |
+
\(C\chi^{-2}\). Hence
|
| 510 |
+
\begin{equation}
|
| 511 |
+
cW^2\le C(1+W+\chi^{-2}).
|
| 512 |
+
\label{eq:unsafe-slope-bound}
|
| 513 |
+
\end{equation}
|
| 514 |
+
At \(S\), \eqref{eq:calculus-boundary-lapse}, \(B_n=-b_*\),
|
| 515 |
+
\(k_T\hat z\ge0\), and \(H_g\le0\) give
|
| 516 |
+
\(\partial_n(-\log\widetilde s)\ge0\) for the inward normal.
|
| 517 |
+
Also \(\partial_n\mathcal F=m\ge0\). The derivative condition
|
| 518 |
+
at a boundary maximum in \eqref{eq:unsafe-local-gradient-test}
|
| 519 |
+
therefore gives \(j'm\le C/\chi\), which controls that case.
|
| 520 |
+
When \(y<1/2\), \(W\le\sqrt2\) directly. The maximum test
|
| 521 |
+
and \(k_0\ge2\) thus bound \(W\) on a smaller patch.
|
| 522 |
+
|
| 523 |
+
After this finite slope bound, differentiating the height divergence
|
| 524 |
+
equation gives uniformly elliptic scalar divergence equations for
|
| 525 |
+
its first derivatives. Their divergence forcing is controlled in
|
| 526 |
+
\(L^p\), \(p>3\), by the normalized lapse estimates. Odd
|
| 527 |
+
reflection of \(\mathcal F\), with even reflection of lapse and
|
| 528 |
+
the Fermi metric, gives the same estimate at \(S\). The resulting
|
| 529 |
+
gradient H\"older estimates and the uniform height convergence
|
| 530 |
+
imply
|
| 531 |
+
\begin{equation}
|
| 532 |
+
\mathcal U\longrightarrow1,\qquad
|
| 533 |
+
\dd\mathcal F\longrightarrow0,\qquad
|
| 534 |
+
\widetilde s\longrightarrow1
|
| 535 |
+
\label{eq:unsafe-flat-graph-limit}
|
| 536 |
+
\end{equation}
|
| 537 |
+
on every fixed scaled compact set.
|
| 538 |
+
|
| 539 |
+
\smallskip\noindent\emph{The conformal factor.}
|
| 540 |
+
It remains to control the conformal factor uniformly in the chosen
|
| 541 |
+
fixed radius. Put \(w'=w/w(P)\). On every fixed scaled patch,
|
| 542 |
+
the height just proved gives \(f\ge9M/10\), hence \(w\ge T_1\)
|
| 543 |
+
with \(T_1=M^{9/10}\). The lapse is eventually at least
|
| 544 |
+
\(\delta_0/2\); choose the subsequent cutoff
|
| 545 |
+
\(\eps<\delta_0/8\). Also
|
| 546 |
+
\(x=sw\to\infty\) there. The volume source and the low-lapse
|
| 547 |
+
penalty are consequently absent. The positive function \(w'\)
|
| 548 |
+
is a supersolution for its uniformly elliptic divergence principal
|
| 549 |
+
part, while
|
| 550 |
+
\(v'=(w'-a)^+\), \(a=4T_1/w(P)\), is a subsolution: above
|
| 551 |
+
that truncation the remaining height penalty vanishes as well.
|
| 552 |
+
Weak Harnack for \(w'\), combined with the local supremum bound
|
| 553 |
+
for \(v'\) with the same positive mean exponent, gives on balls
|
| 554 |
+
with fixed nesting ratios
|
| 555 |
+
\begin{equation}
|
| 556 |
+
\sup_{B_R}w'
|
| 557 |
+
\le a+C\left(\frac1{|B_{2R}|}\int_{B_{2R}}(w')^p\right)^{1/p}
|
| 558 |
+
\le a+C'\inf_{B_R}w'\le(4+C')\inf_{B_R}w'.
|
| 559 |
+
\label{eq:unsafe-w-harnack}
|
| 560 |
+
\end{equation}
|
| 561 |
+
The last step uses \(w'\ge T_1/w(P)=a/4\). Natural zero flux
|
| 562 |
+
permits reflection at \(S\).
|
| 563 |
+
|
| 564 |
+
These constants can be chosen independently of the fixed radius.
|
| 565 |
+
Indeed, on each arbitrarily large fixed patch the normalized
|
| 566 |
+
principal matrices tend to the identity by
|
| 567 |
+
\eqref{eq:unsafe-flat-graph-limit}. If the boundary is far enough,
|
| 568 |
+
use concentric balls about the center with universal radius ratios.
|
| 569 |
+
Otherwise use comparable larger balls about its boundary foot in a
|
| 570 |
+
single flattened chart, and reflect. The smaller ball contains both
|
| 571 |
+
the center and the requested region. Uniform ellipticity with fixed
|
| 572 |
+
constants and dilation invariance of the homogeneous estimates give
|
| 573 |
+
one common constant in \eqref{eq:unsafe-w-harnack}. The index from
|
| 574 |
+
which that constant applies may depend on the radius. Since
|
| 575 |
+
\(w'(P)=1\), it follows that \(C^{-1}\le w'\le C\).
|
| 576 |
+
|
| 577 |
+
In the rescaled coordinates the metric is
|
| 578 |
+
\begin{equation}
|
| 579 |
+
h=\frac{x}{x(P)}
|
| 580 |
+
\left(g_r+\widetilde s^2\dd\mathcal F^2\right),
|
| 581 |
+
\qquad
|
| 582 |
+
\frac{x}{x(P)}=\frac{\widetilde s}{\widetilde s(P)}w'.
|
| 583 |
+
\label{eq:unsafe-rescaled-metric}
|
| 584 |
+
\end{equation}
|
| 585 |
+
Here, as usual, the expression denotes its pullback by the coordinate
|
| 586 |
+
rescaling. Equations~\eqref{eq:unsafe-flat-graph-limit} and
|
| 587 |
+
\eqref{eq:unsafe-w-harnack} prove
|
| 588 |
+
\eqref{eq:unsafe-uniform-metric}. At \(S\) the mixed metric
|
| 589 |
+
entries vanish, so reflection preserves this comparison. If the
|
| 590 |
+
uniform statement of the lemma failed, a sequence violating it would
|
| 591 |
+
admit precisely the subsequences just analyzed, a contradiction.
|
| 592 |
+
\end{proof}
|
| 593 |
+
|
| 594 |
+
\subsection{Mass and a fixed enclosing comparator}
|
| 595 |
+
|
| 596 |
+
On the AF end outside a common compact support, \(N_o\) and
|
| 597 |
+
\(x=N_ow\) are harmonic and tend to one. Radial barriers of
|
| 598 |
+
weight \(|x'|^{-\beta}\), \(1/2<\beta<1\), and estimates on
|
| 599 |
+
annuli rescaled to unit size give
|
| 600 |
+
\begin{equation}
|
| 601 |
+
N_o=1+O_2(|x'|^{-\beta}),\qquad
|
| 602 |
+
x=1+O_2(|x'|^{-\beta}).
|
| 603 |
+
\label{eq:unsafe-af-decay}
|
| 604 |
+
\end{equation}
|
| 605 |
+
The constants in these end bounds can depend on the fixed solution.
|
| 606 |
+
Thus \(h=xg_o\) is AF of this order. Since \(g_o\) is scalar
|
| 607 |
+
flat and \(x\) is harmonic there, its scalar curvature is
|
| 608 |
+
\(O(|x'|^{-2-2\beta})\), an integrable decay rate.
|
| 609 |
+
|
| 610 |
+
The ADM flux of the conformal metric error gives
|
| 611 |
+
\begin{equation}
|
| 612 |
+
m_h-m_o=-\frac1{8\pi}
|
| 613 |
+
\lim_{R\to\infty}\int_{|x'|=R}\partial_nx\,\dd A_{g_o}.
