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filter=lfs diff=lfs merge=lfs -text +preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text +preprints/A-Pivotal-Amplitude-for-Voronoi-Percolation-from-Cardys-Formula-October-5-2026/voronoi-pivotal-amplitude.pdf filter=lfs diff=lfs merge=lfs -text +preprints/A-pointwise-2-converse-for-elliptic-curves-with-rational-two-torsion-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text +preprints/A-Polynomial-Time-2-Approximation-for-Shortest-Common-Superstring-September-24-2026/paper.pdf filter=lfs diff=lfs merge=lfs -text diff --git a/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/README.md b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..b23913d6afb47c3f9778ac78dd292237d6f7258e --- /dev/null +++ b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/README.md @@ -0,0 +1,17 @@ +# [A Fixed Particle Test for Computation in a Forced Viscous Flow](manuscript.pdf) + +**Author:** OpenAI +**Date:** September 27, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026, + author = {{OpenAI}}, + title = {{A Fixed Particle Test for Computation in a Forced Viscous Flow}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/manuscript.pdf}{OAI:A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/analytic-appendix.tex b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/analytic-appendix.tex new file mode 100644 index 0000000000000000000000000000000000000000..d1f5566880168d00e63810aba59d338a30d1e065 --- /dev/null +++ b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/analytic-appendix.tex @@ -0,0 +1,129 @@ +\appendix +\section{Comparison on noncompact domains and Fourier identification} +The main particle theorem is already complete. We record two analytic +details separately: a comparison theorem with precise noncompact +pressure assumptions, useful for other prescribed flows, and the +elementary Fourier uniqueness argument used in the periodic projection. + +\subsection{The precise comparison class}\label{app:comparison} +Let $\Omega$ be $\T^3$, $\R^3$, or +$\R^2\times\T$. A classical solution on $[0,T]$ has continuous +$u$, $u_t$, all spatial derivatives of $u$ through order two, $p$, and +$\nabla p$ on the closed time cylinder, and satisfies the equation +pointwise. In the noncompact cases we additionally require +\begin{equation}\label{eq:energy-class} + \begin{gathered} + u\in C([0,T];H^2(\Omega))\cap C^1([0,T];L^2(\Omega)), + \qquad p\in C([0,T];H^1(\Omega)),\\ + \sup_{[0,T]\times\Omega}(|u|+|\nabla u|)<\infty. + \end{gathered} +\end{equation} +The Sobolev spaces are periodic in the torus coordinates. On $\T^3$ +the pressure has mean zero; on the noncompact domains its $H^1$ +membership fixes the representative, since a nonzero spatial constant +is not in $L^2$. + +\begin{lemma}[Prescribed motion and uniqueness]\label{lem:realization} +Fix $\nu>0$ and $\Omega\in\{\T^3,\R^3,\R^2\times\T\}$. +Let $U$ be smooth and divergence free on $[0,\infty)\times\Omega$, +with $U(0)=0$, and suppose $U$ and $\nabla U$ are bounded on every +finite closed time cylinder. In the noncompact cases assume the +velocity conditions in \eqref{eq:energy-class}. Then the force +\[ + \mathcal F_\nu[U]=U_t+(U\cdot\nabla)U-\nu\Delta U +\] +has the solution $(u,p)=(U,0)$, unique in the classical class just +defined on each finite time interval. Its material trajectories exist +uniquely for every finite time. On $\T^3$, mean-zero $U$ gives +mean-zero $\mathcal F_\nu[U]$. + +More generally, if an independently constructed pair $(U,P)$ is a +classical solution in the same class for a given force and initial +velocity, it is the unique solution for those data in that class. +In either noncompact uniqueness statement, the competitor's gradient +bound can be omitted while keeping its bounded velocity and all other +conditions. The reference velocity $U$ still has bounded gradient. +For smooth $U$, each finite-time material map $\Phi_t$ is a smooth +diffeomorphism and satisfies +\[ + U(t,\cdot)=(\partial_t\Phi_t)\circ\Phi_t^{-1},\qquad + \partial_{tt}\Phi_t(a) + =(f-\nabla P+\nu\Delta U)(t,\Phi_t(a)). +\] +\end{lemma} +\begin{proof} +Substitution proves the residual assertion. For either uniqueness +statement, let $(v,p)$ be another solution for the same data, and set +$w=v-U$ and $q=p-P$. Subtracting the equations gives +\[ + w_t+(v\cdot\nabla)w+(w\cdot\nabla)U + =-\nabla q+\nu\Delta w,\qquad \diver w=0. +\] +On the torus, multiplication by $w$ and periodic integration give +\begin{equation}\label{eq:energy-comparison} + \frac12\frac{d}{dt}\|w\|_2^2+\nu\|\nabla w\|_2^2 + \leq\|\nabla U(t)\|_{\infty,\mathrm{op}}\|w\|_2^2. +\end{equation} +The transport and pressure integrals vanish by incompressibility. + +Here are the cutoff details on the other two domains. Let $x'$ denote +the noncompact coordinates, choose $0\leq\zeta\leq1$ smooth with +compact support, equal to one on $|x'|\leq1$, and set +$\zeta_R(x')=\zeta(x'/R)$. Multiply the difference equation by +$\zeta_Rw$ and integrate in all coordinates. Integration by parts +leaves, besides the term $-\int\zeta_Rw\cdot(w\cdot\nabla)U$, +three boundary errors. Their absolute values are at most +\[ + \frac C R\|v\|_\infty\|w\|_2^2,\qquad + \frac C R\|q\|_2\|w\|_2,\qquad + \frac {C\nu}R\|\nabla w\|_2\|w\|_2, +\] +respectively for transport, pressure, and viscosity. For example, +the pressure term is $\int q\nabla\zeta_R\cdot w$ because +$\diver w=0$. Each displayed norm is uniformly bounded on $[0,T]$ +by \eqref{eq:energy-class}. Also $w\in C^1([0,T];L^2)$ +justifies differentiating $\int\zeta_R|w|^2$. Integrate the identity +between any two times and then let $R\to\infty$. Dominated +convergence applies to the quadratic terms and the error integrals +tend to zero. This gives \eqref{eq:energy-comparison} in integrated +form, equivalently almost everywhere in time. Thus no decay of the +pressure beyond the stated $C_tH^1$ condition has been assumed. + +On every finite interval the coefficient in +\eqref{eq:energy-comparison} is bounded. Its integrating factor and +$w(0)=0$ imply $w=0$. The equation then gives $\nabla q=0$; +the mean-zero or $H^1$ pressure convention gives $q=0$. +The estimates use boundedness of $v$ but never a bound on $\nabla v$, +which proves the stated competitor extension. + +Finally, bounded spatial gradient gives a uniformly Lipschitz vector +field on each finite time interval, so the material ODE has unique +local solutions. Bounded velocity prevents escape to infinity in +finite time. Successive local solutions therefore cover each finite +interval, and periodic coordinates descend to their quotients. +Solving the same ODE backwards on $[0,t]$ gives the inverse map. +Smooth dependence on the initial point proves the diffeomorphism +assertion; differentiating the trajectory equation proves the two +displayed identities. +For the mean assertion, integrate the residual: the integrals of +$\Delta U$ and $(U\cdot\nabla)U=\diver(U\otimes U)$ vanish on +the torus. +\end{proof} + + +\subsection{Identifying continuous periodic functions}\label{app:fourier} +A continuous function on $\T^3$ is determined by its Fourier +coefficients. Here is the approximate-identity argument used in +Lemma~\ref{lem:projection}. + +In one variable, +\[ + F_N(s)=\frac1N\left|\sum_{j=0}^{N-1}e^{2\pi i js}\right|^2 +\] +is nonnegative, has integral one, and has Fourier coefficients +$(1-|k|/N)_+$. Outside any fixed neighborhood of the integers, +the geometric-sum formula bounds $F_N$ by $C/N$. Hence the product +of three such kernels has mass tending to one in every neighborhood +of zero. Uniform continuity shows that convolution with this product +converges uniformly to any continuous function on $\T^3$. +Vanishing Fourier coefficients therefore imply a vanishing function. diff --git a/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/analytic-tools.tex b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/analytic-tools.tex new file mode 100644 index 0000000000000000000000000000000000000000..335f66644e3376e24fe38ef29dffed0ff60bafbf --- /dev/null +++ b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/analytic-tools.tex @@ -0,0 +1,109 @@ +\subsection{Uniqueness for the constructed torus flow} +The residual identity gives the solution. We now show that its particle +event is determined by the force and initial data. The proof is the +classical difference-energy comparison \cite[Section~18]{Leray}. +If $(v,p)$ is another solution in the classical class of +Section~\ref{sec:statement}, set $w=v-U$. Subtraction gives +\[ + w_t+(v\cdot\nabla)w+(w\cdot\nabla)U + =-\nabla p+\nu\Delta w,\qquad \diver w=0. +\] +Multiplication by $w$ and periodic integration by parts yield +\[ + \frac12\frac{d}{dt}\|w\|_2^2+\nu\|\nabla w\|_2^2 + \leq\|\nabla U\|_{\infty,\mathrm{op}}\|w\|_2^2. +\] +The stated continuity of $v_t$, the first two spatial derivatives and +pressure gradient justifies all these operations. The transport and +pressure terms vanish by incompressibility. Boundedness of $\nabla U$ +on each finite interval and $w(0)=0$ give $w=0$ by Gronwall's +inequality. The equation then gives $\nabla p=0$, and mean-zero +normalization gives $p=0$. Smoothness and bounded spatial gradient on +the compact torus give a unique material flow through every finite +time. Thus the event already proved for $U$ belongs to the unique +fluid solution. Appendix~\ref{app:comparison} supplies the corresponding +noncompact comparison theorem and the finite-time flow identities. + +\subsection{Solenoidal forcing with the same velocity} +The Helmholtz--Leray projection removes the divergence of the force. +Because it changes a gradient, it also changes the pressure. The +following quantitative version is useful both for the present +$L^2$ bounds and for other time profiles. + +\begin{lemma}[Effective periodic projection]\label{lem:projection} +Let $g$ be a smooth mean-zero vector field on +$[0,\infty)\times\T^3$, effectively evaluable together with all +mixed derivatives and with effective bounds for those derivatives +on every finite time interval. There is a unique smooth mean-zero +$\phi$ satisfying $\Delta\phi=\diver g$. Both $\phi$ and +$g_{\rm sol}=g-\nabla\phi$ are effective, and $g_{\rm sol}$ is +divergence free and mean zero. For every $h\geq0$ and spatial +multi-index $\mu$, +\begin{equation}\label{eq:projection-estimate} + \|\partial_t^h\partial_X^\mu\nabla\phi(t)\|_\infty + \leq C_\mu\max_{1\leq i\leq3} + \|\partial_t^h\partial_{X_i}^{|\mu|+5}g(t)\|_\infty. +\end{equation} +Thus, when all mixed derivatives of $g$ are bounded, square-integrable +in time in spatial supremum norm, or rapidly decaying, the same +property holds for $g_{\rm sol}$. Here rapid decay means a finite +supremum after multiplication by $(1+t)^A$, for every $A\geq0$ and +every fixed derivative order. Time periodicity and stationarity +after a given time are also preserved. If $(U,P)$ solves the equation +with force $g$, then it solves it with force $g_{\rm sol}$ and +pressure $P-\phi$. +More precisely, any common pointwise time weight on the finitely many +derivatives on the right of \eqref{eq:projection-estimate} passes to +the derivative on its left. Thus a specified polynomial bound is +preserved whenever those higher spatial derivatives have that bound. +\end{lemma} +\begin{proof} +For the Fourier basis $e^{2\pi i k\cdot X}$ set +\[ + \widehat\phi(k)=-\frac{i k\cdot\widehat g(k)}{2\pi|k|^2} + \quad(k\ne0),\qquad \widehat\phi(0)=0. +\] +The multiplier for $\nabla\phi$ is $kk^{\mathsf T}/|k|^2$, +whose operator norm is one. For a derivative of order $r$, integrate +the coefficients of $\partial_t^hg$ by parts $r+5$ times in a +coordinate with maximal $|k_i|$. A term of the differentiated series +is bounded by a fixed multiple of $|k|^{-5}$ times the right-hand +derivative norm in \eqref{eq:projection-estimate}. There are +$O(n^2)$ points in the shell $\|k\|_\infty=n$. The series and its +derivatives therefore converge absolutely, with an explicit tail +bounded by $C\sum_{n>K}n^{-3}$. The series for $\phi$ has one +further factor $|k|^{-1}$. Termwise differentiation proves the +Poisson equation; the Fourier coefficients also prove uniqueness +among mean-zero solutions and establish +\eqref{eq:projection-estimate}. + +The Fourier identification used here is justified in +Appendix~\ref{app:fourier}. Since $g$ is real, +$\widehat\phi(-k)=\overline{\widehat\phi(k)}$, so $\phi$ is real. + +Riemann sums with a bound on one more spatial derivative compute +each coefficient to any requested error. Combined with the tail +estimate, this gives effective evaluation of every derivative. +The estimate is pointwise in time and commutes with time +derivatives, so it proves each stated norm and weighted-decay +assertion. Linearity and uniqueness of the mean-zero Poisson +solution preserve periodicity and eventual stationarity. Finally, +\[ + -\nabla(P-\phi)+(g-\nabla\phi)=-\nabla P+g, +\] +which proves the pressure formula. +Conversely, a classical solution with force $g_{\rm sol}$ and pressure +$p$ solves the equation with force $g$ and pressure $p+\phi$. +This correspondence preserves the normalized classical class on the +torus, since $\phi$ is smooth and mean zero. It therefore preserves +uniqueness for fixed initial data, as well as the reference velocity. +\end{proof} + +To apply Lemma~\ref{lem:projection} to the force in \eqref{eq:force}, +we still need to verify its effective-evaluation hypotheses. The next +subsection supplies them and completes the optional solenoidal +construction. This periodic projection does not assert preservation +of compact support on a Euclidean domain, nor does it preserve +pressure zero. + +\subsection{Effective evaluation without a simulated execution} diff --git a/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/main.tex b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..ffb68879ddde5f73cb0d76661c53eebc237c9f7f --- /dev/null +++ b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/build/main.tex @@ -0,0 +1,663 @@ +\documentclass[11pt]{article} +\ifdefined\pdftrailerid\pdftrailerid{}\fi +\ifdefined\pdfinfoomitdate\pdfinfoomitdate=1\fi +\usepackage[T1]{fontenc} +\usepackage{lmodern,amsmath,amssymb,amsthm,mathtools,microtype,booktabs} +\usepackage[margin=1in]{geometry} +\usepackage{xcolor,tikz,needspace} +\usepackage{xurl} +\usetikzlibrary{arrows.meta,positioning} +\usepackage[colorlinks=true,linkcolor=blue!50!black,citecolor=blue!50!black,urlcolor=blue!50!black]{hyperref} +\hypersetup{pdftitle={A Fixed Particle Test for Computation in a Forced Viscous Flow},pdfauthor={OpenAI}} +\newtheorem{theorem}{Theorem} +\newtheorem{lemma}{Lemma} +\newtheorem{corollary}{Corollary} +\newcommand{\T}{\mathbb T} +\newcommand{\R}{\mathbb R} +\newcommand{\N}{\mathbb N} +\newcommand{\Z}{\mathbb Z} +\DeclareMathOperator{\diver}{div} +\DeclareMathOperator{\supp}{supp} +\title{A Fixed Particle Test for Computation\\ in a Forced Viscous Flow} +\author{OpenAI} +\date{September 27, 2026} +\begin{document} +\maketitle +\begin{abstract} +We construct smooth external forces for incompressible Navier--Stokes flow +on a fixed flat three-torus at any fixed positive computable viscosity, +from zero initial velocity, such that a fixed +particle enters a fixed open set exactly when a prescribed Turing machine +halts. Every mixed derivative of the force and velocity is bounded and +square-integrable in time in spatial supremum norm. The construction uses +the machine's ordinary instructions, records their history in a third +coordinate, and compensates for finer spatial gates by longer time steps. +\end{abstract} + +\section{Introduction}\label{sec:introduction} + +Fix a flat three-dimensional torus, a positive viscosity, zero initial +fluid velocity, one particle label, and an open region that serves as a +detector. Can a finite program for an external force make that particle +enter the region exactly when a given Turing machine halts? The machine +and its finite input may change the force; the geometry, initial velocity, +particle label and detector remain fixed. We prove this for an explicit +family of smooth forces. The resulting reachability problem is undecidable. + +The question connects computability with the dynamics of a continuous +system. Turing proved that no machine can decide whether an arbitrary +described machine ever prints a designated symbol \cite[Section~8]{Turing}. +The halting formulation used here follows by a finite modification +that halts on that event. A bounded +continuous phase space can represent such a tape by an infinite positional +expansion. Moore's generalized shifts made this connection explicit: +local symbol changes and shifts of the tape become affine operations on +real coordinates \cite{Moore1990,Moore}. Exact real coordinates supply the unbounded +information capacity; this is not a bound on what a finite-precision +measurement can recover. + +A further issue arises when such operations are realized by a smooth +flow. A machine may overwrite a symbol or merge two states, whereas the +flow between two finite times is invertible. Retaining intermediate +information is a classical way to avoid this loss \cite[Section~3]{Landauer}. +Bennett gave an explicit reversible simulation that records the index of +each executed instruction on a history tape \cite[Eqs.~(9)--(11)]{Bennett}. Our construction +uses the same information-retention principle in a different setting: +a third real coordinate retains the selected branches, while two planar +coordinates execute the original, possibly irreversible machine. + +Computational universality has also been realized in fluid trajectories. +Cardona, Miranda, Peralta-Salas and Presas constructed stationary Euler +flows on an adapted Riemannian three-sphere whose trajectories simulate +Turing machines \cite{CMPP}. Their proof passes through area-preserving +realizations of generalized shifts. Dyhr, Gonz\'alez-Prieto, Miranda and +Peralta-Salas subsequently obtained stationary unforced Navier--Stokes universality +using an adapted metric and Hodge viscosity \cite{DGMP}. Their velocity +is harmonic for the chosen Hodge Laplacian, so the viscous term vanishes. + +Fixed-metric computation also has precedents. Cardona, Miranda and +Peralta-Salas construct universal steady Euler flows on Euclidean $\R^3$ +with infinite energy, and robust tape-bounded simulations on the flat +three-torus, observed before exit from a prescribed compact region +\cite[arXiv version~3, Theorems~1 and~26]{CMPBeltrami}. +Their unforced viscous version starts from nonzero Beltrami velocity +and traverses a finite interval of its Euler trajectory, chosen to cover +the bounded computation \cite[arXiv version~3, Remark~29]{CMPBeltrami}. + +Here the flat torus and viscosity are fixed in advance and the fluid +starts at rest. The +machine and input instead enter an external force prescription. These +are different choices of data for the fluid equation, and the earlier +results do not supply the construction below. + +There is an elementary way to force a chosen smooth incompressible +velocity: subtract its viscous term from its material acceleration. +The mathematical work lies in choosing that velocity from the finite +instruction table. It must execute each instruction, retain the information +needed for invertibility, and avoid the detector at every intermediate +time of a nonhalting run. In particular, our force formula must prescribe +all instruction branches; it must not first execute the input computation +and then replay its trajectory. + +We implement an instruction in two pulses. The first records its branch +number in the third coordinate. The second reads the newest record through +a periodic gate and applies the corresponding planar motion. Earlier +records remain present but do not affect that gate. As the history grows, +the gates have finer spatial scales. We make successive steps longer so +that the time-dependent velocity and force have square-integrable +derivatives of every fixed order. + +The result concerns exact material trajectories for these explicitly +constructed forces. It gives neither a uniform perturbation tolerance +for arbitrarily long runs nor an efficient simulation-time bound. Its +existence and uniqueness proof uses the prescribed smooth velocity; +it is not a regularity theorem for general Navier--Stokes data. + +\section{The statement and the history invariant}\label{sec:statement} + +Write $\T=\R/\Z$ and fix a positive computable viscosity $\nu$. +For velocity $u(t,X)$, pressure $p(t,X)$ and external force $f(t,X)$, +the incompressible Navier--Stokes equations are +\begin{equation}\label{eq:NS} + \partial_tu+(u\cdot\nabla)u=-\nabla p+\nu\Delta u+f, + \qquad \diver u=0,\qquad u(0)=0 +\end{equation} +on the unit flat torus $\T^3$. Pressure is periodic and has mean zero. +We write $X=(x,y,z)$ for a spatial point, use representatives in $[0,1)$ +when specifying a coordinate interval, and take $\|\cdot\|_\infty$ over +space. The material flow of a smooth velocity $u$ is defined by +\[ + \frac{d}{dt}\Phi_u(t,a)=u(t,\Phi_u(t,a)),\qquad \Phi_u(0,a)=a. +\] +For a label $a_*\in\T^3$ and an open set $O\subset\T^3$, the +particle event is $\Phi_u(t,a_*)\in O$ for some finite $t$. + +An effective force prescription is a finite program that evaluates the +force and any requested mixed derivative at computably supplied space-time +arguments, to any prescribed rational error. It also supplies the derivative +bounds on compact sets used below. The program prescribes the transition +mechanism on all its branches; it does not compute and replay the +distinguished execution. No running-time bound is required. + +A classical competitor has continuous velocity, spatial derivatives through +order two, time derivative, pressure and pressure gradient on every closed +cylinder $[0,T]\times\T^3$, with the periodicity and pressure normalization +above. The constructed solution is smooth, including all one-sided time +derivatives at zero. + +\Needspace{23\baselineskip} +\begin{theorem}\label{thm:main} +There is an algorithm taking a deterministic single-tape machine $M$ and +a finite word $w$ to an effective smooth mean-zero force $f_{M,w}$ for +\eqref{eq:NS}, with the following properties. +\begin{enumerate} +\item The equation has a global smooth solution $u_{M,w}$, unique among +classical solutions on every finite time interval. +\item For every time order $h\geq0$ and spatial multi-index $\mu$, both +\[ + t\longmapsto\|\partial_t^h\partial_X^\mu u_{M,w}(t)\|_\infty, + \qquad + t\longmapsto\|\partial_t^h\partial_X^\mu f_{M,w}(t)\|_\infty +\] +belong to $L^\infty(0,\infty)\cap L^2(0,\infty)$. +\item The particle initially at $a_*=(1/8,3/8,0)$ enters +\[ + O=\{(x,y,z)\in\T^3:1/2=Latex,font=\small] +\node[draw,rounded corners,align=center,minimum width=2.15cm,minimum height=1.15cm] (start) at (0,0) + {$P\in R_j$\\$z=z_n$}; +\node[draw,rounded corners,align=center,minimum width=2.8cm,minimum height=1.15cm] (record) at (4.8,0) + {$P\in R_j$\\$z=z_n+j\Lambda^{-n-1}$}; +\node[draw,rounded corners,align=center,minimum width=2.8cm,minimum height=1.15cm] (end) at (10.5,0) + {$F_j(P)$\\$z=z_n+j\Lambda^{-n-1}$}; +\draw[->,thick] (start) -- node[above,align=center] {record $j$} node[below] {$P$ fixed} (record); +\draw[->,thick] (record) -- node[above] {apply $\Psi_{j,s}$} node[below] {$z$ fixed} (end); +\node[align=center] at (4.8,-1.2) + {$\Lambda^n z=j/\Lambda\pmod 1$\\the new digit selects the next pulse}; +\end{tikzpicture} +\caption{One simulated instruction, schematically. The first pulse leaves +both tape coordinates fixed while recording the selected branch. The +second leaves the history fixed while executing that branch's planar +motion. The diagram describes the encoded particle; planar images of +different branches need not be disjoint.} +\label{fig:pulses} +\end{figure} + +We specify the cutoffs to ensure that closed rectangle boundaries are +covered. Let +\[ + \rho(s)=\begin{cases}e^{-1/s},&s>0,\\0,&s\leq0,\end{cases} + \qquad \sigma(s)=\frac{\rho(s)}{\rho(s)+\rho(1-s)}. +\] +For a closed interval $I=[a,b]$, set +\[ + \eta_I^\varepsilon(v)= + \sigma\!\left(\frac{2(v-a+\varepsilon)}{\varepsilon}\right) + \sigma\!\left(\frac{2(b+\varepsilon-v)}{\varepsilon}\right). +\] +The cutoff $\eta_I^\varepsilon$ equals one on a neighborhood of $I$ +and vanishes outside its $\varepsilon$ enlargement. Products define +the analogous rectangle cutoffs. For the earlier Hamiltonians, choose +$\chi=\eta_K^{1/32}$; its support is strictly inside the unit square. + +The source rectangles have gaps at least $\kappa/B$, so the supports in +\[ + G_0(x,y)=\sum_{j=1}^Jj\eta_{R_j}^{\kappa/(4B)}(x,y) +\] +are disjoint. Periodize this function from the unit-square chart and put +\[ + G(x,y)=G_0(x,y)-G_0(x,y-1/2). +\] +The original supports lie in $1/40$. The recorder has no $z$ +dependence and has an additional small factor $\Lambda^{-n-1}$, so it +also satisfies this estimate. The constants depend on the finite table +and derivative orders but not on $n$. + +The right side of \eqref{eq:bounds} is bounded, and integration over +the two intervals of length $S_n$ gives +\[ + \int_1^\infty + \|\partial_t^h\partial_X^\mu U(t)\|_\infty^2\,dt + \leq 2C_{h,\mu}^2\sum_{n\geq0} + 2^{-(1+2h)n^2}\Lambda^{2n\mu_z}<\infty. +\] +The loader occupies a compact time interval and adds a finite amount. +Now prescribe +\begin{equation}\label{eq:force} + f=\partial_tU+(U\cdot\nabla)U-\nu\Delta U. +\end{equation} +Then $(u,p)=(U,0)$ solves \eqref{eq:NS}. Every mixed derivative of $f$ +is a finite sum of derivatives of $U$ and products of two such +derivatives. Each factor is bounded, and each has the stated temporal +$L^2$ norm; use one bounded factor and one $L^2$ factor in a product. +All force estimates in the theorem follow. Integration of +\eqref{eq:force} over the torus gives zero mean, because $U$ has zero +mean and $(U\cdot\nabla)U=\diver(U\otimes U)$. + +\input{analytic-tools} + +It remains to check that the prescription really is effective. We +record the elementary fact about smooth profiles separately so that +its computational hypothesis is explicit. + +\begin{lemma}[Effective smooth profiles]\label{lem:profiles} +The functions $\rho,\sigma$ defined in Section~\ref{sec:recording} +and their finite products, sums, translations, and positive rescalings +by computable parameters have effective evaluations of every derivative, +with effective derivative bounds on compact sets. A reciprocal may be +included when an effective positive lower bound for its denominator is +given. A compactly supported profile periodized through zero collars +has the same property if a rational box containing its support is +supplied. An infinite sum of such profiles has this +property on compact sets if a finite superset of all possibly active +indices can be computed there. +\end{lemma} +\begin{proof} +On $s>0$, derivatives of $\rho$ have the form $P(1/s)e^{-1/s}$, +where $P$ is an effectively computable polynomial. For $v>0$, +$v^m e^{-v}\leq(m+k)!v^{-k}$ bounds every monomial and gives an +effective neighborhood of zero where each derivative is smaller than +a requested error. Away from that neighborhood ordinary effective +arithmetic and the exponential evaluate it. This avoids deciding +whether the supplied real is exactly zero. The denominator of +$\sigma$ is at least $e^{-2}$; quotient differentiation therefore +gives effective bounds as well. The finite operations in the statement +preserve these properties by their differentiation rules. + +For a profile $\psi$ with support in a supplied rational interval +$[a,b]$, obtain a rational $q$ with $|s-q|\leq1$. A translate +$\psi(s-k)$ can be nonzero only for an integer +$k\in[q-b-1,q-a+1]$. Evaluating all integers in this rational interval +therefore computes the periodization and each of its derivatives; +no integer-part computation on the real $s$ is