|
| 614 |
+
\label{eq:unsafe-adm-flux}
|
| 615 |
+
\end{equation}
|
| 616 |
+
One may replace the conormal-area product by its Euclidean version:
|
| 617 |
+
the error is quadratic in the decaying fields and tends to zero.
|
| 618 |
+
On this end the current in \eqref{eq:calculus-compact-current} is
|
| 619 |
+
\(Q=N_o\nabla x+(1-x)\nabla N_o\), whose flux has the same
|
| 620 |
+
limit as \(\nabla x\). Integration of its divergence over both
|
| 621 |
+
pieces, cancellation of the matched seam fluxes with their common
|
| 622 |
+
base area form, and the outward flux \(+b_*\) at \(S\) yield
|
| 623 |
+
\begin{equation}
|
| 624 |
+
8\pi(m_h-m_o)
|
| 625 |
+
=\int_S b_*\,\dd A_g
|
| 626 |
+
+\int\big((x-1)\Sigma_++P-\Sigma_-\big)\,\dd V_{\rm base}.
|
| 627 |
+
\label{eq:unsafe-mass-budget}
|
| 628 |
+
\end{equation}
|
| 629 |
+
This also proves existence of the ADM limit: the current divergence
|
| 630 |
+
has compact support. By Lemma~\ref{lem:compact-penalties},
|
| 631 |
+
\begin{equation}
|
| 632 |
+
\limsup_{M\to\infty}(m_h-m_o)\le C(b_*+\delta_0).
|
| 633 |
+
\label{eq:unsafe-mass-limsup}
|
| 634 |
+
\end{equation}
|
| 635 |
+
The constant on the right uses only the fixed compact data. The
|
| 636 |
+
penalty cutoff makes \((x-1)\Sigma_+\le0\), and the positive
|
| 637 |
+
penalty costs tend to zero after the subsequent choices specified
|
| 638 |
+
in Section~\ref{sec:compact-construction}.
|
| 639 |
+
|
| 640 |
+
We will need a competitor whose area remains bounded as \(M\)
|
| 641 |
+
increases. Fix a sphere \(\mathcal S_1\) in the attached end
|
| 642 |
+
beyond all source supports. Let \(\psi_1\) be its exterior
|
| 643 |
+
capacitary potential: it is harmonic, is one on \(\mathcal S_1\),
|
| 644 |
+
and tends to zero at infinity. Existence follows by solving on
|
| 645 |
+
compact annuli, using the preceding barriers, and taking a limit.
|
| 646 |
+
The function \(\gamma_1=-\partial_n\psi_1\) is strictly positive
|
| 647 |
+
on the sphere by Hopf's lemma. Green's formula for \(x-1\) and
|
| 648 |
+
\(\psi_1\) gives
|
| 649 |
+
\begin{equation}
|
| 650 |
+
\int_{\mathcal S_1}\gamma_1(x-1)\,\dd A_{g_o}
|
| 651 |
+
=-\lim_{R\to\infty}\int_{|x'|=R}\partial_nx\,\dd A_{g_o}
|
| 652 |
+
=8\pi(m_h-m_o).
|
| 653 |
+
\label{eq:unsafe-capacity-comparator}
|
| 654 |
+
\end{equation}
|
| 655 |
+
The boundary term at infinity in the first Green identity vanishes
|
| 656 |
+
by \(\beta>1/2\); alternatively apply the harmonic flux identity
|
| 657 |
+
for \(x\) on the intervening annulus. Positivity of \(x\), the
|
| 658 |
+
positive minimum of \(\gamma_1\), and the upper mass bound imply
|
| 659 |
+
\begin{equation}
|
| 660 |
+
\Area_h(\mathcal S_1)
|
| 661 |
+
=\int_{\mathcal S_1}x\,\dd A_{g_o}\le C_*.
|
| 662 |
+
\label{eq:unsafe-comparator-bound}
|
| 663 |
+
\end{equation}
|
| 664 |
+
For the fixed earlier choices, \(C_*\) is independent of large
|
| 665 |
+
\(M\) and of the later parameters. It is also independent of
|
| 666 |
+
the scaled radius of the obstacles introduced below.
|
| 667 |
+
|
| 668 |
+
\subsection{Removing the corner}
|
| 669 |
+
|
| 670 |
+
The collar mollification and conformal correction below use Miao's
|
| 671 |
+
corner-smoothing method \cite{Miao2002}. We give the local argument for
|
| 672 |
+
the present unsafe-set and cap construction, rather than invoke his
|
| 673 |
+
global positive mass theorem.
|
| 674 |
+
|
| 675 |
+
\begin{lemma}[Corner smoothing with controlled mass]
|
| 676 |
+
\label{lem:corner-smoothing}
|
| 677 |
+
For each sufficiently large fixed solution, the joined metric \(h\)
|
| 678 |
+
admits smooth AF replacements \(h'\) on the original side of the
|
| 679 |
+
caps such that, with errors made arbitrarily small separately at
|
| 680 |
+
that solution,
|
| 681 |
+
\begin{equation}
|
| 682 |
+
h'=(1+o(1))h\ \hbox{as quadratic forms},\qquad
|
| 683 |
+
m_{h'}=m_h+o(1),\qquad H_{h'}(S)<0.
|
| 684 |
+
\label{eq:unsafe-smoothing-estimates}
|
| 685 |
+
\end{equation}
|
| 686 |
+
They satisfy \(\Scal_{h'}\ge0\) off \(\mathcal U_M\) and
|
| 687 |
+
\(\Scal_{h'}\ge-2\) everywhere on the original side of the
|
| 688 |
+
caps. Their AF metric and scalar decay are those of
|
| 689 |
+
\eqref{eq:unsafe-af-decay}.
|
| 690 |
+
\end{lemma}
|
| 691 |
+
|
| 692 |
+
\begin{proof}
|
| 693 |
+
By Lemma~\ref{lem:unsafe-blowup} the closed unsafe set is disjoint
|
| 694 |
+
from the seam for large \(M\). Glue the two metrics using their
|
| 695 |
+
own Gaussian normal collars. In the resulting smooth manifold
|
| 696 |
+
structure the joined metric is continuous and has the form
|
| 697 |
+
\(\dd t^2+\lambda(t)\), piecewise smooth, with the inner side
|
| 698 |
+
at \(t<0\). The common induced metric and the mean-curvature
|
| 699 |
+
inequality in \eqref{eq:compact-mean-curvature} give
|
| 700 |
+
\begin{equation}
|
| 701 |
+
\frac12\tr_{\lambda(0)}
|
| 702 |
+
\big(\lambda'(0^+)-\lambda'(0^-)\big)\le0.
|
| 703 |
+
\label{eq:unsafe-corner-sign}
|
| 704 |
+
\end{equation}
|
| 705 |
+
This change of collar identification retains a smooth identification
|
| 706 |
+
of each original closed piece with its image; comparisons with the
|
| 707 |
+
base metric will always use those identifications.
|
| 708 |
+
|
| 709 |
+
Mollify \(\lambda\) in \(t\) with a nonnegative smooth even
|
| 710 |
+
kernel of radius \(a\), and interpolate back to the original
|
| 711 |
+
smooth metrics in \(2a\le|t|\le3a\). The resulting \(h_a\)
|
| 712 |
+
converges uniformly to \(h\); its first normal derivatives and
|
| 713 |
+
fixed tangential derivatives are bounded. Its second normal
|
| 714 |
+
derivative is the jump of \(\lambda'\) times the mollifier plus
|
| 715 |
+
a uniformly bounded remainder. The interpolation has the same
|
| 716 |
+
bound, since on those smooth one-sided regions the mollification
|
| 717 |
+
error is \(O(a^2)\) before taking the two cutoff derivatives.