required. The same +argument works coordinatewise for a supplied rational box. +A supplied finite active-index +bound reduces the last assertion to a finite sum. Local finiteness +without that effective bound would not suffice for this argument. +\end{proof} + +All tables, rational initial codes, affine maps and stage times are +obtained from the finite input. Lemma~\ref{lem:profiles} applies to +their cutoffs and phase functions; the denominators $g_j(s)$ have the +effective positive lower bounds $\min\{1,\lambda_j\}$. The supports +of $\chi$ and the rectangle cutoffs lie in the rational coordinatewise +enlargements of $K$ by $1/32$ and of $R_j$ by $\kappa/(4B)$, +respectively. The unperiodized gate defining $b_j$ is supported in +$[(j-1/4)/\Lambda,(j+1/4)/\Lambda]$. Thus every periodization has +the supplied support enclosure required by the lemma. For a time +argument, obtain a rational +upper bound $T>t$. The inequality $t_n\geq1+2n$ gives a finite superset +of possible active stages in \eqref{eq:field}; evaluating all of them +is sufficient. Periodizations are evaluated by the same finite-superset +procedure in coordinate charts, without deciding a real argument's +integer part. The Gaussian series above gives effective norm bounds: +for example, if $n\geq4\Lambda\mu_z$, then +$\Lambda^{2n\mu_z}\leq2^{n^2/2}$. + +We may now apply Lemma~\ref{lem:projection} to $f$ in +\eqref{eq:force}. It gives an effective mean-zero solenoidal force +$f-\nabla\phi$ with solution $(U,-\phi)$, the same derivative bounds, +and the same particle event. The lemma's pressure correspondence +also transfers uniqueness from the original force. Riemann sums +with derivative error bounds compute the Fourier coefficients, and +the summable tail controls truncation. Neither this procedure nor the +raw-force evaluation uses the branch sequence $j_0,j_1,\ldots$. +For $t\geq1$ the loader and all its derivatives vanish, so the raw +force depends on $M$ and $\nu$ but not on $w$. Its spatial projection +at that time has the same independence. +This completes the proof of +Theorem~\ref{thm:main}. + +\begin{corollary} +No algorithm decides the fixed particle event for every force description +produced by this construction. +\end{corollary} +\begin{proof} +Compose a proposed decision procedure with the terminating compiler of +Theorem~\ref{thm:main}. The event equivalence would decide whether an +arbitrary machine halts on its finite input. This would also decide +Turing's symbol-printing problem \cite[Section~8]{Turing}: modify the +simulated machine to halt when the specified symbol is printed and +to continue forever otherwise, including if the original machine stops +without printing it. Turing proves that no such decision procedure exists. +Equivalently, one may fix a universal machine and encode the machine +and word in its finite input; the same event then tests its computation. +\end{proof} + +\input{analytic-appendix} + +\begin{thebibliography}{99} +\bibitem{Bennett} C.~H. Bennett, Logical reversibility of computation, +\emph{IBM J. Res. Develop.} \textbf{17} (1973), 525--532. +\href{https://doi.org/10.1147/rd.176.0525}{\nolinkurl{doi:10.1147/rd.176.0525}}. + +\bibitem{CMPBeltrami} R. Cardona, E. Miranda and D. Peralta-Salas, +Computability and Beltrami fields in Euclidean space, +\emph{J. Math. Pures Appl.} \textbf{169} (2023), 50--81. +\href{https://doi.org/10.1016/j.matpur.2022.11.007}{\nolinkurl{doi:10.1016/j.matpur.2022.11.007}}. +\href{https://arxiv.org/abs/2111.03559v3}{\nolinkurl{arXiv:2111.03559v3}}. + +\bibitem{CMPP} R. Cardona, E. Miranda, D. Peralta-Salas and F. Presas, +Constructing Turing complete Euler flows in dimension 3, +\emph{Proc. Natl. Acad. Sci. USA} \textbf{118} (2021), e2026818118. +\href{https://doi.org/10.1073/pnas.2026818118}{\nolinkurl{doi:10.1073/pnas.2026818118}}. + +\bibitem{DGMP} S. Dyhr, \'{A}. Gonz\'alez-Prieto, E. Miranda and +D. Peralta-Salas, Turing complete Navier--Stokes steady states via +cosymplectic geometry, \emph{PNAS Nexus} \textbf{5} (2026), pgag131. +\href{https://doi.org/10.1093/pnasnexus/pgag131}{\nolinkurl{doi:10.1093/pnasnexus/pgag131}}. + +\bibitem{Landauer} R. Landauer, Irreversibility and heat generation in +the computing process, \emph{IBM J. Res. Develop.} \textbf{5} (1961), +183--191. +\href{https://doi.org/10.1147/rd.53.0183}{\nolinkurl{doi:10.1147/rd.53.0183}}. + +\bibitem{Leray} J. Leray, Sur le mouvement d'un liquide visqueux +emplissant l'espace, \emph{Acta Math.} \textbf{63} (1934), 193--248. +\href{https://doi.org/10.1007/BF02547354}{\nolinkurl{doi:10.1007/BF02547354}}. + +\bibitem{Moore1990} C. Moore, Unpredictability and undecidability in +dynamical systems, \emph{Phys. Rev. Lett.} \textbf{64} (1990), 2354--2357. +\href{https://doi.org/10.1103/PhysRevLett.64.2354}{\nolinkurl{doi:10.1103/PhysRevLett.64.2354}}. + +\bibitem{Moore} C. Moore, Generalized shifts: unpredictability and +undecidability in dynamical systems, \emph{Nonlinearity} \textbf{4} +(1991), 199--230. +\href{https://doi.org/10.1088/0951-7715/4/2/002}{\nolinkurl{doi:10.1088/0951-7715/4/2/002}}. + +\bibitem{Stationary} +OpenAI, Universal Computation with Eventually Stationary Navier--Stokes Forcing, +OpenAI Math Release preprint +\href{https://github.com/openai/math/blob/main/preprints/Universal-Computation-with-Eventually-Stationary-Navier-Stokes-Forcing-September-27-2026/manuscript.pdf}{OAI:Universal-Computation-with-Eventually-Stationary-Navier-Stokes-Forcing-September-27-2026}, +2026. + +\bibitem{Turing} A.~M. Turing, On computable numbers, with an application +to the Entscheidungsproblem, \emph{Proc. London Math. Soc.} (2) +\textbf{42} (1936--1937), 230--265. +\href{https://doi.org/10.1112/plms/s2-42.1.230}{\nolinkurl{doi:10.1112/plms/s2-42.1.230}}. +\end{thebibliography} +\end{document} diff --git a/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/manuscript.pdf b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/manuscript.pdf new file mode 100644 index 0000000000000000000000000000000000000000..14e6ccee642eb18fe9a49fd4a433f23f8ac47c92 --- /dev/null +++ b/preprints/A-Fixed-Particle-Test-for-Computation-in-a-Forced-Viscous-Flow-September-27-2026/manuscript.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:87defbd4577b4c8ef80cd148000ffd55e7b3d2ce296d27b04efb16aae92f8c0d +size 403452 diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/.gitignore b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/.gitignore new file mode 100644 index 0000000000000000000000000000000000000000..c68beb9a1a260204094268a4b3cef77afe740949 --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/.gitignore @@ -0,0 +1,4 @@ +/.build/ +/.paper.pdf.* +/__pycache__/ +/verification/__pycache__/ diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026.pdf b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026.pdf new file mode 100644 index 0000000000000000000000000000000000000000..5068f8c87bcc9ebd7970b348328c0237eac33c60 --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:46a8f75298d339060d7a8ed72fbb7bd52e7b85e8b39f0438be55f19ae217ec0b +size 477632 diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/README.md b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..fc5991dffe7b77b711dc7e6362e5ab1bc5aceeab --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/README.md @@ -0,0 +1,17 @@ +# [A Fock-space inequality and the Laughlin spectral gap](A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026.pdf) + +**Author:** OpenAI + +**Date:** September 24, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026, + author = {{OpenAI}}, + title = {{A Fock-space inequality and the Laughlin spectral gap}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026.pdf}{OAI:A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026}}, + year = {2026} +} +``` diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/figures/relative-transfer.tex b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/figures/relative-transfer.tex new file mode 100644 index 0000000000000000000000000000000000000000..9890e8dad48ecd250f71504282e24c55a466c0da --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/figures/relative-transfer.tex @@ -0,0 +1,13 @@ +\begin{tikzpicture}[ + box/.style={draw=blue!45!black,rounded corners=2pt,align=center, + text width=0.265\linewidth,inner sep=6pt,font=\small}, + >={Latex[length=2mm]}, node distance=6mm] +\node[box] (limit) {\textbf{Finite limiting matrices}\\[2pt] + Exact positivity on the\\four-particle space}; +\node[box,right=of limit] (local) {\textbf{Fixed set of modes}\\[2pt] + Exact change of variables;\\error bounded by pair energy}; +\node[box,right=of local] (global) {\textbf{All particle sectors}\\[2pt] + Add spectator modes and\\average over rotations}; +\draw[->] (limit) -- (local); +\draw[->] (local) -- (global); +\end{tikzpicture} diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/main.tex b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..f4f5d086f1915e25aab9e4132225f3e137d39841 --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/main.tex @@ -0,0 +1,109 @@ +\documentclass[11pt]{article} +\ifdefined\pdftrailerid\pdftrailerid{}\fi +\input{glyphtounicode} +\pdfgentounicode=1 +\pdfglyphtounicode{parenleftbig}{0028} +\pdfglyphtounicode{parenrightbig}{0029} +\pdfglyphtounicode{bracketleftbig}{005B} +\pdfglyphtounicode{bracketrightbig}{005D} +\pdfglyphtounicode{floorleftbig}{230A} +\pdfglyphtounicode{floorrightbig}{230B} +\pdfglyphtounicode{ceilingleftbig}{2308} +\pdfglyphtounicode{ceilingrightbig}{2309} +\pdfglyphtounicode{radicalbig}{221A} +\pdfglyphtounicode{parenleftBig}{0028} +\pdfglyphtounicode{parenrightBig}{0029} +\pdfglyphtounicode{bracketleftBig}{005B} +\pdfglyphtounicode{bracketrightBig}{005D} +\pdfglyphtounicode{floorleftBig}{230A} +\pdfglyphtounicode{floorrightBig}{230B} +\pdfglyphtounicode{ceilingleftBig}{2308} +\pdfglyphtounicode{ceilingrightBig}{2309} +\pdfglyphtounicode{radicalBig}{221A} +\pdfglyphtounicode{parenleftbigg}{0028} +\pdfglyphtounicode{parenrightbigg}{0029} +\pdfglyphtounicode{bracketleftbigg}{005B} +\pdfglyphtounicode{bracketrightbigg}{005D} +\pdfglyphtounicode{floorleftbigg}{230A} +\pdfglyphtounicode{floorrightbigg}{230B} +\pdfglyphtounicode{ceilingleftbigg}{2308} +\pdfglyphtounicode{ceilingrightbigg}{2309} +\pdfglyphtounicode{radicalbigg}{221A} +\pdfglyphtounicode{parenleftBigg}{0028} +\pdfglyphtounicode{parenrightBigg}{0029} +\pdfglyphtounicode{bracketleftBigg}{005B} +\pdfglyphtounicode{bracketrightBigg}{005D} +\pdfglyphtounicode{floorleftBigg}{230A} +\pdfglyphtounicode{floorrightBigg}{230B} +\pdfglyphtounicode{ceilingleftBigg}{2308} +\pdfglyphtounicode{ceilingrightBigg}{2309} +\pdfglyphtounicode{radicalBigg}{221A} +\pdfglyphtounicode{vextendsingle}{007C} +\pdfglyphtounicode{circleplustext}{2A01} +\pdfglyphtounicode{circleplusdisplay}{2A01} +\pdfglyphtounicode{summationtext}{2211} +\pdfglyphtounicode{summationdisplay}{2211} +\pdfglyphtounicode{producttext}{220F} +\pdfglyphtounicode{productdisplay}{220F} +\pdfglyphtounicode{integraltext}{222B} +\pdfglyphtounicode{integraldisplay}{222B} +\pdfglyphtounicode{logicalandtext}{22C0} +\pdfglyphtounicode{logicalanddisplay}{22C0} +\pdfglyphtounicode{hatwider}{005E} +\usepackage[T1]{fontenc} +\usepackage{lmodern} +\usepackage[utf8]{inputenc} +\usepackage[margin=1in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{booktabs,microtype,xcolor,listings,needspace} +\usepackage{tikz} +\usetikzlibrary{arrows.meta,positioning} +\usepackage[colorlinks=true,linkcolor=blue!45!black,citecolor=blue!45!black,urlcolor=blue!45!black]{hyperref} +\hypersetup{pdftitle={A Fock-space inequality and the Laughlin spectral gap},pdfauthor={OpenAI},pdfsubject={The full fermionic V1 interaction on the round sphere},pdfkeywords={Laughlin state, spectral gap, fractional quantum Hall effect, pseudopotential, sphere}} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\newcommand{\FF}{\mathcal F} +\newcommand{\LL}{\mathcal L} +\newcommand{\ran}{\operatorname{ran}} +\newcommand{\tr}{\operatorname{tr}} +\newcommand{\diag}{\operatorname{diag}} +\newcommand{\eps}{\varepsilon} +\newcommand{\ket}[1]{\lvert #1\rangle} +\newcommand{\bra}[1]{\langle #1\rvert} +\newcommand{\ip}[2]{\langle #1,#2\rangle} +\newcommand{\norm}[1]{\lVert #1\rVert} +\lstset{basicstyle=\ttfamily\scriptsize,columns=fullflexible,keepspaces=true,breaklines=true,frame=single} +\title{A Fock-space inequality and the Laughlin spectral gap} +\author{OpenAI} +\date{September 24, 2026} +\AddToHook{env/theorem/before}{\Needspace{4\baselineskip}} +\AddToHook{env/proposition/before}{\Needspace{4\baselineskip}} +\AddToHook{env/lemma/before}{\Needspace{4\baselineskip}} +\AddToHook{env/corollary/before}{\Needspace{4\baselineskip}} +\begin{document} +\maketitle +\begin{abstract} +We prove the spherical fermionic Laughlin spectral-gap conjecture for the +full \(V_1\) interaction. With coefficient one for each pair projector, +the gap above the Laughlin state at filling \(1/3\) on the round sphere +is at least \(1/25\) for all sufficiently large systems. +More generally, \(H_Q^2\ge\gamma H_Q\) for some fixed \(\gamma>1/25\) +on the entire lowest-Landau-level Fock space for all sufficiently large +flux \(Q\), independently of particle number. +\end{abstract} +\input{sections/01-introduction} +\input{sections/02-operators} +\input{sections/03-spin} +\input{sections/04-comparison} +\input{sections/05-transfer} +\input{sections/06-gap} +\input{sections/07-plane} +\appendix +\input{sections/08-arithmetic} +\bibliographystyle{plain} +\bibliography{references} +\end{document} diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/references.bib b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/references.bib new file mode 100644 index 0000000000000000000000000000000000000000..f95b4fdcc85812757014f0cf28925e52c9fe0833 --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/references.bib @@ -0,0 +1,329 @@ +@article{Laughlin, + author = {Laughlin, Robert B.