|
| 718 |
+
In the hypersurface scalar-curvature formula the only potentially
|
| 719 |
+
unbounded term is \(-\tr_\lambda\lambda''\). Replacing the
|
| 720 |
+
inverse metric in its jump term by \(\lambda(0)^{-1}\) costs
|
| 721 |
+
\(O(a)O(a^{-1})=O(1)\); the leading term has favorable sign by
|
| 722 |
+
\eqref{eq:unsafe-corner-sign}. Thus \(\Scal_{h_a}\ge-C(h)\)
|
| 723 |
+
in the smoothing collar, uniformly as \(a\downarrow0\).
|
| 724 |
+
Choose a smooth \(c_a\ge0\), bounded by a constant depending
|
| 725 |
+
on the fixed metric, supported in \(|t|<4a\), and majorizing
|
| 726 |
+
the negative scalar part created in that collar.
|
| 727 |
+
|
| 728 |
+
Each orientable component of \(S\) bounds a compact handlebody.
|
| 729 |
+
Attach such caps, extend the metric smoothly through \(S\), and
|
| 730 |
+
denote their union by \(O\). This gives a smooth complete
|
| 731 |
+
one-ended AF manifold on which to solve the correction. Its
|
| 732 |
+
homogeneous Sobolev inequality
|
| 733 |
+
\begin{equation}
|
| 734 |
+
\|v\|_{L^6}\le C\|\nabla v\|_{L^2},
|
| 735 |
+
\qquad v\in C_c^\infty(X),
|
| 736 |
+
\label{eq:unsafe-af-sobolev}
|
| 737 |
+
\end{equation}
|
| 738 |
+
has a constant uniform for small \(a\). Indeed all these metrics
|
| 739 |
+
are uniformly equivalent to one fixed smooth AF metric. The
|
| 740 |
+
Euclidean Sobolev inequality on the end and compact local Sobolev
|
| 741 |
+
inequalities leave only a compact \(L^2\) term. Integration
|
| 742 |
+
along radial rays, followed by Cauchy--Schwarz with the integrable
|
| 743 |
+
weight \(r^{-2}\), controls the trace at a fixed end sphere by
|
| 744 |
+
the end gradient energy. Poincar\'e's inequality with this trace
|
| 745 |
+
controls the remaining compact term, proving
|
| 746 |
+
\eqref{eq:unsafe-af-sobolev}.
|
| 747 |
+
|
| 748 |
+
Solve in the completion for the gradient norm
|
| 749 |
+
\begin{equation}
|
| 750 |
+
-8\Delta_{h_a}u_a=c_a(1+u_a).
|
| 751 |
+
\label{eq:unsafe-conformal-correction}
|
| 752 |
+
\end{equation}
|
| 753 |
+
Since \(\|c_a\|_{3/2}\to0\), the bilinear form
|
| 754 |
+
\(8\int|\nabla v|^2-\int c_av^2\) is coercive by
|
| 755 |
+
\eqref{eq:unsafe-af-sobolev}. The right side is a bounded
|
| 756 |
+
functional with norm tending to zero, because
|
| 757 |
+
\(\|c_a\|_{6/5}\to0\). Lax--Milgram gives a solution with
|
| 758 |
+
\(\|u_a\|_6+\|\nabla u_a\|_2=o(1)\). Testing with its
|
| 759 |
+
negative part and using coercivity proves \(u_a\ge0\).
|
| 760 |
+
Local boundedness for scalar divergence equations, treating the
|
| 761 |
+
bounded \(c_a u_a\) term as a zeroth-order coefficient and the
|
| 762 |
+
\(L^2\)-small \(c_a\) as forcing, gives
|
| 763 |
+
\(\|u_a\|_\infty=o(1)\) on a fixed compact set. On the
|
| 764 |
+
unchanged end, \(u_a\) is harmonic and tends to zero: this
|
| 765 |
+
follows first from its \(L^6\) membership and scaled local
|
| 766 |
+
estimates. Exterior comparison then gives the global supremum
|
| 767 |
+
bound. Elliptic estimates imply smooth convergence to zero on
|
| 768 |
+
compact sets off the seam. The same end barriers as before give
|
| 769 |
+
\(u_a=O_2(|x'|^{-\beta})\).
|
| 770 |
+
|
| 771 |
+
Set \(h'=(1+u_a)^4h_a\) and restrict to the original side of
|
| 772 |
+
the caps. The conformal scalar formula is
|
| 773 |
+
\begin{equation}
|
| 774 |
+
\Scal_{h'}=(1+u_a)^{-5}
|
| 775 |
+
\big(-8\Delta_{h_a}(1+u_a)+\Scal_{h_a}(1+u_a)\big)
|
| 776 |
+
=(1+u_a)^{-4}(\Scal_{h_a}+c_a).
|
| 777 |
+
\label{eq:unsafe-corrected-scalar}
|
| 778 |
+
\end{equation}
|
| 779 |
+
It is nonnegative off the unsafe set. On that set the metric
|
| 780 |
+
was not mollified, \(c_a=0\), and \(\Scal_h\ge-1\);
|
| 781 |
+
since \(u_a\ge0\), the lower bound remains at least \(-1\).
|
| 782 |
+
In particular the claimed fixed lower bound \(-2\) holds.
|
| 783 |
+
The end scalar decay is preserved by the conformal formula.
|
| 784 |
+
|
| 785 |
+
The smoothing itself changes no asymptotic metric. The conformal
|
| 786 |
+
ADM flux, followed by integration of
|
| 787 |
+
\eqref{eq:unsafe-conformal-correction} on the capped manifold,
|
| 788 |
+
gives
|
| 789 |
+
\begin{equation}
|
| 790 |
+
m_{h'}-m_h
|
| 791 |
+
=-\frac1{2\pi}\lim_{R\to\infty}
|
| 792 |
+
\int_{|x'|=R}\partial_nu_a\,\dd A_{h_a}
|
| 793 |
+
=\frac1{16\pi}\int_X c_a(1+u_a)\,\dd V_{h_a}=o(1).
|
| 794 |
+
\label{eq:unsafe-smoothing-mass}
|
| 795 |
+
\end{equation}
|
| 796 |
+
The decay \(\beta>1/2\) justifies replacing conormal-area
|
| 797 |
+
products in this flux as well. Uniform metric convergence gives
|
| 798 |
+
the quadratic-form comparison. Finally \(H_h(S)<0\) by
|
| 799 |
+
\eqref{eq:compact-mean-curvature}; the smooth convergence of the
|
| 800 |
+
correction near this disjoint compact surface preserves that
|
| 801 |
+
strict inequality. Each smallness requirement here is imposed
|
| 802 |
+
after the fixed solution has been selected.
|
| 803 |
+
\end{proof}
|
| 804 |
+
|
| 805 |
+
\subsection{Enclosures whose boundaries avoid the unsafe set}
|
| 806 |
+
|
| 807 |
+
\begin{lemma}[Free enclosing boundaries]
|
| 808 |
+
\label{lem:free-enclosure}
|
| 809 |
+
Choose a sufficiently large fixed scaled radius \(R_*\), then
|
| 810 |
+
\(M\) sufficiently large depending on that radius, and perform
|
| 811 |
+
the smoothing of Lemma~\ref{lem:corner-smoothing} sufficiently
|
| 812 |
+
closely. There is a perimeter minimizing enclosure \(E\) of
|
| 813 |
+
\(O\) and the marked balls about all points of \(\mathcal U_M\),
|
| 814 |
+
whose boundary is smooth, free, and disjoint from those balls and
|
| 815 |
+
from \(S\). There is also a largest perimeter minimizing
|
| 816 |
+
enclosure \(E_0\) of \(O\) alone. These sets have all the
|
| 817 |
+
boundary, exterior, and minimizing properties in
|
| 818 |
+
Proposition~\ref{prop:af-comparison}.