}, + title = {Anomalous quantum {Hall} effect: an incompressible quantum fluid with fractionally charged excitations}, + journal = {Physical Review Letters}, + volume = {50}, + number = {18}, + pages = {1395--1398}, + year = {1983}, + note = {\href{https://doi.org/10.1103/PhysRevLett.50.1395}{doi:10.1103/PhysRevLett.50.1395}}, + doi = {10.1103/PhysRevLett.50.1395}, + url = {https://doi.org/10.1103/PhysRevLett.50.1395} +} + +@article{Haldane, + author = {Haldane, F. D. 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M. and Jach, Terrence}, + title = {Formalism for the quantum {Hall} effect: {Hilbert} space of analytic functions}, + journal = {Physical Review B}, + volume = {29}, number = {10}, pages = {5617--5625}, year = {1984}, + doi = {10.1103/PhysRevB.29.5617}, + url = {https://doi.org/10.1103/PhysRevB.29.5617}, + note = {\href{https://doi.org/10.1103/PhysRevB.29.5617}{doi:10.1103/PhysRevB.29.5617}} +} diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/sections/01-introduction.tex b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/sections/01-introduction.tex new file mode 100644 index 0000000000000000000000000000000000000000..ca4c9fb728940a87567fc0dc6954b8d7407e2eb6 --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/sections/01-introduction.tex @@ -0,0 +1,200 @@ +\section{The gap and the model} +\label{sec:intro} +Laughlin's wave function gave an explicit description of the fractional +quantum Hall state at filling $1/3$~\cite{Laughlin}. Haldane's spherical +geometry and pseudopotentials identify a particularly simple parent +Hamiltonian: every pair pays energy one in relative angular momentum one +and zero in the other pair sectors~\cite{Haldane}. Its exact Laughlin +zero mode is known, but a uniform lower bound on the positive spectrum +requires control of all competing many-particle states. We prove this +bound for the full interaction on the round sphere, resolving positively +the spherical fermionic Laughlin spectral-gap conjecture. + +The gap question has accompanied this model since its early development. +Haldane and Rezayi's finite-size study supplied numerical evidence and +explicitly distinguished the expected hard-core gap from a formal +proof~\cite{HaldaneRezayi1985FiniteSize}. The density-wave variational +picture of Girvin, MacDonald, and Platzman explains important features of +the excitation spectrum~\cite{GMP}. A variational excitation energy is +an upper bound; the lower bound sought here must hold for every state +orthogonal to the zero modes. + +\subsection{Normalization and main results} +For an integer \(Q\ge1\), let \(U_Q\) be the spin-\(Q/2\) representation of +\(SU(2)\), equipped with its invariant inner product. It is the one-particle +lowest Landau level on the sphere with \(Q\) flux quanta. Equivalently, it is +the space of homogeneous polynomials of degree \(Q\) in spinor coordinates +\((u,v)\). For \(2\le N\le Q+1\), define +\begin{equation}\label{eq:physicalH} + H_{N,Q}=\left.\sum_{1\le i \frac1{25}. +\] +Our principal estimate concerns this entire Fock space. + +\begin{theorem}\label{thm:fock} +For every \(0<\gamma<\gamma_*\), there is an integer \(Q_\gamma\) such that +for every integer \(Q\ge Q_\gamma\), +\begin{equation}\label{eq:architecture} + H_Q^2\ge\gamma H_Q\qquad\text{on }\FF_Q. +\end{equation} +The threshold \(Q_\gamma\) is independent of particle number. +\end{theorem} + +Thus the spectrum is contained in \(\{0\}\cup[\gamma,\infty)\). +In a particle sector without a zero mode, this statement bounds the energy +away from zero; it does not assert a gap between that sector's two lowest +eigenvalues. At Laughlin filling the zero mode is unique, and we obtain the +usual ground-state spectral gap. + +\begin{corollary}\label{thm:main} +There is an integer \(N_0\ge2\) such that, for every \(N\ge N_0\) and +\(Q=3(N-1)\), +\begin{equation}\label{eq:main} + H_{N,Q}\ge\frac1{25}\bigl(I-P_{\mathrm L,N}\bigr) + \qquad\text{on }\bigwedge^N U_Q, +\end{equation} +where \(P_{\mathrm L,N}\) projects onto the line spanned by +\[ + \Psi_{\mathrm L,N}=\prod_{ij+k$. The formula holds for either ordering of $j,k$, by antisymmetry. It follows by applying Lemma~\ref{lem:coupling} first to the two single-particle spins and then to the two pair spins. + +Only $1\le D\le23$ contribute: every unaveraged term has +\[ + T=p+j+k=q+l+i\le23. +\] +Put $d_D=4Q-1-2D$. In the coupled bases $\ket{D,T;r}_Q$, the +spin-$2Q-1-D$ block is identified with +$\mathbb C^{d_D}\otimes\mathbb C^{\mathcal R_D}$: the first factor uses the +$(T-D)$-th normalized spin descendant, and the second has basis vector +indexed by $r$. Let $E_D^Q$ be the partial trace over the spin factor of +the compression to this block of the matrix representing \eqref{eq:normal4} +before wedging, summed over rows. Schur averaging then gives, for all sufficiently large $Q$, +\begin{equation}\label{eq:A4} + A_4=\LL_4\!\left(\widehat W + \left[\bigoplus_{D=1}^{23}\frac{d_a}{d_D} + (I_{d_D}\otimes E_D^Q)\right]\widehat W^\dagger\right), +\end{equation} +where the direct sum acts as zero on all other spin blocks. +For these finitely many $D$, entrywise convergence gives $E_D^Q\to E_D$, with +\begin{equation}\label{eq:E} + (E_D)_{rs}=-\sum_\rho\sum_{\substack{p,j;q,l\\T\ge D}} + \alpha^{\rho}_{pj}\alpha^{\rho}_{ql} + S_r(D,T;p,j,k)S_s(D,T;q,l,i), +\end{equation} +where $i=p+j-t_\rho$, $k=q+l-t_\rho$, and $T=p+j+k$. The exact finite-flux matrix $E_D^Q$ is given by the same formula with each $S_r$ replaced by $S_r^Q$. Exchanging the two ordered entry pairs exchanges $r$ and $s$, so both matrices are real symmetric. + +The target term $\LL_4(W_4W_4^\dagger)$ is obtained from the $r=1$ summand, since that summand is $V_Q\otimes V_Q$. Thus its copy matrix, in the units just used, is $(d_D/d_a)\chi$, where +\[ + \chi_{rs}=\mathbf1_{r=s=1},\qquad d_D/d_a\longrightarrow2. +\] +For even $D$, the $r=1$ coupled vector is antisymmetric under exchange +of its two spin-$a$ factors, since its coupling deficit is $D-1$. +Wedging two degree-two vectors is symmetric, so this target column then +vanishes after applying $\widehat W$. The formula with $\chi$ still +represents it exactly; we never assume that the wedged copy vectors are +independent. + +Target spin blocks outside $1\le D\le23$ contribute positively and may be discarded in a lower bound. + +Set +\begin{align} + w_{Dr}^Q&=\widehat W\ket{D,D;r}_Q,\label{eq:wQ}\\ + w_{Dr}^*&=\sum_{\substack{p+j+k=D\\jQ$, are therefore dominated by +$6z(z+1)(2/3)^z$. Dominated convergence and \eqref{eq:qlimit} give +\[ + \lim_{Q\to\infty}\delta_Q + =\frac32\sum_{z=17,19,\ldots}(3z-1)(z+1)2^{-z} + =\frac{61}{4096}. +\] +For the last identity, write $z=17+2m$. Then +$(3z-1)(z+1)=900+208m+12m^2$, while the sums of $4^{-m}$, +$m4^{-m}$, and $m^24^{-m}$ are $4/3$, $4/9$, and $20/27$, +respectively. Multiplication by $(3/2)2^{-17}$ gives $61/4096$. +\end{proof} + +\begin{proof}[Proof of Theorem~\ref{thm:fock}] +Combine Lemma~\ref{lem:square}, \eqref{eq:Adecomp}, \eqref{eq:A3bound}, Proposition~\ref{prop:A4}, and Lemma~\ref{lem:tail}. They give +\[ + H^2\ge d_a\int K(g)\,dg+ + (1-\eta-\delta_Q-1222\eps-o(1))H. +\] +The integral is positive. The certificate gives +\[ + \eta=\frac{93527408868499}{10^{14}},\qquad\eps=\frac3{10^6}, +\] +so the coefficient tends to +\begin{equation}\label{eq:finalmargin} + 1-\frac{93527408868499}{10^{14}}-\frac{61}{4096} + -1222\frac3{10^6} + =\gamma_*=\frac{4616733319001}{10^{14}}>\frac1{25}. +\end{equation} +The limit in \eqref{eq:finalmargin} is $\gamma_*$. For each fixed $0<\gamma<\gamma_*$, the coefficient therefore exceeds $\gamma$ for all sufficiently large $Q$. Every convergence threshold is independent of particle number, proving the assertion on $\FF_Q$. +\end{proof} + +We now recover the known unique zero mode of Haldane's spherical +parent Hamiltonian~\cite[p.~606, Equations~(6)--(7)]{Haldane}. +The elementary divisibility proof also fixes the exact flux at which the +kernel is a line. + +\begin{lemma}[Kernel at Laughlin flux]\label{lem:kernel} +For $N\ge2$ and $Q=3(N-1)$, the kernel of $H_{N,Q}$ is the line spanned by $\Psi_{\mathrm L,N}$. +\end{lemma} +\begin{proof} +Realize $U_Q$ as the homogeneous polynomials of degree $Q$ in spinor coordinates $(u,v)$. Write $b_{ij}=u_iv_j-u_jv_i$. The pair-spin $Q-r$ summand has highest polynomial +\[ + b_{ij}^{\,r}u_i^{Q-r}u_j^{Q-r}. +\] +Since $b_{ij}$ is invariant under simultaneous rotations of the pair, every vector in this summand is divisible by $b_{ij}^r$. Exchange of the pair has parity $(-1)^r$, so antisymmetric pair states have odd $r$. + +If $H_{N,Q}\Psi=0$, then, in the ambient tensor space, +\[ + 0=\ip\Psi{H_{N,Q}\Psi}=\sum_{i0. +\] +In particular, \(\Delta_N\ge N/[25(N-1)]\) for \(N\ge N_0\), with +\(N_0\) as in Corollary~\ref{thm:main}. +\end{corollary} + +\begin{proof} +All three sectors are nonempty since \(N+1\le\dim U_{Q_N}=3N-2\). +Lemma~\ref{lem:kernel} gives \(E_0(N;Q_N)=0\) and a one-dimensional +ground space. The \(N\)-particle sector has dimension greater than one, +so \(\operatorname{Gap}_N>0\). +For a nonzero Laughlin vector \(\Psi\), each pair annihilator \(B_p\) +commutes with every \(c_j\), while +\(\sum_j\|c_j\Psi\|^2=N\|\Psi\|^2\). Thus some \(c_j\Psi\) is a nonzero +\((N-1)\)-particle zero mode, giving \(E_0(N-1;Q_N)=0\). +The divisibility argument in Lemma~\ref{lem:kernel} excludes a zero mode +in the \((N+1)\)-particle sector: the required product of cubed brackets +would have degree \(3N>Q_N\) in each particle variable. + +Let \(P_n\) project onto the lowest-energy eigenspace of \(H_{n,Q_N}\), +and define the overlap operator on the \((N+1)\)-particle sector by +\[ + \mathcal G_N=P_{N+1}\left(\sum_{j=0}^{Q_N}c_j^\dagger P_Nc_j\right)P_{N+1}. +\] +Here \(P_{N+1}\) projects onto a positive-energy ground eigenspace. +For the pure two-body fermionic form \eqref{eq:fockH}, the cited +Theorem~2.1(I), with \(m_0=m_1=2\), gives +\[ + E_0(N+1;Q_N)\ge\frac{N+1}{N-1}E_0(N;Q_N) + +\frac{N+1-\|\mathcal G_N\|}{N-1}\operatorname{Gap}_N. +\] +The cited Lemma~2.3 gives \(\|\mathcal G_N\|\le\operatorname{rank}P_N=1\). +Since \(E_0(N;Q_N)=0\), this yields +\(E_0(N+1;Q_N)\ge N\operatorname{Gap}_N/(N-1)\). +The two zero energies give the asserted second difference, and +Corollary~\ref{thm:main} supplies the final uniform bound. +\end{proof} diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/sections/07-plane.tex b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/sections/07-plane.tex new file mode 100644 index 0000000000000000000000000000000000000000..101b6ed314171c2e74d515f4192692770b498f48 --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/build/sections/07-plane.tex @@ -0,0 +1,86 @@ +\section{A planar corollary} +\label{sec:plane} + +The full-Fock-space estimate also gives a gap on the plane. We use the +analytic lowest-Landau-level representation described by Girvin and +Jach~\cite[Section~II]{GirvinJach}, with Gaussian scale fixed below. +Let +$\mathcal B$ be the Bargmann space of entire functions with norm +\[ + \|f\|_{\mathcal B}^2=\frac1\pi\int_{\mathbb C}|f(z)|^2e^{-|z|^2}\,d^2z, + \qquad e_j(z)=\frac{z^j}{\sqrt{j!}}. +\] +Multiplication by $\pi^{-1/2}e^{-|z|^2/2}$ identifies this space unitarily +with the planar lowest Landau level at magnetic field $2$; changing magnetic +length is a unitary dilation. +For a pair of coordinates set $w=(z_1-z_2)/\sqrt2$ and +$Z=(z_1+z_2)/\sqrt2$. Let $P^{(1)}$ be the orthogonal projector onto +relative degree one, with no restriction on the degree in $Z$, and put +\[ + H_N^{\mathrm{pl}}=\left.\sum_{1\le i0$. Integer division gives the floors $\lfloor n_z/d_z\rfloor$ listed below: +\begin{center} +\begin{tabular}{rrrrrrrrrrrrrr} +\toprule +$z$&2&4&5&6&7&8&9&10&11&12&13&14&15\\ +\midrule +floor&1298313&211317&249&250&249&250&250&250&249&250&250&6470&250\\ +\bottomrule +\end{tabular} +\end{center} +All are positive, proving \eqref{eq:3certificate}. + +\subsection{Four-body arithmetic} +\label{app:four-arithmetic} +Fix $1\le D\le23$; all copy indices below lie in $\mathcal R_D$. Put +\[ + u_r=\frac1{r!(D-r)!},\qquad + (E_D)_{rs}=\sqrt{u_ru_s}\,Y_{rs},\qquad + (G_D)_{rs}=\sqrt{u_ru_s}\,Z_{rs}. +\] +The matrices $Y,Z$ are rational. Define +\[ + \mathsf V_r(D,T;p,j,k)= + \mathsf U(1,r,j+k,j)\mathsf U(1,D-r,T-r,p), +\] +with value zero for $r>j+k$. Two applications of \eqref{eq:coupling} give +\begin{equation}\label{eq:Srational} + S_r(D,T;p,j,k)=\mathsf V_r(D,T;p,j,k) + \sqrt{2^{1-(j+k)-T+r}\frac{j!k!p!\,u_r}{(T-D)!}}. +\end{equation} +Therefore +\begin{equation}\label{eq:Yrational} + \begin{split} + P^2Y_{rs}=-\sum_\rho\sum_{\substack{p,j;q,l\\T\ge D}} + &a^\rho_{pj}a^\rho_{ql}\, + \mathsf V_r(D,T;p,j,k)\mathsf V_s(D,T;q,l,i)\\ + &\times2^{1-2T+p+q-t_\rho+(r+s)/2} + \frac{i!k!t_\rho!}{(T-D)!}, + \end{split} +\end{equation} +where $i=p+j-t_\rho$, $k=q+l-t_\rho$, and $T=p+j+k$. Both entry sums are ordered. To verify the cancellation, multiply the two factors in \eqref{eq:Srational} by the two factors \eqref{eq:alphadata}; the factorial product under the combined square root is +$(t_\rho!i!k!)^2u_ru_s/((T-D)!)^2$. +Using $j+k=T-p$ and $l+i=T-q$, its power of two has exponent +$2+2p+2q-2t_\rho-4T+r+s$. Taking the positive square root and +removing $\sqrt{u_ru_s}$ gives exactly the displayed factor. + +For an increasing quadruple $A$ of nonnegative indices with sum $D+1$, put $f(A)=\prod_{b\in A}b!$. If $(x,y,j,k)$ lists its elements, let $\sigma(x,y,j,k)$ be the sign of sorting this list into increasing order. In each summand below put $p=x+y-1$, and define +\begin{equation}\label{eq:Lrational} + L_r(A)=2^{(1-2D+r)/2} + \sum_{\substack{x0$ for $x>0$. Since $M$ is real symmetric, a negative eigenvalue would give a positive root of this polynomial. Therefore $M\ge0$, proving \eqref{eq:4certificate}. + +\begin{remark}[Nature of the certificate] +The data above certify fixed spin-matrix inequalities. The positive comparison operator is a sum of squares by construction. No many-particle finite-size spectrum, numerical extrapolation, or assumed plasma property enters the argument. The exact equalities and inequalities in this appendix can be verified by a finite calculation using only integers and rational numbers. +\end{remark} diff --git a/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/verification/rows.txt b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/verification/rows.txt new file mode 100644 index 0000000000000000000000000000000000000000..eb01ff68d5554a223e77b6c30cc12f9794766d85 --- /dev/null +++ b/preprints/A-Fock-space-inequality-and-the-Laughlin-spectral-gap-September-24-2026/verification/rows.txt @@ -0,0 +1,20 @@ +0 7181518 05:-849651 07:-2958744 15:751659 16:-43084 17:-146216 32:720949 35:-127514 + 42:222437 43:-262822 53:-117700 61:-55024 71:-166049 +1 -112991 05:142772 06:-142342 07:527055 08:50742 16:197917 18:-18343 24:5764 27:-21183 + 32:75832 35:-6115 45:2660 53:-9455 61:-27091 63:-3494 71:479 72:-15331 +1 -4247311 05:-12207250 06:-14064191 07:-14063663 08:-15662679 16:483831 18:3987214 + 24:-814558 27:888887 32:966462 35:145978 45:-171722 53:34350 61:389319 63:97603 + 71:412447 72:-53786 +2 3438746 14:6689266 15:6620205 16:6625065 17:4969272 18:4878238 27:-1387380 36:-586188 + 37:344087 42:-1120634 45:-318530 46:559169 55:157455 61:1207103 63:211617 64:33240 + 71:577001 73:-142578 +5 -98645 05:-2719776 08:-8519913 14:-949523 17:-1952105 18:-1562606 28:-8919966 32:248826 + 35:-1017623 37:3656005 38:-2081871 42:-33163 43:-305905 46:35677 47:-1320749 + 48:-1040378 53:502094 55:1060633 58:-998003 61:-113617 63:184919 64:209239 65:-68198 + 67:-266297 72:-606696 73:-563620 74:437345 76:-432189 +5 -3160276 05:-1698129 08:10575875 14:-252576 17:-8002616 18:22592844 28:7370640 + 32:289294 35:1400647 37:1987740 38:4030699 42:-1731401 43:-1034062 46:-1106371 + 47:-1257051 48:1461735 53:1408149 55:1136847 58:1878501 61:-2838516 63:-734099 + 64:1062416 65:11745 67:611312 72:-480776 73:20459 74:316925 76:37092 +7 1441784 07:3441286 08:-6097155 37:-1002399 47:-251321 58:1143225 66:-17397 71:-1007464 + 73:-662286 76:-344621 78:-1115284 diff --git a/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/README.md b/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..69a465a830053b2f19d8664b1fc55d32e9e63503 --- /dev/null +++ b/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/README.md @@ -0,0 +1,18 @@ +# [A Fully Polynomial Randomized Approximation Scheme for Perfect Matchings in General Graphs](main.pdf) + +**Author:** OpenAI + +**Date:** September 23, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026, + author = {{OpenAI}}, + title = {{A Fully Polynomial Randomized Approximation Scheme for Perfect Matchings in General Graphs}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/main.pdf}{OAI:A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/build/main.tex b/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..4af2d19d7c5da08e9c30b953bef0c088b8945323 --- /dev/null +++ b/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/build/main.tex @@ -0,0 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+\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} + +\AddToHook{env/theorem/begin}{\crefalias{theorem}{theorem}} +\AddToHook{env/lemma/begin}{\crefalias{theorem}{lemma}} +\AddToHook{env/proposition/begin}{\crefalias{theorem}{proposition}} +\AddToHook{env/corollary/begin}{\crefalias{theorem}{corollary}} +\AddToHook{env/definition/begin}{\crefalias{theorem}{definition}} +\AddToHook{env/remark/begin}{\crefalias{theorem}{remark}} + +\newcommand{\E}{\mathbb E} +\newcommand{\Prb}{\mathbb P} +\DeclareMathOperator{\Var}{Var} +\DeclareMathOperator{\Cov}{Cov} +\DeclareMathOperator{\TV}{TV} +\DeclareMathOperator{\supp}{supp} +\DeclareMathOperator{\poly}{poly} +\newcommand{\one}{\mathbf 1} +\newcommand{\calM}{\mathcal M} +\newcommand{\calE}{\mathcal E} +\newcommand{\calT}{\mathcal T} +\newcommand{\wt}{\operatorname{wt}} +\newcommand{\R}{\mathbb R} +\newcommand{\N}{\mathbb N} +\newcommand{\abs}[1]{\left|#1\right|} +\newcommand{\norm}[1]{\left\lVert#1\right\rVert} +\newcommand{\set}[1]{\left\{#1\right\}} +\newcommand{\eps}{\varepsilon} +\newcommand{\ceil}[1]{\left\lceil#1\right\rceil} +\newcommand{\floor}[1]{\left\lfloor#1\right\rfloor} +\newcommand{\dd}{\,\mathrm d} +\newcommand{\bit}{\operatorname{bit}} +\newcommand{\PM}{\operatorname{PM}} + +\setlist{topsep=4pt,itemsep=3pt,parsep=0pt} +\renewcommand{\labelitemi}{\(\bullet\)} +\numberwithin{equation}{section} +\hypersetup{pdftitle={A Fully Polynomial Randomized Approximation Scheme for Perfect Matchings in General Graphs},pdfauthor={OpenAI}} +\title{A Fully Polynomial Randomized Approximation Scheme\\ +for Perfect Matchings in General Graphs} +\author{OpenAI} +\date{September 23, 2026} +\begin{document} +\maketitle +\begin{abstract} +We give a fully polynomial randomized approximation scheme (FPRAS) for +counting perfect matchings in arbitrary finite simple undirected graphs, +resolving the general-graph perfect-matching approximation problem. +The algorithm returns zero with certainty when no perfect matching exists. +Otherwise, it achieves relative error $\eps$ with failure probability at +most $\delta$ in worst-case bit time polynomial in the input length, +$\eps^{-1}$, and $\log\delta^{-1}$. +\end{abstract} +\tableofcontents +\section{Introduction} +\label{sec:introduction} + +Let $G=(V,E)$ be a finite simple undirected graph. A perfect matching is a +set of edges incident to each vertex exactly once. Write +\[ + Z(G)=\#\{M\subseteq E:M\text{ is a perfect matching of }G\}. +\] +A fully polynomial randomized approximation scheme approximates $Z(G)$ +within a prescribed relative error, with a prescribed success probability, +in time polynomial in the input length and the reciprocal error. +The confidence parameter enters through its logarithm. We prove the +following theorem, including a bound on the time of every execution. + +\begin{theorem}\label{thm:main} +There is a uniform classical randomized algorithm which, given $G$ and +rational parameters $0<\eps<1$ and $0<\delta<1/2$, returns a nonnegative +rational number $\widehat Z$ such that +\[ + \Prb\bigl[(1-\eps)Z(G)\le \widehat Z\le(1+\eps)Z(G)\bigr] + \ge 1-\delta. +\] +If $Z(G)=0$, the output is zero with certainty. The worst-case bit running +time is polynomial in the input encoding length, $\eps^{-1}$, and +$\log\delta^{-1}$. +\end{theorem} + +As consequences, \cref{sec:prescribed-degree} gives counting schemes for +edge subsets with prescribed vertex degrees and for matchings of a +specified size. On feasible inputs, its samplers always return a +feasible object and approximate the corresponding uniform law in total +variation. + +\subsection{History and significance} +Perfect matchings illustrate the distinction between finding a +combinatorial structure and counting its realizations. Edmonds gave a +polynomial-time algorithm for finding a maximum matching in a general +graph~\cite{Edmonds1965}. Valiant proved that exact counting is +\#P-complete even for bipartite graphs, where it is the permanent of a +zero--one matrix~\cite{Valiant1979}. Pfaffian methods give +polynomial-time exact counting for planar graphs~\cite{Kasteleyn1963}. + +For approximation, three problems must be distinguished: counting all +matchings, counting bipartite perfect matchings, and counting perfect +matchings in general graphs. Jerrum and Sinclair gave an FPRAS for the +total number of matchings in an arbitrary graph, summed over all +cardinalities~\cite[Corollary~4.5]{JerrumSinclair1989}. +Their perfect-matching algorithm applied when the ratio of near-perfect +matchings, which leave exactly two vertices unmatched, to perfect +matchings was bounded by a fixed polynomial~\cite[Theorem~5.3]{JerrumSinclair1989}. +Without such a bound, perfect matchings can carry too little stationary +mass for this sampling approach. Approximating the total number of +matchings therefore does not isolate its perfect-matching contribution +with relative accuracy. + +Jerrum, Sinclair, and Vigoda removed the ratio restriction in the +bipartite setting and obtained an FPRAS for the permanent of every +nonnegative matrix~\cite[Theorem~1.1]{JerrumSinclairVigoda2004}. +Their method assigns weights to near-perfect states according to their +two unmatched vertices and learns suitable weights while gradually +changing edge activities. The general-graph question was explicitly +raised by Jerrum and Sinclair~\cite[Section~7(i)]{JerrumSinclair1989} +and remained a benchmark for approximate counting. Cai and Liu relate +it to approximation for the eight-vertex model~\cite{CaiLiu2020}; +Fei, Goldberg, and Lu distinguish the spin-system parameter line +equivalent to general perfect-matching approximation from the region +covered by their FPRAS~\cite[Proposition~1.2 and Theorem~1.5]{FeiGoldbergLu2025}. +\Cref{thm:main} answers the general-graph perfect-matching approximation +problem affirmatively. + +A direct extension of the bipartite chain faces a precise obstruction. +\v{S}tefankovi\v{c}, Vigoda, and Wilmes constructed graphs on which every +JSV-type chain has either exponentially small stationary probability +of perfect matchings or exponentially slow mixing, even with arbitrary +weights depending on the hole pattern~\cite[Definition~2.1 and +Theorem~2.2 in the full version]{StefankovicVigodaWilmes2018}. +Here JSV type means the perfect-and-near-perfect state space with the +specified Broder proposals and a Metropolis acceptance rule. The +sampler below uses a different state space: a product of +perfect-matching spaces on an enlarged colored graph, with exchanges +of alternating cycles between coordinates. Its energy comparison is +proved for these states and moves. + +Subsequent permanent algorithms sharpen the bipartite result. +Bez\'{a}kov\'{a}, \v{S}tefankovi\v{c}, Vazirani, and Vigoda accelerated the +cooling schedule and improved the analysis of the matching +chain~\cite{BezakovaStefankovicVaziraniVigoda2008}. +Chen, Vigoda, and Yang obtain a further improvement through restricted +Poincar\'e inequalities and coupled flows~\cite{ChenVigodaYang2026}; +Chen, Guo, Vigoda, and Yang develop an energy-weighted +multicommodity-flow comparison and improve the running time +again~\cite{ChenGuoVigodaYang2026}. These results concern bipartite +perfect matchings. + +For nonbipartite graphs, Yi gives deterministic relative approximation +for hafnians, the weighted sums over perfect matchings, when the +$n$-vertex support has minimum degree at least $(1/2+\gamma)n$ and +nonzero weights lie in $[\theta,1]$~\cite[Theorem~1.1]{Yi2026}. +Here $0<\gamma<1/2$ and $0<\theta\le1$ are fixed constants, and the +polynomial running-time exponent may depend on them. +\Cref{thm:main} has no density promise on its simple unweighted input. + +The proof below also builds on the methodological framework of weighted +matching chains. Alternating overlays and weight-preserving switches +underlie the encodings of Jerrum and Sinclair and of Jerrum, Sinclair, +and Vigoda~\cite{JerrumSinclair1989,JerrumSinclairVigoda2004}. +Their sampling-to-counting strategy learns local partition ratios while +gradually changing activities. +Here these ratios are exposed by marked edges in an enlarged graph, +and vertex scaling maintains a row-wise balance condition. The +capacity bound, subdivision and marked-edge identities needed for this +construction are proved explicitly. + +Energy comparison through weighted demands has classical antecedents +in multicommodity-flow bounds for mixing~\cite{Sinclair1992}. +Our comparison differs from routing every demand along a path of chain +transitions: long-arc conversions enter a signed identity and need not +be legal single updates. The resulting estimate initially controls +only additive functions of two matching coordinates. The separate +product-space argument is essential to obtain a spectral gap for +arbitrary functions. It uses the classical orthogonal decomposition +into coordinate interactions~\cite[Section~2]{EfronStein1981}; the +ordered assignment of residual terms and the replication estimate are +proved below. + +\subsection{Proof architecture} + +The counting algorithm starts with the complete graph, whose perfect +matchings are easy to count, and gradually suppresses the nonedges of +$G$ by decreasing their positive activities. It estimates the ratios +of successive partition functions and multiplies them. To keep the +observations statistically useful, it updates vertex scales from +estimates of the two-hole partition ratios: partition functions after +deleting two vertices, divided by the current partition function. +Accurate estimates keep each row maximum between two absolute +constants. A vertex scale +multiplies every complete matching weight by the same factor, preserving +the probability law used to estimate the current counting ratio. + +The purpose of balance is to control the extra mass introduced by an +auxiliary graph. We replace each logical edge by a weighted path, with +a bijection between logical perfect matchings and matchings using only +these real path edges. We then add weak clique edges in overlapping +bags indexed by a tree. Under balance, the added edges increase the +partition function by at most a factor of two, so a sample uses only +real edges with probability at least one half. A specially marked +auxiliary edge exposes the corresponding two-hole partition ratio. +These are exact event identities; they provide both the counting +estimate and the data for the next scale update. + +To prove the inflation bound, \cref{thm:logical-hole-bound} assigns a +pairing capacity to each even hole set using the strongest bottleneck +paths between its vertices. The capacity pays for the weights of +possible added edges on those holes. Subdivision transfers this bound +to the real graph while making incident effective strengths comparable. +The resulting geometry supplies the tree of clique bags. Thus the +hole estimates