|
| 819 |
+
\end{lemma}
|
| 820 |
+
|
| 821 |
+
\begin{proof}
|
| 822 |
+
Extend the smooth inner base geometry across \(S\) in a fixed
|
| 823 |
+
collar for the purpose of defining balls. Mark every closed base
|
| 824 |
+
ball
|
| 825 |
+
\begin{equation}
|
| 826 |
+
\overline B_{g_{\rm ext}}(P,R_*r_P),\qquad P\in\mathcal U_M,
|
| 827 |
+
\label{eq:unsafe-marked-balls}
|
| 828 |
+
\end{equation}
|
| 829 |
+
and include their union together with \(O\) as an obstacle.
|
| 830 |
+
For fixed parameters the union is compact: the center set is
|
| 831 |
+
compact and its positive radius function is continuous. By
|
| 832 |
+
Lemma~\ref{lem:unsafe-blowup}, for each fixed \(R_*\) these
|
| 833 |
+
balls and the fixed larger multiples used below lie off the seam
|
| 834 |
+
once \(M\) is sufficiently large. All lie inside the comparator
|
| 835 |
+
\(\mathcal S_1\).
|
| 836 |
+
|
| 837 |
+
Minimize \(h'\)-perimeter among precompact finite-perimeter
|
| 838 |
+
sets containing this obstacle modulo null sets. A minimizer
|
| 839 |
+
exists by BV compactness and lower semicontinuity inside a
|
| 840 |
+
sufficiently large smooth truncation. This is also a global
|
| 841 |
+
minimizer in the stated class. To see that the outer truncation
|
| 842 |
+
causes no restriction, all sufficiently far AF spheres have
|
| 843 |
+
strictly positive outward mean curvature. The unit normal field
|
| 844 |
+
of their foliation has positive divergence. For almost every
|
| 845 |
+
cutting radius, Gauss--Green on the removed part of a competitor
|
| 846 |
+
shows that cutting inward saves perimeter if the removed volume
|
| 847 |
+
is positive. The same argument excludes contact with the outer
|
| 848 |
+
constraint. The fixed comparator and the small metric change
|
| 849 |
+
give a uniform bound, after enlarging \(C_*\) once,
|
| 850 |
+
\begin{equation}
|
| 851 |
+
\Per_{h'}(E)\le C_*.
|
| 852 |
+
\label{eq:unsafe-enclosure-bound}
|
| 853 |
+
\end{equation}
|
| 854 |
+
|
| 855 |
+
We show that its perimeter support cannot meet any marked ball.
|
| 856 |
+
Suppose it meets the ball marked at \(P\), at a point \(q\).
|
| 857 |
+
Use scaled smooth base coordinates with length unit \(r_P\)
|
| 858 |
+
on a fixed multiple of radius \(R_*\). The base metric and
|
| 859 |
+
the comparison metric are equivalent to Euclidean metrics with
|
| 860 |
+
constants independent of \(R_*\), by
|
| 861 |
+
Lemma~\ref{lem:unsafe-blowup} and the chosen small smoothing.
|
| 862 |
+
If this region reaches \(S\), reflect in a base collar for these
|
| 863 |
+
comparisons. Mixed entries of the graph metric vanish on the
|
| 864 |
+
face. No comparison for the arbitrary cap metric is needed:
|
| 865 |
+
perimeters of sets containing \(O\) are independent of its
|
| 866 |
+
interior extension, and a reflected continuous metric can be
|
| 867 |
+
used there in the comparison argument.
|
| 868 |
+
|
| 869 |
+
The complement of \(E\) has uniform lower volume density at
|
| 870 |
+
\(q\) in these scaled coordinates. Indeed filling a coordinate
|
| 871 |
+
ball preserves the obstacle condition. Minimality and slicing
|
| 872 |
+
therefore bound its interior perimeter by a constant times the
|
| 873 |
+
complement's trace area on the ball. If
|
| 874 |
+
\(V(a)=|B_a(q)\setminus E|\), Euclidean isoperimetry gives
|
| 875 |
+
\begin{equation}
|
| 876 |
+
V(a)^{2/3}\le C V'(a)
|
| 877 |
+
\quad\hbox{for almost every }a,\qquad
|
| 878 |
+
V(a)\ge ca^3.
|
| 879 |
+
\label{eq:unsafe-complement-density}
|
| 880 |
+
\end{equation}
|
| 881 |
+
The second inequality follows by integrating the first from zero;
|
| 882 |
+
the volume is positive at every radius because \(q\) is in
|
| 883 |
+
the perimeter support. Apply this on a ball of radius comparable
|
| 884 |
+
to \(R_*\). On a slightly larger common coordinate ball,
|
| 885 |
+
\(E\) itself has volume at least \(cR_*^3\), since it contains
|
| 886 |
+
the whole marked base ball modulo null sets. The uniform
|
| 887 |
+
comparison of the scaled base metric with Euclidean metric
|
| 888 |
+
justifies this statement even when the marked ball crosses
|
| 889 |
+
\(S\). Relative isoperimetry on that common ball now gives
|
| 890 |
+
\begin{equation}
|
| 891 |
+
\Per_{h'}(E)\ge cR_*^2.
|
| 892 |
+
\label{eq:unsafe-obstacle-perimeter}
|
| 893 |
+
\end{equation}
|
| 894 |
+
Choose \(R_*\) so that this exceeds \(C_*\), and only then
|
| 895 |
+
choose \(M\) large enough for all the scaled charts and their
|
| 896 |
+
fixed multiples. This contradicts
|
| 897 |
+
\eqref{eq:unsafe-enclosure-bound}. Compactness of the center set
|
| 898 |
+
also covers contacts with the closure of the union of marked balls.
|
| 899 |
+
This is where the radius-independent constant in
|
| 900 |
+
\eqref{eq:unsafe-quantifiers} is essential.
|
| 901 |
+
|
| 902 |
+
There is no contact with \(S\) either. The parallel outward
|
| 903 |
+
normal field in a sufficiently thin collar of \(O\) has strictly
|
| 904 |
+
negative divergence, since \(H_{h'}(S)<0\). Adjoin that collar
|
| 905 |
+
to a purported minimizer. Gauss--Green on the added portion
|
| 906 |
+
bounds the newly exposed leaf area minus the removed perimeter
|
| 907 |
+
by the integral of this negative divergence. The added volume
|
| 908 |
+
is positive for every sufficiently small width at a contact
|
| 909 |
+
point; otherwise that point would not be in the perimeter
|
| 910 |
+
support. Slicing allows an almost every width for which all
|
| 911 |
+
perimeter formulas hold. The resulting strict decrease
|
| 912 |
+
contradicts minimality. Adjoining a collar is permitted whether
|
| 913 |
+
or not marked balls are present.
|
| 914 |
+
|
| 915 |
+
The perimeter support is thus separated from both obstacles and
|
| 916 |
+
the outer constraint. It is locally perimeter minimizing in a
|
| 917 |
+
smooth three-manifold. Interior codimension-one minimizing
|
| 918 |
+
boundary regularity gives a smooth compact embedded minimal
|
| 919 |
+
surface. Take its open set representative for \(E\). Filling
|
| 920 |
+
any bounded open exterior component would strictly reduce
|
| 921 |
+
perimeter, so its open exterior is connected. Since every
|
| 922 |
+
precompact enlargement is an admissible competitor, \(E\) is
|
| 923 |
+
outward minimizing. Its boundary is disjoint from every marked
|
| 924 |
+
ball, so the unsafe set lies in its interior. The metric on
|
| 925 |
+
its closed exterior has nonnegative scalar curvature, and its
|
| 926 |
+
completeness and unique AF end follow from smoothness of compact
|
| 927 |
+
truncations and the AF estimates.
|
| 928 |
+
|
| 929 |
+
Now minimize with obstacle \(O\) alone. The same compactness,
|
| 930 |
+
outer barriers, and strict inner mean-curvature barrier give
|
| 931 |
+
a smooth free minimal boundary and a connected open exterior.