control the probability of the observable events, +while the tree-bag structure supplies a sampler for their law. + +That sampler uses local switches in one matching and exchanges +alternating cycles between two matching coordinates. Its energy +comparison initially controls only additive functions of the two +coordinates. A quadrangulation adapted to the bag labels gives an exact +signed identity for a whole-cycle difference +(\cref{lem:quadrangulation,thm:pair-energy}). The identity is not a +route through chain transitions: long arc conversions may change many +edges. Two-matching encodings instead compare its terms with local +switches and cycle exchanges, with polynomially bounded multiplicity. + +A ladder of nearby weight distributions then places many independent +coordinates at each tier. An ordered orthogonal decomposition ensures +that each coordinate-interaction term is charged to at most one pair. +Replication reduces the coefficient of their combined contribution +enough to absorb it. This yields a spectral gap for +arbitrary functions of the product state (\cref{lem:replica-gap}). +The bottom tier has unit activities and admits exact counting and +ideal sampling by a tree dynamic program. The sampler requires no +balance assumption. It therefore remains defined, with the same time +bound, after an inaccurate empirical estimate; balance is used only +to prove that accurate estimates propagate through the counting stages. + +\Cref{tab:graph-laws} summarizes the changes of law. Finally, +\cref{sec:counting,sec:complexity} account for all arithmetic and +finite-bit random choices. Every polynomial has an absolute degree; +the constants are chosen for transparent estimates rather than +practical efficiency. + +\begin{table}[ht] +\centering +\small +\begin{tabular}{@{}p{.18\textwidth}cp{.61\textwidth}@{}} +\toprule +Object & Vertices & Relation of matching laws \\ +\midrule +Input $G$ & $n$ & The target is its unweighted count $Z(G)$. \\ +Complete graph & $n$ & Raw activities $w^{(j)}$ gradually suppress the nonedges of $G$. \\ +Vertex scaling & $n$ & Activities $\lambda$ preserve the normalized raw matching law. \\ +Real paths & $N$ & Subdivision gives a matching bijection with a common weight multiplier. \\ +Colored bags & $N$ & Their activities $W$ recover the real law when every sampled edge is revealed as real. \\ +Weight tiers & $N$ & Common-interval clamps of $W$ connect the unit-activity law to the bag law on one colored state space. \\ +\bottomrule +\end{tabular} +\caption{The successive graphs and probability laws. Here $n$ is the +original vertex count and $N$ the enlarged count. Scaling, subdivision, +conditioning, and clamping have distinct roles.} +\label{tab:graph-laws} +\end{table} + +The specialized combinatorial and sampling arguments are proved here. +We use Edmonds's algorithm for the initial matching-existence test +and Hoeffding's bounded-variable inequality for concentration and +confidence amplification~\cite{Edmonds1965,Hoeffding1963}. +\section{Preliminaries} +\label{sec:preliminaries} + +Logarithms are natural unless a base is indicated. + +\subsection{Weighted matchings and holes} +We allow parallel edges distinguished by colors. A matching specifies +the actual colored edges it uses. For positive rational activities +$a=(a_e)$, put +\[ + \wt_a(M)=\prod_{e\in M}a_e,\qquad + Z_a(-U)=\sum_{M\in\calM(H-U)}\wt_a(M), + \qquad Z_a=Z_a(-\varnothing), +\] +where $H$ is the underlying graph and $\calM(H-U)$ is its set of perfect +matchings after deleting $U$. The empty graph has one perfect matching, +of weight one. Whenever $Z_a>0$, define +\[ + g_a(U)=\frac{Z_a(-U)}{Z_a},\qquad + \pi_a(M)=\frac{\wt_a(M)}{Z_a}. +\] +These weighted colored graphs are intermediate spaces constructed from +the simple input graph. Their representation is explicit: vertices, +colored edges, and rational activities are stored individually. The +main theorem retains the finite simple undirected input model; it does +not assert a counting algorithm for compressed edge multiplicities or +for singleton-covering loops. + +We call the vertices in $U$ \emph{holes}. For distinct vertices we abbreviate +$g_a(\{i_1,\ldots,i_k\})$ to $g_a(i_1\cdots i_k)$. +Collapsing parallel activities into their +sum preserves every partition function. Conditional on a collapsed +edge, its original type can be recovered with probabilities +proportional to the summands. + +The union of two matchings, with common edges retained twice, has +maximum degree two. Its nontrivial components are alternating paths +and even alternating cycles. Swapping the layers along a component +preserves the product of their weights. In the union of two perfect +matchings, deleting common identical edges leaves disjoint alternating +cycles; different colors on the same pair of vertices form a cycle +of length two. We fix a vertex order and a color order once and for +all. They resolve every combinatorial tie in the proof. + +\subsection{Bottleneck similarities} +For a positive weighted connected graph define +\begin{equation}\label{eq:bottleneck} + B_{ij}=\max\left\{1,\ \max_{P:i\leadsto j}\ \min_{e\in P}a_e\right\} + \quad (i\ne j). +\end{equation} +Simple paths suffice. This symmetric similarity satisfies +$B_{ij}\ge\min\{B_{ik},B_{kj}\}$: concatenating two paths and erasing +loops cannot lower their minimum activity. For $t>1$, its equivalence +classes are the connected components of the graph retaining edges of +activity at least $t$. Singletons are included. At $t=1$ we take one +class containing every vertex, consistently with the floor at one. +For an even set $U$ define its \emph{pairing capacity} +\begin{equation}\label{eq:pairing-capacity} + \Phi_B(U)=\max_{\mathcal P}\prod_{ij\in\mathcal P}B_{ij}, + \qquad \Phi_B(\varnothing)=1, +\end{equation} +where $\mathcal P$ runs over pairings of $U$. We use this quantity only +in proofs; the counting algorithm never needs to enumerate pairings +or compute $\Phi_B(U)$ for a general hole set. + +\subsection{Tree bags} +\begin{definition}\label{def:tree-bags} +A \emph{tree-bag graph} consists of a finite rooted tree of labels and +a finite even vertex set. A label $l$ at level $k$ has height $h_l=2^k$; +the root has level zero and a child has level one greater than its +parent. Each vertex belongs to either one label or two adjacent +labels. The bag at $l$ is the set of vertices belonging to $l$. +For each unordered pair of distinct vertices and each common label +$l$, there is one edge of color $l$. There are no other edges. +For an integer parameter $D\ge1$, its reference activities obey +\begin{equation}\label{eq:bag-weight-range} + \frac{h_l}{D}\le W_{xy,l}\le3h_l. +\end{equation} +We also consider activities obtained by clamping all $W_e$ to one +common interval $[a,b]\subset(0,\infty)$. +\end{definition} + +Every vertex pair has at most two edge colors. At any bag, the +interfaces with its parent and its different children are disjoint: +a vertex in two such interfaces would have at least three memberships. +Empty bags and repeated underlying vertex sets are permitted. +Clamping is monotone and does not increase the ratio of a larger +activity to a smaller one. In particular, reference activities of +nearby labels remain comparable after clamping. + +\subsection{Dirichlet energy and approximation} +For a finite reversible Markov kernel $P$ with stationary law $\mu$, +its Dirichlet energy is +\begin{equation}\label{eq:dirichlet} + \calE_{\mu,P}(f) + =\frac12\sum_{x,y}\mu(x)P(x,y)(f(x)-f(y))^2. +\end{equation} +A Poincar\'e inequality $\Var_\mu f\le\gamma^{-1}\calE_{\mu,P}(f)$ +means that the spectral gap is at least $\gamma$. A symmetric proposal +$Q$ has Metropolis acceptance probability~\cite{MetropolisEtAl1953,Hastings1970} $\min\{1,\mu(y)/\mu(x)\}$ +for a proposed move from $x$ to $y$. Its off-diagonal stationary capacity is +\begin{equation}\label{eq:metropolis-capacity} + \mu(x)P(x,y)=Q(x,y)\min\{\mu(x),\mu(y)\}. +\end{equation} +We regard inapplicable proposals as holding moves. All state spaces +used below contain at least one perfect matching; thus their positive +activities define probability laws with full support on that space. + +Total variation is +$\|\mu-\rho\|_{\TV}=\frac12\sum_x|\mu(x)-\rho(x)|$. +A deterministic map, or a common randomized postprocessing kernel, +does not increase total variation, by the triangle inequality. +Two finite laws at total variation distance $\eta$ admit a coupling +that disagrees with probability $\eta$: first match the common masses +$\min(\mu(x),\rho(x))$, then couple the remainders. Applying this +construction successively bounds the discrepancy probability of an +adaptive simulation by the sum of its conditional one-step errors. +\section{Controlling the cost of unmatched vertices} +\label{sec:holes} + +This section proves the bound that will control the additional edges in +our sampling graph. It uses only alternating paths and differentiation +of a finite partition function. + +Let $V$ have even cardinality $n\ge2$, and give every edge of the complete +logical graph $K_V$ a positive activity $\lambda_{ij}$. Use the weighted +matching notation of \cref{sec:preliminaries}, abbreviating +$\calM(K_V-U)$ to $\mathcal M(-U)$. For any positive activity array $a$ +on this graph, define the row maxima +\[ + r_i(a)=\max_{j\ne i}g_a(ij). +\] +The activities $a$ are \emph{balanced} if $1/4\le r_i(a)\le1$ for +every $i$. Let $B$ be the bottleneck similarity of $\lambda$ from +\eqref{eq:bottleneck}, and let $\Phi_B$ be its pairing capacity from +\eqref{eq:pairing-capacity}. + +The estimate we need controls every even hole set, although balance +only bounds the two-hole ratios: + +\begin{theorem}[Logical hole bound] +\label{thm:logical-hole-bound} +Let $\lambda$ be balanced, let $B$ be its bottleneck similarity, and set +\[ + D_0=10^8(n+1)^4. +\] +For every even set $U\subseteq V$, +\begin{equation} +\label{eq:logical-hole-bound} + g_\lambda(U)\Phi_B(U)\le 2D_0^{|U|/2}. +\end{equation} +\end{theorem} + +To prove this, we will add a small activity proportional to $B_{ij}$ +on every pair. Bounds for two and four holes keep the resulting +partition inflation below two. Any pairing of an arbitrary hole set +can then be inserted using the added edges, giving the stated bound. + +We use two elementary alternating-path comparisons. Such weight-preserving +overlays also underlie the weighted matching encodings in +\cite{JerrumSinclair1989,JerrumSinclairVigoda2004}; the comparisons and +their constants needed here are proved below. In an overlay of +two matchings, edges retain their layer. Common edges can be kept as +two parallel copies. A path starting at a vertex unmatched in exactly +one layer is then uniquely determined, and switching its edges between +the layers preserves the product of their weights. + +\begin{lemma}[Four-hole inequality] +\label{lem:four-holes} +For any positive activities $\mu$ and four distinct vertices $a,b,c,d$, +\[ + g_\mu(abcd)\le + g_\mu(ab)g_\mu(cd)+g_\mu(ac)g_\mu(bd) + +g_\mu(ad)g_\mu(bc). +\] +Consequently, if every row maximum is at most $4$, then +\begin{equation} +\label{eq:small-hole-bounds} + g_\mu(\varnothing)=1,\qquad + g_\mu(U)\le4\quad(|U|=2),\qquad + g_\mu(U)\le48\quad(|U|=4). +\end{equation} +\end{lemma} + +\begin{proof} +Overlay $M\in\mathcal M(-\{a,b,c,d\})$ and +$P\in\mathcal M(-\varnothing)$. The alternating path from $a$ ends at +one of $b,c,d$, say $b$. Switch that path between the layers. The +output layers miss $\{c,d\}$ and $\{a,b\}$, respectively, and their +product weight is unchanged. This map is injective for the specified +endpoint $b$: in the output overlay, follow the path from $a$ and switch +it back. The same argument applies to endpoints $c,d$. +Summing the three injective comparisons and dividing by $Z_\mu^2$ +proves the inequality. The remaining assertions follow immediately. +\end{proof} + +The four-hole comparison controls small hole sets by row maxima. We +next need an additional factor when two holes are joined by a strong +path. Normalizing by the row maximum at the moving hole will make +the successive relocation errors add, without multiplying along the +path. + +The next lemma is stated with $\mu\ge\lambda$ so that it continues to +apply while we add activities to the graph. Its bottleneck similarity +always remains the one defined from $\lambda$. + +\begin{lemma}[Relocating a hole along a strong path] +\label{lem:hole-relocation} +Let $B$ be defined by \eqref{eq:bottleneck}, and suppose that +$\mu_e\ge\lambda_e$ for every edge and +\[ + \frac18\le r_i(\mu)\le4\qquad(i\in V). +\] +If $|U|\in\{2,4\}$ and $i,j\in U$ are distinct, then +\begin{equation} +\label{eq:hole-relocation-bound} + g_\mu(U)\le\frac{10^5n}{B_{ij}}. +\end{equation} +\end{lemma} + +\begin{proof} +Throughout this proof, omit the subscript $\mu$ from $g$ and $r$. +Write $B=B_{ij}$. For $B\le8$, the assertion follows from +\eqref{eq:small-hole-bounds}. Suppose therefore that $B>8$, and choose +a simple path from $i$ to $j$ whose $\lambda$-activities, and hence its +$\mu$-activities, are all at least $B$. + +We first give one step of the relocation. Let $a$ be the hole currently +on this path, let $S$ be the current hole set, and let $z$ be the next +vertex. Thus $a\in S$ and $\mu_{az}\ge B$. +If $z\in S$, inserting $az$ in a matching missing $S$ is injective and +increases its weight by $\mu_{az}$. Hence +\begin{equation} +\label{eq:adjacent-hole-fill} + \frac{g(S)}{r_a}\le + \frac{g(S\setminus\{a,z\})}{B r_a}\le\frac{32}{B}. +\end{equation} +The last inequality uses $|S|\le4$, \eqref{eq:small-hole-bounds}, and +$r_a\ge1/8$. + +Now suppose $z\notin S$. Choose $p\ne z$ with $g(zp)=r_z$. +Inserting $az$ gives $g(az)\le1/\mu_{az}\le1/B<1/8$, so $p\ne a$. +Overlay $M\in\mathcal M(-S)$ and $P\in\mathcal M(-\{z,p\})$. +The path from $a$ starts with an edge of $P$. Its endpoint belongs to +exactly one of the following three