|
| 932 |
+
Every component of this open minimizer meets \(O\), because
|
| 933 |
+
an open component disjoint from \(O\) can be removed, strictly
|
| 934 |
+
reducing perimeter. Choose a minimizer of maximal volume within
|
| 935 |
+
the fixed truncation. It is a largest minimizer modulo null
|
| 936 |
+
sets: the perimeter submodularity inequality implies that the
|
| 937 |
+
union and intersection of any two minimizers are minimizers,
|
| 938 |
+
and maximal volume forces the union to agree with this one.
|
| 939 |
+
Denote its open representative by \(E_0\). Any proper
|
| 940 |
+
precompact enlargement of equal perimeter would also be a
|
| 941 |
+
minimizer and would contradict maximal volume. The outer
|
| 942 |
+
barriers allow this reasoning without the truncation. Thus
|
| 943 |
+
\(E_0\) is strictly outward minimizing. Its boundary avoids
|
| 944 |
+
\(S\), so \(O\Subset E_0\). Finally \(E\) is itself an
|
| 945 |
+
admissible enclosure of \(O\), proving
|
| 946 |
+
\eqref{eq:unsafe-two-perimeters}.
|
| 947 |
+
\end{proof}
|
| 948 |
+
|
| 949 |
+
No bound on the number or topology of components created by the
|
| 950 |
+
marked balls has been used. In particular the subsequent area
|
| 951 |
+
transfer starts from \(E_0\), not from a topological assertion
|
| 952 |
+
about \(E\). The hypotheses for the AF Riemannian Penrose theorem
|
| 953 |
+
are satisfied by the closed exterior of \(E\): it is smooth,
|
| 954 |
+
complete and one-ended, its scalar curvature is nonnegative and
|
| 955 |
+
decays as \(O(|x'|^{-2-2\beta})\), with \(2+2\beta>3\),
|
| 956 |
+
its metric decay has exponent \(\beta>1/2\),
|
| 957 |
+
and its entire possibly disconnected minimal boundary is outer
|
| 958 |
+
minimizing. The boundary version of \citet[Theorem~1.4]{BrayLee2009}
|
| 959 |
+
therefore gives
|
| 960 |
+
\begin{equation}
|
| 961 |
+
m_{h'}\ge\sqrt{\frac{\Per_{h'}(E)}{16\pi}}.
|
| 962 |
+
\label{eq:unsafe-af-penrose}
|
| 963 |
+
\end{equation}
|
| 964 |
+
|
| 965 |
+
\subsection{Bad volume and completion of the comparison}
|
| 966 |
+
|
| 967 |
+
We finish the proof of Proposition~\ref{prop:af-comparison} by
|
| 968 |
+
checking the uniform quantitative inputs for
|
| 969 |
+
Proposition~\ref{prop:area-transfer}. The exterior capacity
|
| 970 |
+
comparison in Section~\ref{sec:compact-construction} gives
|
| 971 |
+
\(x\ge1-\psi_\infty\), so for fixed \(\delta>0\) the set
|
| 972 |
+
\(\{x<1-\delta\}\) does not reach beyond a fixed outer sphere.
|
| 973 |
+
On the designated region, \eqref{eq:compact-bad-volume} gives
|
| 974 |
+
\(\int_{\{x<1-\delta\}}W\le C/L\). The omitted exterior
|
| 975 |
+
collar has \(W=1\), so its contribution is bounded by its base
|
| 976 |
+
volume. The omitted inner collar has base volume \(O(M^{-4})\).
|
| 977 |
+
Cauchy--Schwarz and \eqref{eq:compact-height-energy} together
|
| 978 |
+
with \eqref{eq:compact-bounds} therefore give
|
| 979 |
+
\begin{equation}
|
| 980 |
+
\int_{\{x<1-\delta\}}W\,\dd V_{\rm base}
|
| 981 |
+
\le \frac CL+\Vol_{g_o}(\text{omitted exterior collar})
|
| 982 |
+
+C(L)M^{-1}.
|
| 983 |
+
\label{eq:unsafe-total-bad-volume}
|
| 984 |
+
\end{equation}
|
| 985 |
+
The coefficient in \(C/L\) is independent of \(L\). The
|
| 986 |
+
other constants may depend on the earlier collar choice and
|
| 987 |
+
on \(L\), which is harmless: first make the exterior collar
|
| 988 |
+
thin and \(L\) large, then let \(M\) be large.
|
| 989 |
+
|
| 990 |
+
Choose \(b_*,\delta_0\) small enough in
|
| 991 |
+
\eqref{eq:unsafe-mass-limsup} for the prescribed mass tolerance.
|
| 992 |
+
For the prescribed \(\delta\) and volume tolerance choose the
|
| 993 |
+
collar and \(L\) as just described. Fix the common comparator
|
| 994 |
+
bound, choose \(R_*\) in Lemma~\ref{lem:free-enclosure}, and
|
| 995 |
+
then choose \(M\) large enough for that lemma, the scalar
|
| 996 |
+
lower bound, the mass costs, and
|
| 997 |
+
\eqref{eq:unsafe-total-bad-volume}. The subsequent small lapse
|
| 998 |
+
cutoff and finite strengths are those of
|
| 999 |
+
Proposition~\ref{prop:compact-solutions}; all uniform estimates
|
| 1000 |
+
above hold for those choices. Apply
|
| 1001 |
+
Lemma~\ref{lem:corner-smoothing} with mass and metric errors
|
| 1002 |
+
small enough for the remaining tolerances. These choices prove
|
| 1003 |
+
\eqref{eq:unsafe-comparison-output}--\eqref{eq:unsafe-bad-volume-output}.
|
| 1004 |
+
|
| 1005 |
+
The caps may be fixed once as topological handlebodies, regardless
|
| 1006 |
+
of all metric parameters. The topology entering the area-transfer
|
| 1007 |
+
argument is consequently the fixed finite topology of
|
| 1008 |
+
\(X\setminus\operatorname{int}O\). Positive-time flow levels
|
| 1009 |
+
outside \(E_0\) are allowed to enter the unsafe region: the
|
| 1010 |
+
uniform lower scalar bound there is precisely the input supplied
|
| 1011 |
+
by \eqref{eq:unsafe-comparison-output}. The mass theorem is
|
| 1012 |
+
applied to the unmodified smooth exterior of \(E\), whereas
|
| 1013 |
+
the small initial mean-curvature change used solely for the flow
|
| 1014 |
+
is covered by Proposition~\ref{prop:area-transfer}. This
|
| 1015 |
+
completes the AF comparison construction.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/build/sections/10-completion.tex
ADDED
|
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|
|
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|
|
|
|
|
|
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|
|
|
|
|
| 1 |
+
\section{Completion of the proof}
|
| 2 |
+
\label{sec:completion}
|
| 3 |
+
|
| 4 |
+
\subsection{The time-symmetric inequality}
|
| 5 |
+
|
| 6 |
+
\begin{proof}[Proof of Theorem~\ref{thm:ts}]
|
| 7 |
+
The approximation of Proposition~\ref{prop:conformal-approximation}
|
| 8 |
+
preserves $H(S)\le0$, converges uniformly in metric comparison, and
|
| 9 |
+
preserves the limiting time component. The comparison of enclosing
|
| 10 |
+
areas in Section~\ref{sec:preliminaries} therefore allows us first to
|
| 11 |
+
assume that $R_g+6>0$ and that the end has the smooth conformal form
|
| 12 |
+
used in Section~\ref{sec:stress-extension}. Fix this approximated
|
| 13 |
+
metric for the constructions that follow, and put
|
| 14 |
+
\[
|
| 15 |
+
A_*=A_{\min}(S;g),\qquad a=\sqrt{A_*/(4\pi)}.
|
| 16 |
+
\]
|
| 17 |
+
|
| 18 |
+
Given an arbitrarily small mass tolerance $\varepsilon_m>0$,
|
| 19 |
+
Proposition~\ref{prop:af-attachment} produces a fixed compact inner
|
| 20 |
+
piece, a smooth synthetic tensor on it, and a scalar-flat AF
|
| 21 |
+
attachment with mass $m_o$ satisfying
|
| 22 |
+
\begin{equation}\label{eq:completion-attachment-budget}
|
| 23 |
+
m_o\le p_0(g)-\frac{a^3}{2}+\varepsilon_m.
|
| 24 |
+
\end{equation}
|
| 25 |
+
The electrostatic height, attachment radius, and smoothing tolerances
|
| 26 |
+
used to obtain this inequality have already been fixed. They are
|
| 27 |
+
independent of the large graph height in the next construction.
|
| 28 |
+
|
| 29 |
+
Apply Proposition~\ref{prop:compact-solutions} and the comparison
|
| 30 |
+
construction of Proposition~\ref{prop:af-comparison}. Their parameters
|
| 31 |
+
are chosen in the proved order: the small inner flux and scalar
|
| 32 |
+
cutoff costs first, then a desired relative-area tolerance
|
| 33 |
+
$0<\varepsilon_A<1$, a sufficiently small contraction threshold,
|
| 34 |
+
a thin omitted exterior collar, and a sufficiently large fixed
|
| 35 |
+
volume penalty; next the graph height is taken large, and finally
|
| 36 |
+
the lapse clipping, finite penalty strengths, and corner-smoothing
|
| 37 |
+
tolerances are chosen. The costs can be made small enough that the
|
| 38 |
+
resulting smooth AF comparison metric satisfies
|
| 39 |
+
\begin{equation}\label{eq:completion-comparison-budget}
|
| 40 |
+
m_{\AF}(h')\le m_o+\varepsilon_m.
|
| 41 |
+
\end{equation}
|
| 42 |
+
|
| 43 |
+
Let $E$ be its minimizing enclosure containing the caps and the
|
| 44 |
+
unsafe-region obstacles. Its free boundary is smooth, compact,
|
| 45 |
+
minimal, and outer minimizing. The exterior is complete and has
|
| 46 |
+
$R_{h'}\ge0$, the AF decay required in Theorem~\ref{thm:af-penrose},
|
| 47 |
+
and one end. Let $E_0$ instead be a largest perimeter-minimizing
|
| 48 |
+
enclosure of the caps alone. Then
|
| 49 |
+
\begin{equation}\label{eq:completion-enclosure-order}
|
| 50 |
+
\Area_{h'}(\partial E)\ge\Area_{h'}(\partial E_0).
|
| 51 |
+
\end{equation}
|
| 52 |
+
The exterior of $E_0$ has a scalar lower bound independent of the
|
| 53 |
+
large graph height, even where it meets the unsafe region.
|
| 54 |
+
The bad-volume estimates from Sections~\ref{sec:compact-construction}
|
| 55 |
+
and~\ref{sec:scalar-error}, together with the projection along the
|
| 56 |
+
AF attachment, satisfy Proposition~\ref{prop:area-transfer}.
|
| 57 |
+
Consequently, when $A_*>0$, the parameters above can be chosen so that
|
| 58 |
+
\begin{equation}\label{eq:completion-area}
|
| 59 |
+
\Area_{h'}(\partial E_0)\ge(1-\varepsilon_A)A_*.
|
| 60 |
+
\end{equation}
|
| 61 |
+
The small initial conformal change used only for the flow fixes this
|
| 62 |
+
initial area. It is not made in applying the mass theorem.
|
| 63 |
+
|
| 64 |
+
Theorem~\ref{thm:af-penrose} applies to the exterior of $E$, not the
|
| 65 |
+
possibly unsafe exterior of $E_0$. Equations
|
| 66 |
+
\eqref{eq:completion-attachment-budget}--\eqref{eq:completion-area}
|
| 67 |
+
give
|
| 68 |
+
\begin{align*}
|
| 69 |
+
p_0(g)
|
| 70 |
+
&\ge \frac{a^3}{2}+m_o-\varepsilon_m\\
|
| 71 |
+
&\ge \frac{a^3}{2}+m_{\AF}(h')-2\varepsilon_m\\
|
| 72 |
+
&\ge \frac{a^3}{2}+\frac a2\sqrt{1-\varepsilon_A}
|
| 73 |
+
-2\varepsilon_m.
|
| 74 |
+
\end{align*}
|
| 75 |
+
Let the two tolerances tend to zero, making fresh choices of the
|
| 76 |
+
finite parameters as necessary. If $A_*=0$, the same construction
|
| 77 |
+
and the nonnegativity consequence of Theorem~\ref{thm:af-penrose}
|
| 78 |
+
give $p_0(g)\ge-2\varepsilon_m$ without the area step.
|
| 79 |
+
Thus \eqref{eq:ts-inequality} holds for every fixed approximated
|
| 80 |
+
metric. Passing back through the preliminary approximation proves
|
| 81 |
+
it for the original metric.
|
| 82 |
+
\end{proof}
|
| 83 |
+
|
| 84 |
+
\subsection{Maximal data and invariant mass}
|
| 85 |
+
|
| 86 |
+
\begin{proof}[Proof of the inequality in Theorem~\ref{thm:main}]
|
| 87 |
+
The maximal constraint and \eqref{eq:dec-integrability} imply
|
| 88 |
+
\[
|
| 89 |
+
\int_{\mathrm{end}} V_0|R_g+6|\dd V_g<\infty.
|
| 90 |
+
\]
|
| 91 |
+
Use Proposition~\ref{prop:mass-covariance} to choose a rest chart
|
| 92 |
+
for the original covector. All hypotheses remain valid in that
|
| 93 |
+
chart and $p_0(g)=m_{\AH}(g)$.
|
| 94 |
+
|
| 95 |
+
Define
|
| 96 |
+
\[
|
| 97 |
+
F(A)=\frac12\left(\sqrt{\frac A{4\pi}}
|
| 98 |
+
+\left(\frac A{4\pi}\right)^{3/2}\right).
|
| 99 |
+
\]
|
| 100 |
+
This function is continuous, nonnegative, and nondecreasing on
|
| 101 |
+
$[0,\infty)$. Theorem~\ref{thm:ts} supplies the time-symmetric input
|
| 102 |
+
of Theorem~\ref{thm:ah-reduction}, including comparison metrics whose
|
| 103 |
+
covectors are not timelike. The reduction therefore gives
|
| 104 |
+
\[
|
| 105 |
+
p_0(g)\ge F\bigl(A_{\min}(S;g)\bigr).
|
| 106 |
+
\]
|
| 107 |
+
Since the chart was fixed before any construction, this is precisely
|
| 108 |
+
\eqref{eq:main-inequality}. The one-sided time-component budgets
|
| 109 |
+
suffice; there is no further assertion about the spatial components
|
| 110 |
+
of intermediate comparison metrics.
|
| 111 |
+
\end{proof}
|
| 112 |
+
|
| 113 |
+
\subsection{Sharpness}
|
| 114 |
+
|
| 115 |
+
Let $m>0$, and let $a$ be the positive solution of
|
| 116 |
+
$a+a^3=2m$. The Schwarzschild--anti-de Sitter metric is
|
| 117 |
+
\begin{equation}\label{eq:sads-metric}
|
| 118 |
+
g_m=\frac{\dd r^2}{1+r^2-2m/r}+r^2\sigma,
|
| 119 |
+
\qquad r\ge a,\qquad K=0.
|
| 120 |
+
\end{equation}
|
| 121 |
+
To include its boundary smoothly, use proper distance $s$ from
|
| 122 |
+
$r=a$. Then
|
| 123 |
+
\[
|
| 124 |
+
g_m=\dd s^2+r(s)^2\sigma,
|
| 125 |
+
\quad r(0)=a,\quad r'(0)=0,
|
| 126 |
+
\quad (r')^2=1+r^2-2m/r.