cases. +\begin{enumerate}[label=\textup{(\roman*)},leftmargin=*] +\item It ends at $z$. Switching the path gives layers missing +$S\setminus\{a\}\cup\{z\}$ and $\{a,p\}$. +The product weight is unchanged. +\item It ends at $p$, which requires $p\notin S$. +Switching gives layers missing $S\setminus\{a\}\cup\{p\}$ and +$\{a,z\}$. Insert $az$ in the second layer, making it perfect. +The product weight increases by $\mu_{az}\ge B$. +\item It ends at $x\in S\setminus\{a,p\}$. +Switching gives layers missing $S\setminus\{a,x\}$ and +$\{z,p,a,x\}$. Insert $az$ in the second layer; its remaining holes +are $\{p,x\}$. Again the product weight increases by at least $B$. +\end{enumerate} +These cases exhaust the possibilities. Indeed, the degree-one +vertices in the overlay are exactly the symmetric difference of the +two hole sets; if $p\in S$, then $p$ is isolated and cannot be an +endpoint of the path. + +The edge $az$ is absent from both input layers, since the first misses +$a$ and the second misses $z$. Switching cannot create an edge absent +from the overlay. Each map is injective when its case and endpoint are specified. +For case (i), the inverse switches the output path from $a$. +For cases (ii) and (iii), first remove the inserted edge $az$ from the +second output layer, then switch the path from $a$ in the resulting +overlay. This reconstructs both input layers, including their common +edges. Summing over all inputs, using $g(ap)\le r_a$, and dividing by +$Z_\mu^2r_z$ yields +\begin{equation} +\label{eq:relocation-step} +\begin{split} + g(S)\le{}&\frac{r_a}{r_z} + g(S\setminus\{a\}\cup\{z\})\\ + &+\frac{1}{B r_z}\left[ + \mathbf 1_{\{p\notin S\}}g(S\setminus\{a\}\cup\{p\}) + +\sum_{x\in S\setminus\{a,p\}} + g(S\setminus\{a,x\})g(px)\right]. +\end{split} +\end{equation} +An inapplicable first term inside the brackets is omitted entirely. +The brackets are at most $96$: for $|S|=4$ their first term is at most +$48$ and their at most three product terms are each at most $16$; +for $|S|=2$ the corresponding bound is $8$. +After division by $r_a$, therefore, +\begin{equation} +\label{eq:normalized-relocation} + \frac{g(S)}{r_a}\le + \frac{g(S\setminus\{a\}\cup\{z\})}{r_z} + +\frac{6144}{B}. +\end{equation} + +Starting at $a=i$, apply this recurrence along the chosen path, keeping +all holes in $U\setminus\{i\}$ fixed. Stop just before reaching the +first of these fixed holes; such a hole exists because the path ends +at $j$. The path is simple, so there are at most $n-2$ recurrence +steps, followed by \eqref{eq:adjacent-hole-fill}. The normalization by +the current row maximum makes the leading terms telescope. Since +$r_i\le4$, +\[ + g(U)\le\frac{4\bigl(6144(n-2)+32\bigr)}{B} + \le\frac{10^5n}{B}, +\] +as required. +\end{proof} + + +\begin{proof}[Proof of \cref{thm:logical-hole-bound}] +Temporarily add a distinguished parallel edge of activity $tB_{ij}/D_0$ +to every pair $ij$, where $0\le t\le1$. Collapsing parallel edges gives +activities +\[ + \mu_{ij}(t)=\lambda_{ij}+tB_{ij}/D_0. +\] +Write $Z(t)=Z_{\mu(t)}$ and $g_t=g_{\mu(t)}$; $B$ remains fixed. +All partition functions involved are polynomials in $t$, and $Z(t)>0$. +Differentiation of their finite sums gives +\begin{equation} +\label{eq:partition-derivative} + \frac{d}{dt}\log Z(t)=\frac1{D_0}\sum_{ij}B_{ij}g_t(ij), +\end{equation} +where sums over edges are unordered, and for distinct $x,y$, +\begin{equation} +\label{eq:hole-derivative} + \frac{d}{dt}g_t(xy) + =\frac1{D_0}\sum_{ij:\{i,j\}\cap\{x,y\}=\varnothing} + B_{ij}g_t(xyij) + -g_t(xy)\frac{d}{dt}\log Z(t). +\end{equation} + +On any initial time interval during which all row maxima belong to +$[1/8,4]$, Lemma~\ref{lem:hole-relocation} bounds every summand +$B_{ij}g_t(ij)$ and every summand $B_{ij}g_t(xyij)$ by $10^5n$. +Since +\[ + \frac{\binom n2\,10^5n}{D_0}<\eta, + \qquad \eta=10^{-3}, +\] +we obtain, throughout that interval, +\[ + 0\le\frac{d}{dt}\log Z(t)\le\eta, + \qquad + -\eta g_t(xy)\le\frac{d}{dt}g_t(xy)\le\eta. +\] +Integrating gives +\[ + e^{-\eta t}g_0(xy)\le g_t(xy)\le g_0(xy)+\eta t. +\] +For the lower row bound, fix a neighbor maximizing the row at time zero; +the moving row maximum is at least this one evolving entry. +Consequently, balance at time zero implies +\[ + \frac14e^{-\eta}\le r_i(\mu(t))\le1+\eta. +\] +Both bounds lie strictly inside $[1/8,4]$. By continuity, the row maxima +cannot first leave this interval before time $1$: at a proposed first +exit the displayed strict bounds still hold and persist on a +neighborhood. Thus all preceding estimates hold on $[0,1]$, and +\begin{equation} +\label{eq:logical-inflation} + \frac{Z(1)}{Z(0)}\le e^\eta<2. +\end{equation} + +Choose a pairing $Q$ of $U$ attaining $\Phi_B(U)$. At time $1$, keep the +original and added parallel edges distinguished. To each original +matching in $\mathcal M(-U)$, add the edges of $Q$ using their +\emph{added} copies, of activities $B_{ij}/D_0$. This is an injective +map into perfect matchings at time $1$, and it multiplies every weight +by $\Phi_B(U)/D_0^{|U|/2}$. Hence +\[ + Z_\lambda(-U)\frac{\Phi_B(U)}{D_0^{|U|/2}}\le Z(1). +\] +Divide by $Z(0)=Z_\lambda$ and apply +\eqref{eq:logical-inflation}. +\end{proof} +\section{A subdivision with controlled holes} +\label{sec:enlargement} + +The sampler will use additional clique edges. To control the mass these +edges introduce, we first replace each logical edge by a path. The +path profile has two roles: equal adjacent factors make the ratio of +its two matching patterns telescope, and the gradual change from each +endpoint to the middle makes incident effective strengths comparable. +We first construct the enlarged graph and identify its marked laws, +then bound the mass introduced by its additional edges. + +Throughout this section the logical graph is the complete graph on an +even number $n\ge2$ of vertices, with positive rational activities +$\lambda_{uv}\le4^K$, where $K\ge0$ is an integer. Write +$B$ for its bottleneck similarity, and put +\begin{equation}\label{eq:enlargement-parameters} + H_u=\max_{v\ne u}B_{uv},\qquad + p=2K+2,\qquad + N=n+4p\binom n2,\qquad D=100N^2D_0. +\end{equation} +Here $D_0=10^8(n+1)^4$ is the constant in +\cref{thm:logical-hole-bound}. Thus $1\le B_{uv}\le H_u\le4^K$. + +\subsection{The path profile} + +Orient each logical edge $e=uv$ by the fixed vertex order, and replace +it by a path +\[ + x_0=u,x_1,\ldots,x_{4p},x_{4p+1}=v. +\] +Internal vertices of different paths are distinct. Denote the activity +of $x_{j-1}x_j$ by $t_j=t_j^e$. For $1\le r\le p$, set +\begin{align} + t_{2r-1}=t_{2r} + &=\max\{B_{uv},H_u2^{-(r-1)}\},\notag\\ + t_{4p+3-2r}=t_{4p+2-2r} + &=\max\{B_{uv},H_v2^{-(r-1)}\},\label{eq:path-profile}\\ + t_{2p+1}&=\lambda_{uv}.\notag +\end{align} +We call these the \emph{real} edges and write $Z'$ and $g'$ for their +partition function and hole ratios. Let $B'$ be their bottleneck +similarity. The two innermost equal pairs have activity $B_{uv}$, +because $H_u2^{-(p-1)},H_v2^{-(p-1)}\le1/2$. + +\begin{lemma}\label{lem:subdivision} +The real graph has $N$ vertices. Its perfect matchings are in +bijection with logical perfect matchings, and +\begin{equation}\label{eq:real-partition} + Z'=C_0 Z_\lambda, + \qquad + C_0=\prod_e\prod_{\substack{1\le j\le4p+1\\j\text{ even}}}t_j^e. +\end{equation} +On a noncentral real edge, its effective strength $B'$ equals its +activity. On the central edge of the path for $uv$, it equals +$B_{uv}$. Incident effective strengths differ by a factor of at most +two. For an internal vertex $x_j$, its maximum incident effective +strength is +\[ + T_j= + \begin{cases} + t_j,&1\le j\le2p,\\ + t_{j+1},&2p+1\le j\le4p. + \end{cases} +\] +Its \emph{home terminal} is $u$ in the first case and $v$ in the +second. Every edge on its leg to its home has activity at least $T_j$. +\end{lemma} + +\begin{proof} +An intact path has exactly two ways to match its internal vertices: +the even-indexed edges, which use neither terminal, or the +odd-indexed edges, which use both. The ratio of the latter weight to +the former is $\lambda_{uv}$, since all the noncentral factors cancel +in equal adjacent pairs. A real perfect matching therefore chooses +the odd tiling precisely on a logical perfect matching. This proves +the bijection and \cref{eq:real-partition}. + +Every noncentral edge has an equal-activity twin sharing an internal +vertex of degree two. A path connecting its endpoints that avoids +that edge must use the twin. Its bottleneck therefore cannot exceed +the edge activity, and the direct edge attains that activity. + +The minimum activity on the full path replacing $e$ is $\lambda_e$. +Consequently, for every $t>1$, real edges of activity at least $t$ +connect two terminals exactly when logical edges of activity at least +$t$ connect them: a simple path between terminals traverses complete +subdivision paths. In particular $B'$ restricted to terminals is $B$. +Let $a=x_{2p}$ and $b=x_{2p+1}$ be the ends of the central edge. +The legs from $a,b$ to $u,v$ have minimum activity $B_{uv}$. +If $B_{uv}>\max\{1,\lambda_{uv}\}$, a logical path attaining +$B_{uv}$ avoids $uv$, and its subdivision together with these legs +connects $a$ to $b$ with bottleneck $B_{uv}$. If +$B_{uv}=\max\{1,\lambda_{uv}\}$, the central edge and the floor at +one already give the lower bound. For the upper bound, any +alternative path from $a$ to $b$ must first use an edge on a leg +of activity $B_{uv}$. Thus $B'_{ab}=B_{uv}$ in all cases. + +Along each half of a path the displayed profile is nonincreasing +toward the center and successive values differ by at most two. +The effective strength at the center agrees with both innermost +pairs. At a terminal $u$, every first edge has activity $H_u$. +These facts give all remaining assertions. +\end{proof} + +\subsection{The enlarged matching law} + +For each integer $0\le k\le\lfloor\log_2\max_uH_u\rfloor$, take +one label for every component of the enlarged graph whose retained +edges have effective strength at least $2^k$, including singleton +components. A label at level $k>0$ has as parent its containing +component at level $k-1$. At level zero there is one component; +these labels therefore form a rooted tree. Components recurring at +different levels are still different labels. + +Label each real edge $xy$ by the component containing it at level +$\lfloor\log_2B'_{xy}\rfloor$. A vertex belongs precisely to the +labels of its incident real edges. Equal-level incident labels are +identical, and the factor-two bound in \cref{lem:subdivision} implies +that there are at most two incident levels. If there are two, they +are consecutive and their labels are parent and child. Thus these +memberships satisfy \cref{def:tree-bags}. In particular, a bag is +the set of vertices with that membership; it need not be the entire +threshold component defining its label. + +Within every bag of label $l$ and height $h_l$, add a virtual edge +of activity $h_l/D$ for each vertex pair. Collapse any real edge +of color $l$ into the virtual edge with the same endpoints and +color, adding its activity. This gives one colored edge per common +label, of activity +\[ + W_{xy,l}=h_l/D+ + \begin{cases} + t_{xy},&xy\text{ is a real edge with label }l,\\ + 0,&\text{otherwise}. + \end{cases} +\] +Since a real edge assigned to $l$ has +$t_{xy}\le B'_{xy}<2h_l$, these weights satisfy +\cref{eq:bag-weight-range}. Also +$1/D\le W_{xy,l}\le3\cdot4^K$. + +For each logical edge $e$, split off activity $1/D$ from the +virtual activity on its central colored edge, and mark that portion +as the \emph{probe for $e$}. This is possible because $h_l\ge1$. +After sampling a colored matching, independently reveal the portion +of each used edge in proportion to its real, probe, and remaining +virtual activities; zero portions are omitted. + +\Cref{fig:subdivision-probe-example} shows the two real tilings and +the probe on one illustrative path. +\begin{figure}[ht] +\centering +\begin{tikzpicture}[x=.59cm,y=1cm, + reference/.style={draw=black!25,line width=.45pt}, + selected/.style={draw=black,line width=1.5pt}, + vertex/.style={circle,fill=black,inner sep=1.1pt}] + \foreach \row/\height in {even/3.6,odd/1.8,probe/0} { + \foreach \i in {0,...,17} { + \coordinate (\row\i) at (\i,\height); + } + \foreach \j [evaluate=\j as \i using int(\j-1)] in {1,...,17} + \draw[reference] (\row\i)--(\row\j); + } + \foreach \j [evaluate=\j as \i using int(\j-1)] in {2,4,...,16} + \draw[selected] (even\i)--(even\j); + \foreach \j [evaluate=\j as \i using int(\j-1)] in {1,3,...,17} + \draw[selected] (odd\i)--(odd\j); + \foreach \j [evaluate=\j as \i using int(\j-1)] in {1,3,5,7,11,13,15,17} + \draw[selected] (probe\i)--(probe\j); + \draw[draw=black,densely dotted,line width=1.8pt] + (probe8)--(probe9) node[midway,above=4pt] {$1/D$}; + \foreach \row in {even,odd,probe} { + \foreach \i in {0,...,17} + \node[vertex] at (\row\i) {}; + \node[below=3pt] at (\row0) {$u$}; + \node[below=3pt] at (\row8) {$x_8$}; + \node[below=3pt] at (\row9) {$x_9$}; + \node[below=3pt] at (\row17) {$v$}; + } + \foreach \i in {0,17} + \draw[fill=white,line width=.7pt] (even\i) circle[radius=1.7pt]; + \foreach \j [evaluate=\j as \i using int(\j-1)] in {1,...,17} { + \ifnum\j<3 + \node[font=\scriptsize,above=3pt] at ($(even\i)!.5!(even\j)$) {$4$}; + \else\ifnum\j=9 + \node[font=\scriptsize,above=3pt] at ($(even\i)!.5!(even\j)$) {$\tfrac12$}; + \else + \node[font=\scriptsize,above=3pt] at ($(even\i)!.5!