|
| 127 |
+
\]
|
| 128 |
+
The simple positive radial derivative of the expression on the
|
| 129 |
+
right at $a$ gives a smooth even solution $r(s)$ near zero, increasing
|
| 130 |
+
for $s>0$. Hence the horizon is a smooth minimal boundary and the
|
| 131 |
+
exterior is complete with that boundary included. Since
|
| 132 |
+
$r''=r+m/r^2$, the warped-product formula gives
|
| 133 |
+
\[
|
| 134 |
+
R_{g_m}=-\frac{4r''}{r}
|
| 135 |
+
+\frac{2(1-(r')^2)}{r^2}=-6.
|
| 136 |
+
\]
|
| 137 |
+
The constraints are vacuum, the metric error and its required tensor
|
| 138 |
+
derivatives are $O(r^{-3})$, and the weighted matter integral vanishes.
|
| 139 |
+
|
| 140 |
+
For completeness the mass normalization can be checked directly.
|
| 141 |
+
In the background distance coordinate, write
|
| 142 |
+
$g_m-b=\zeta\dd\eta^2$, where
|
| 143 |
+
\[
|
| 144 |
+
\zeta=\frac{2m}{r(1+r^2-2m/r)}.
|
| 145 |
+
\]
|
| 146 |
+
The radial component of $\divg_b e-\dd\tr_be$ is
|
| 147 |
+
$2\coth\eta\,\zeta$, and the other two terms of
|
| 148 |
+
\eqref{eq:mass-integrand} cancel for $V_0$.
|
| 149 |
+
The normalized sphere flux therefore tends to
|
| 150 |
+
\[
|
| 151 |
+
m\frac{1+r^2}{1+r^2-2m/r}\longrightarrow m.
|
| 152 |
+
\]
|
| 153 |
+
Rotational symmetry makes the three spatial fluxes zero, so
|
| 154 |
+
$m_{\AH}(g_m)=m$.
|
| 155 |
+
|
| 156 |
+
Radial projection onto the horizon has two-area Jacobian at most one,
|
| 157 |
+
since $r\ge a$. Every radial ray meets the entire intrinsic boundary
|
| 158 |
+
of any admissible end-side domain: either it enters that domain
|
| 159 |
+
across its boundary, or its initial point already lies on the counted
|
| 160 |
+
boundary at $S$. Thus projection of the cut covers the horizon.
|
| 161 |
+
The area formula gives $\Area_{g_m}(\partial D)\ge4\pi a^2$.
|
| 162 |
+
The horizon itself is an admissible competitor, and hence
|
| 163 |
+
$A_{\min}(S;g_m)=4\pi a^2$. Equation $2m=a+a^3$ proves equality in
|
| 164 |
+
\eqref{eq:main-inequality} and completes Theorem~\ref{thm:main}.
|
preprints/The-Penrose-inequality-for-maximal-asymptotically-hyperbolic-initial-data-October-5-2026/paper.pdf
ADDED
|
@@ -0,0 +1,3 @@
|
|
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|
|
|
|
|
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|
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|
| 1 |
+
version https://git-lfs.github.com/spec/v1
|
| 2 |
+
oid sha256:641d4aa3892adbca1c14c7bca0f165edc6b508e88f6b18880e3494a5495c39c2
|
| 3 |
+
size 853015
|
preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/README.md
ADDED
|
@@ -0,0 +1,18 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
# [The Poisson-Dirichlet law for prime predecessors](paper.pdf)
|
| 2 |
+
|
| 3 |
+
**Author:** OpenAI
|
| 4 |
+
|
| 5 |
+
**Date:** September 24, 2026
|
| 6 |
+
|
| 7 |
+
## Citation
|
| 8 |
+
|
| 9 |
+
```bibtex
|
| 10 |
+
@misc{OAI:The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026,
|
| 11 |
+
author = {{OpenAI}},
|
| 12 |
+
title = {{The Poisson--Dirichlet law for prime predecessors}},
|
| 13 |
+
howpublished = {OpenAI Math Release preprint
|
| 14 |
+
\href{https://github.com/openai/math/blob/main/preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/paper.pdf}{OAI:The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026}},
|
| 15 |
+
year = {2026}
|
| 16 |
+
}
|
| 17 |
+
```
|
| 18 |
+
|
preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/build/figures/lifespan.tex
ADDED
|
@@ -0,0 +1,40 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
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|
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|
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|
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|
|
|
|
|
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|
|
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|
|
|
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|
|
|
|
|
|
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|
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|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
\begin{figure}[tb]
|
| 2 |
+
\centering
|
| 3 |
+
\begin{tikzpicture}[x=1.64cm,y=1cm,
|
| 4 |
+
hit/.style={circle,draw=black,fill=white,inner sep=2.4pt},
|
| 5 |
+
active/.style={circle,draw=blue!65!black,fill=blue!25,inner sep=2.4pt},
|
| 6 |
+
ghost/.style={diamond,draw=black,fill=black!15,inner sep=2.4pt}]
|
| 7 |
+
\draw[thick,black!55] (0,0)--(7,0);
|
| 8 |
+
\draw[very thick,blue!65!black] (1,0)--(2,0);
|
| 9 |
+
\foreach \j in {0,...,7}
|
| 10 |
+
\node[font=\small,above] at (\j,.23) {$\j$};
|
| 11 |
+
\node[ghost] at (0,0) {};
|
| 12 |
+
\node[active] at (1,0) {};
|
| 13 |
+
\node[active] at (2,0) {};
|
| 14 |
+
\node[hit] at (3,0) {};
|
| 15 |
+
\node[circle,draw=black,dashed,fill=white,inner sep=2.4pt] at (4,0) {};
|
| 16 |
+
\node[active] at (5,0) {};
|
| 17 |
+
\node[hit] at (6,0) {};
|
| 18 |
+
\node[ghost] at (7,0) {};
|
| 19 |
+
\node[font=\scriptsize,align=center,below] at (0,-.22) {ghost\\birth};
|
| 20 |
+
\node[font=\scriptsize,below] at (1,-.22) {active};
|
| 21 |
+
\node[font=\scriptsize,below] at (2,-.22) {active};
|
| 22 |
+
\node[font=\scriptsize,align=center,below] at (3,-.22) {pending\\hit};
|
| 23 |
+
\node[font=\scriptsize,align=center,below] at (4,-.22) {pending\\miss};
|
| 24 |
+
\node[font=\scriptsize,below] at (5,-.22) {active};
|
| 25 |
+
\node[font=\scriptsize,align=center,below] at (6,-.22) {pending\\hit};
|
| 26 |
+
\node[font=\scriptsize,align=center,below] at (7,-.22) {ghost\\death};
|
| 27 |
+
\draw[decorate,decoration={brace,mirror,amplitude=4pt}]
|
| 28 |
+
(.93,-.88)--(2.07,-.88)
|
| 29 |
+
node[midway,below=5pt,font=\scriptsize] {first active run};
|
| 30 |
+
\node[font=\scriptsize,below] at (5,-.95) {second active run};
|
| 31 |
+
\end{tikzpicture}
|
| 32 |
+
\caption{A schematic lifespan of a prime from group $i$.
|
| 33 |
+
All active visits and both ghost endpoints have its common line;
|
| 34 |
+
the pending visit at $4$ misses that line. The line contributes
|
| 35 |
+
$1/(p+1)$ once. After extracting $b'_p$, the ghost signs,
|
| 36 |
+
pending-hit damping, and active-run normalizations give the weight
|
| 37 |
+
$\eta'_0\eta'_7q_3q_6 V_i^{-2}/((p+1)b'_p)$.
|
| 38 |
+
The two powers of $V_i^{-1}$ count active runs, not active visits.}
|
| 39 |
+
\label{fig:lifespan}
|
| 40 |
+
\end{figure}
|
preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/build/figures/proof-map.tex
ADDED
|
@@ -0,0 +1,40 @@
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
\begin{figure}[tb]
|
| 2 |
+
\centering
|
| 3 |
+
\begin{tikzpicture}[
|
| 4 |
+
box/.style={draw=black!65,rounded corners=2pt,align=center,
|
| 5 |
+
text width=5.55cm,minimum height=1.03cm,inner sep=5pt,font=\small},
|
| 6 |
+
arr/.style={-{Latex[length=2mm]},thick},
|
| 7 |
+
node distance=8mm and 7mm]
|
| 8 |
+
\node[box,fill=blue!5] (det)
|
| 9 |
+
{Determinant graph and signed memory\\
|
| 10 |
+
Sections~\ref{sec:determinant}--\ref{mem:section}};
|
| 11 |
+
\node[box,fill=blue!5,right=of det] (dil)
|
| 12 |
+
{Dilation-graph inputs and endpoint estimates\\
|
| 13 |
+
Section~\ref{sec:correlations}};
|
| 14 |
+
\node[box,below=of det] (one)
|
| 15 |
+
{One-sided marked correlation\\Theorem~\ref{thm:type-II}};
|
| 16 |
+
\node[box,below=of dil] (two)
|
| 17 |
+
{Two-sided marked correlation\\Theorem~\ref{thm:two-sided}};
|
| 18 |
+
\node[box,below=11mm of $(one.south)!.5!(two.south)$,
|
| 19 |
+
text width=9cm] (interior)
|
| 20 |
+
{Presieve, replacement of prime slots, and averaging of marks\\
|
| 21 |
+
Interior factorial moments: Theorem~\ref{thm:interior}};
|
| 22 |
+
\node[box,below=of interior,text width=9cm,fill=blue!5] (pd)
|
| 23 |
+
{Size-biased sampling, full mass, and decreasing rearrangement\\
|
| 24 |
+
Poisson--Dirichlet limit: Theorem~\ref{thm:main}};
|
| 25 |
+
\draw[arr] (det) -- node[right,font=\scriptsize,align=left]
|
| 26 |
+
{major-term estimate\\Section~\ref{sec:major-arcs}} (one);
|
| 27 |
+
\draw[arr] (dil) -- (two);
|
| 28 |
+
\draw[arr] (one.south) -- (interior.north west);
|
| 29 |
+
\draw[arr] (two.south) -- (interior.north east);
|
| 30 |
+
\draw[arr] (interior) -- (pd);
|
| 31 |
+
\end{tikzpicture}
|
| 32 |
+
\caption{The proof has two analytic inputs. The one-sided estimate
|
| 33 |
+
replaces prime slots in composite terms by rough slots. Successful
|
| 34 |
+
marking brings the resulting centered statistic under the two-sided
|
| 35 |
+
estimate. Averaging the fixed marks then gives interior moments;
|
| 36 |
+
the probability argument recovers the full law.
|
| 37 |
+
Appendix~\ref{lp:section} supplies the long-prime and
|
| 38 |
+
logarithmic-phase estimates used in the analytic branches.}
|
| 39 |
+
\label{fig:proof-map}
|
| 40 |
+
\end{figure}
|
preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/build/paper.tex
ADDED
|
@@ -0,0 +1,30 @@
|
|
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|
|
|
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|
|
|
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|
|
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|
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 1 |
+
\documentclass[11pt]{article}
|
| 2 |
+
\input{preamble}
|
| 3 |
+
\title{The Poisson--Dirichlet law for prime predecessors}
|
| 4 |
+
\author{OpenAI}
|
| 5 |
+
\date{September 24, 2026}
|
| 6 |
+
\begin{document}
|
| 7 |
+
\maketitle
|
| 8 |
+
\begin{abstract}
|
| 9 |
+
For a prime $p$ chosen uniformly from $3\le p\le x$, list the prime factors of $p-1$ in decreasing order, with multiplicity. As $x\to\infty$, their logarithms, divided by $\log(p-1)$, converge in every finite joint distribution to the Poisson--Dirichlet distribution with parameter one. This proves the conjecture of Ford, Konyagin and Luca.
|
| 10 |
+
\end{abstract}
|
| 11 |
+
\tableofcontents
|
| 12 |
+
\input{sections/01-introduction}
|
| 13 |
+
\input{sections/02-preliminaries}
|
| 14 |
+
\input{sections/03-determinant}
|
| 15 |
+
\input{sections/04-memory}
|
| 16 |
+
\input{sections/05-major-arcs}
|
| 17 |
+
\input{sections/06-correlations}
|
| 18 |
+
\input{sections/07-extraction}
|
| 19 |
+
\input{sections/08-poisson-dirichlet}
|
| 20 |
+
\appendix
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| 21 |
+
\input{sections/09-long-prime-appendix}
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| 22 |
+
\clearpage
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| 23 |
+
\phantomsection
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| 24 |
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\addcontentsline{toc}{section}{References}
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| 25 |
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\begingroup
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\raggedright
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| 27 |
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\bibliographystyle{plain}
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| 28 |
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\bibliography{references}
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| 29 |
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\endgroup
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| 30 |
+
\end{document}
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preprints/The-Poisson-Dirichlet-Law-for-Prime-Predecessors-September-24-2026/build/preamble.tex
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\usepackage[T1]{fontenc}
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\usepackage{lmodern}
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\usepackage{amsmath,amssymb,amsthm,mathtools,mathrsfs}
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\usepackage[margin=1in]{geometry}
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\usepackage{enumitem,microtype,booktabs,array,longtable}
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\usepackage{xcolor,graphicx,tikz}
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\usetikzlibrary{arrows.meta,positioning,calc,fit,decorations.pathreplacing,shapes.geometric}
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\usepackage[hyphens]{url}
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\usepackage[colorlinks=true,linkcolor=black,citecolor=blue!55!black,urlcolor=blue!55!black]{hyperref}
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\usepackage[nameinlink,noabbrev,capitalize]{cleveref}
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| 11 |
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\hypersetup{pdftitle={The Poisson--Dirichlet law for prime predecessors},pdfauthor={OpenAI}}
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\newcommand{\1}{\mathbf{1}}
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\newcommand{\e}{\mathrm{e}}
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\newcommand{\E}{\mathbb E}
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\newcommand{\Prob}{\mathbb P}
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\newcommand{\N}{\mathbb N}
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\newcommand{\Z}{\mathbb Z}
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\newcommand{\R}{\mathbb R}
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\newcommand{\C}{\mathbb C}
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\newcommand{\eps}{\varepsilon}
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\newcommand{\dd}{\,\mathrm d}
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\DeclarePairedDelimiter{\norm}{\lVert}{\rVert}
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\DeclarePairedDelimiter{\abs}{\lvert}{\rvert}
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\newcommand{\inner}[2]{\langle #1,#2\rangle}
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\DeclareMathOperator{\Li}{Li}
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\DeclareMathOperator{\supp}{supp}
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\DeclareMathOperator{\cond}{cond}
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\DeclareMathOperator{\lcm}{lcm}
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| 29 |
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\DeclareMathOperator{\rad}{rad}
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| 30 |
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\DeclareMathOperator{\PD}{PD}
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| 31 |
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\newtheorem{theorem}{Theorem}[section]
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| 32 |
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\newtheorem{lemma}[theorem]{Lemma}
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| 33 |
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\newtheorem{proposition}[theorem]{Proposition}
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| 34 |
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\newtheorem{corollary}[theorem]{Corollary}
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| 35 |
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\theoremstyle{definition}
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| 36 |
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\newtheorem{definition}[theorem]{Definition}
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| 37 |
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\theoremstyle{remark}
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| 38 |
+
\newtheorem{remark}[theorem]{Remark}
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| 39 |
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\numberwithin{equation}{section}
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| 40 |
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\setlist[enumerate]{itemsep=3pt,topsep=5pt}
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| 41 |
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\setlist[itemize]{itemsep=3pt,topsep=5pt}
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| 42 |
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\allowdisplaybreaks[1]
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| 43 |
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\emergencystretch=1em
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