(even\j)$) {$2$}; + \fi\fi + } + \node[anchor=east] at (-.9,3.6) {even tiling}; + \node[anchor=east] at (-.9,1.8) {odd tiling}; + \node[anchor=east] at (-.9,0) {sole probe}; +\end{tikzpicture} +\caption{One subdivision path with $K=1$, $p=4$ and $4p+1=17$ edges. +The top labels are the real activities: $H_u=4$, +$H_v=B_{uv}=2$, and $\lambda_{uv}=1/2$; the central edge has +effective strength $B'_{x_8x_9}=2$. Solid edges show the selected +real tiling. The even tiling uses neither terminal, and the odd tiling +uses both; the odd-to-even weight ratio is $\lambda_{uv}$. +The last row uses the probe portion of the central colored bag edge +and real portions elsewhere. Here the central label has height $h_l=2$, +so its collapsed activity $1/2+2/D$ consists of real activity $1/2$, +probe activity $1/D$, and remaining virtual activity $1/D$. +The probe forces the real edges on the two outer legs to use both +terminals. Their combined weight equals the even-tiling weight, +so the remaining paths represent a logical matching with $u,v$ deleted.} +\label{fig:subdivision-probe-example} +\end{figure} + +Let $Z_{\mathrm{bag}}$ be the colored partition function of the enlarged +graph, and put $I=Z_{\mathrm{bag}}/Z'$. This ratio measures the mass +introduced by the auxiliary edges. + +\begin{proposition}[Marked matching laws]\label{prop:marked-laws} +For arbitrary positive logical activities, sample from the bag matching +law and reveal the edge portions as above. The all-real event has +probability $1/I$; +conditional on this event, the decoded logical matching has law +$\pi_\lambda$. For each logical edge $uv$, +\begin{equation}\label{eq:probe} + \Prb(\text{probe for }uv\text{ is used and all other edges are real}) + =\frac{g_\lambda(uv)}{DI}. +\end{equation} +Conditional on this event, the residual logical matching has the +$\lambda$-weighted perfect-matching law on the vertices other than +$u,v$. +\end{proposition} + +\begin{proof} +Revealing portions recovers the weighted law before the real and virtual +activities were collapsed. The all-real matchings have total weight +$Z'=C_0Z_\lambda$, and their normalized law is transported to +$\pi_\lambda$ by \cref{lem:subdivision}. + +Now require the probe on the path for $uv$ and real edges everywhere +else. The probe matches $x_{2p}$ to $x_{2p+1}$. The remaining vertices on +its path have unique real tilings: the left one uses $u$, and the right +one uses $v$. Equal adjacent activities in \eqref{eq:path-profile} +show that their combined weight is exactly the even-edge baseline +weight of this path. Other paths incident to $u$ or $v$ must use their +even tilings. The remaining paths retain their even and odd alternatives, +with ratio $\lambda_e$. Consequently these marked +matchings are in bijection with logical matchings missing $u,v$, +and every weight is multiplied by $C_0/D$. Their total mass is +$C_0 Z_\lambda(-uv)/D$. Dividing by $Z_{\mathrm{bag}}=IC_0Z_\lambda$ +proves \eqref{eq:probe}; the same constant weight multiplier proves +the conditional-law assertion. +\end{proof} + +The identities show what the enlarged graph provides to the counting +algorithm. To use its all-real event with polynomially many samples, +we also need a uniform lower bound on that event's probability. +The next lower-bound estimate requires balance; the construction and +the exact laws above do not. + +\begin{proposition}[Bounded inflation]\label{prop:bag-inflation} +If the logical activities are balanced, then +\begin{equation}\label{eq:inflation} + 1\le I\le2. +\end{equation} +\end{proposition} + +We prove this bound in the remainder of the section. A collection of +virtual edges leaves a set $U$ of endpoints to be removed from a real +matching. Its added weight must therefore be compared with $g'(U)$. +The next two subsections transfer the logical hole estimate to these +enlarged hole sets. + +\subsection{Exact accounting for deleted vertices} + +We next describe exactly what deleting internal vertices does to the +logical graph. A path is \emph{broken} if at least one of its internal +vertices is deleted. Let $E_{\mathrm{br}}(U)$ be the set of logical +edges whose paths are broken by a hole set $U$. + +Consider the ordered internal holes on a broken path. If a real +completion exists, successive hole indices alternate in parity, +because the intervening internal run must have even order. A first +hole of even index forces the prefix to match the terminal $u$; +we say that this hole \emph{consumes} $u$ and map it to $u$. +A last hole of odd index similarly consumes and maps to $v$. +Remove all consumed holes (zero, one, or two) from the list. The remaining holes +split, in their order, into pairs $(j,k)$ with $j$ odd and $k$ even; +call these \emph{neutral pairs}. There is no ambiguity when the +list has one hole, since it cannot both have even and odd index. + +Let $R$ be the set of explicitly deleted terminals together with all +consumed terminals. Feasibility requires these terminals to be +distinct. To each consumed hole $x_j$ assign the factor +\[ + f_j= + \begin{cases} + 1,&\text{if it maps to its home terminal},\\ + \lambda_e/T_j,&\text{if it maps to the other terminal}. + \end{cases} +\] +For a neutral pair $(j,k)$ assign +\begin{equation}\label{eq:neutral-factors} + f_{jk}= + \begin{cases} + T_j^{-1},&j,k\le2p,\\ + T_k^{-1},&j,k\ge2p+1,\\ + \lambda_e/(T_jT_k),&j\le2p1$ and any set $A$ of enlarged vertices, +let +\[ + S'_t(A)=\sum_{C}\left\lfloor\frac{|A\cap C|}{2}\right\rfloor, +\] +where $C$ ranges over the threshold classes of $B'$. Define $S_t$ on +logical vertices in the same way using $B$. These definitions make +sense even when $A$ has odd cardinality. +The threshold partitions remain those of the undeleted graphs +throughout this proof; only the sets of holes are changed. + +By \cref{lem:subdivision}, an internal vertex $x_j$ is isolated in +the threshold partition precisely when $T_j0$, set $p_1=i-1$ and $p_2=i$. + The prefix $a_0,\ldots,a_{i-1}$ avoids $P$, and its first and last + labels are adjacent to $P$. They therefore equal the same neighbor + $Q$. The first side's endpoints both contain $Q$, and the third + side's endpoints both contain $P$. The middle side is short. + + \item Suppose the first occurrence is at $0$, but the last occurrence + is at $j0). +\] +For example this follows by observing that +$\log\psi(e^u)$ is the clamp of $u$ to +$[\log a,\log b]$, a nondecreasing $1$-Lipschitz function. +Clamping therefore preserves the factor bound. +\end{proof} +\section{A two-coordinate energy inequality} +\label{sec:energy} + +This section proves the sampling argument's main inequality. The four +side chords of each cell give a two-edge switch whose changed edges +have comparable activities. Long arc conversions are used in an exact +signed identity and need not be individual chain moves. We control the +resulting context errors by swapping an alternating cycle with an +independent matching. Encodings by two matchings change only a bounded +number of edges in their multiset union, and their preimage counts give +polynomial load bounds. +The variance-to-energy comparison is related to the flow method +of~\cite{Sinclair1992}, but we do not invoke a path-congestion theorem: +the signed identity and its context-error estimates are established +for the present pair kernel. + +Fix a tree-bag graph on $N\ge2$ vertices, with at least one perfect +matching, and let $w$ be either its reference activities or any common +clamp of them. Write $\pi(M)=\wt_w(M)/Z_w$ and $\calM$ for its colored +perfect matchings. Throughout this section put +\begin{equation} +\label{eq:energy-constants} + A_0=1000D,\qquad \calT=(10N)^{30},\qquad + L=(10^4ND)^{100}. +\end{equation} + +\subsection{The pair kernel} + +On $(A,B)\in\calM^2$, choose each of the following proposal types with +probability $1/3$. +\begin{enumerate}[label=\textup{(\arabic*)}] + \item \emph{Two-edge switch.} Choose an unordered pair of distinct + edges of $A$ uniformly, and choose either alternative pairing of + their four endpoints with probability $1/2$. For each proposed + edge, choose index $1$ or $2$ with probability $1/2$ from the ordered + list of common labels of its endpoints. If an index is absent, + stay put. If $A$ has fewer than two edges, stay put. + + \item \emph{Color change.} Choose an edge of $A$ uniformly and + choose index $1$ or $2$ from the common-label list with probability + $1/2$. An absent index gives a holding move. + + \item \emph{Cycle swap.} Choose uniformly one discrepancy cycle of + $A,B$ and interchange its two layers. If there is no discrepancy + cycle, stay put. +\end{enumerate} +Accept each proposal by the Metropolis rule for $\pi\otimes\pi$. +Denote the resulting kernel by $P$ and its energy by $\calE$. +The proposal is symmetric. For the first two types, the reverse +choice has the same edge, pairing, and color-index probabilities; +the possible holding choices do not change this fact. For the third +type, the discrepancy cycles and their number are unchanged by the +swap. In particular, a cycle swap always has acceptance probability +one, since its product weight is unchanged. + +\begin{theorem}[Pair energy inequality] +\label{thm:pair-energy} +For every two real functions $f_1,f_2$ on $\calM$, +\begin{equation} +\label{eq:pair-energy} + \Var_\pi f_1\le L\, + \calE\bigl((A,B)\mapsto f_1(A)+f_2(B)\bigr). +\end{equation} +The same constant works for every common-interval clamp of the +reference activities. +\end{theorem} + +In the proof write $F(A,B)=f_1(A)+f_2(B)$ and $E=\calE(F)$. +A two-edge switch is called \emph{safe} if its four removed or +inserted colored edges have activities within a factor $A_0$ of one +another. Let $\mathcal S(A)$ be its possible safe destinations, and +let $\mathcal K(A)$ be its possible destinations by changing one +edge color. Consecutive labels have comparable heights, so every +color change has activity ratio in $[A_0^{-1},A_0]$. + +\begin{lemma}[Elementary energy bounds] +\label{lem:elementary-pair-energy} +With the notation above, +\begin{align} + \sum_A\pi(A)\sum_{A'\in\mathcal S(A)} + (f_1(A)-f_1(A'))^2 + &\le60N^2A_0^2 E, + \label{eq:safe-switch-energy}\\ + \sum_A\pi(A)\sum_{A'\in\mathcal K(A)} + (f_1(A)-f_1(A'))^2 + &\le12NA_0 E, + \label{eq:color-energy}\\ + \sum_{A,B}\pi(A)\pi(B)\sum_{C\in\mathcal C(A,B)} + \bigl(F(A,B)-F((A,B)^C)\bigr)^2 + &\le6NE. + \label{eq:cycle-energy} +\end{align} +Here $\mathcal C(A,B)$ denotes the discrepancy cycles, and $(A,B)^C$ +is the pair after swapping $C$. +\end{lemma} + +\begin{proof} +Every specified legal two-edge switch has proposal probability +at least $1/(30N^2)$; its Metropolis acceptance is at least +$A_0^{-2}$ when safe. Every specified color change has proposal +probability at least $1/(6N)$ and acceptance at least $A_0^{-1}$. +These moves change only the $f_1$ summand of $F$, so summing the +second-coordinate law and using the factor $1/2$ in the energy proves +the first two bounds. There are at most $N$ discrepancy cycles. +Each specified swap therefore has proposal probability at least +$1/(3N)$ and is accepted; this proves the third bound. +\end{proof} + +\subsection{An exact identity on a cycle} + +Fix a pair of demand matchings $(I_1,I_2)$ and a simple discrepancy +cycle $C$ of length at least four. All orientations and choices below +are deterministic, using the orders fixed in \cref{sec:preliminaries}. +Let $R$ be the edges of $I_1$ outside $C$, and let $O_0=I_1$ and +$O_1$ be the matching obtained by toggling $C$ in $I_1$. Thus both +orientations use $R$ outside $C$. Put +\[ + D_C=f_1(O_0)-f_1(O_1). +\] +Apply \cref{lem:quadrangulation} and fix the colors of its diagonals +consistently. A cell's four sides always mean the four odd arcs of +the \emph{original whole cycle}, not paths formed from earlier +diagonals. + +Use the through, interior, and closed patterns $T_J,N_J,C_J$ from +\cref{sec:cells}, with the chosen chord colors. A side $J$ is +\emph{through} in $O_\varepsilon$ if $T_J\subseteq O_\varepsilon$. +Exactly one orientation $O_\varepsilon$ contains $T_J$; define +\begin{equation} +\label{eq:canonical-gain} + H_J=(O_\varepsilon\setminus T_J)\cup C_J, + \qquad g_J=f_1(O_\varepsilon)-f_1(H_J). +\end{equation} +For a short side, the chord is its actual cycle edge, so $g_J=0$. + +The reason for using the original cycle on every cell side is already +visible on a six-cycle $C=(v_0,\ldots,v_5,v_0)$. Take +\[ + O_0=R\cup\{v_0v_1,v_2v_3,v_4v_5\},\qquad + O_1=R\cup\{v_1v_2,v_3v_4,v_5v_0\}, +\] +and suppose the diagonal $e=v_0v_3$ is admissible. In the two cells +it represents the complementary arcs +$J=(v_3,v_4,v_5,v_0)$ and $\bar J=(v_0,v_1,v_2,v_3)$, respectively. +Both conversions yield the same matching +\[ + H_J=H_{\bar J}=H=R\cup\{v_1v_2,e,v_4v_5\}. +\] +Thus $g_{\bar J}-g_J=f_1(O_0)-f_1(O_1)=D_C$; the shared diagonal +contributes one whole-cycle difference, not zero. +\Cref{fig:complementary-arcs} displays this common converted matching. +This example isolates the complementary-gain identity. Its cells have +only one long side each, so the context errors introduced below vanish; +cells with two opposite long sides require a further estimate. + +\begin{figure}[ht] +\centering +\begin{tikzpicture}[x=1cm,y=1cm, + vertex/.style={circle,fill=black,inner sep=1.3pt}, + selected/.style={draw=black,line width=1.3pt}] + \foreach \prefix/\shift in {a/0,b/6.2} { + \coordinate (\prefix0) at (\shift,0); + \coordinate (\prefix1) at (\shift+.9,1.15); + \coordinate (\prefix2) at (\shift+2.6,1.15); + \coordinate (\prefix3) at (\shift+3.5,0); + \coordinate (\prefix4) at (\shift+2.6,-1.15); + \coordinate (\prefix5) at (\shift+.9,-1.15); + } + \fill[black!4] (a0)--(a1)--(a2)--(a3)--cycle; + \fill[black!8] (a0)--(a3)--(a4)--(a5)--cycle; + \draw (a0)--(a1)--(a2)--(a3)--(a4)--(a5)--cycle; + \draw[densely dashed,line width=.8pt] (a0)--(a3) + node[midway,fill=white,inner sep=2pt] {$e$}; + \node at (1.75,1.75) {$\bar J$}; + \node at (1.75,-1.75) {$J$}; + \draw[black!25,densely dashed] + (b0)--(b1)--(b2)--(b3)--(b4)--(b5)--cycle; + \draw[selected] (b1)--(b2); + \draw[selected] (b0)--(b3) node[midway,above=2pt] {$e$}; + \draw[selected] (b4)--(b5); + \foreach \prefix in {a,b} { + \node[vertex,label=left:{$v_0$}] at (\prefix0) {}; + \node[vertex,label=above:{$v_1$}] at (\prefix1) {}; + \node[vertex,label=above:{$v_2$}] at (\prefix2) {}; + \node[vertex,label=right:{$v_3$}] at (\prefix3) {}; + \node[vertex,label=below:{$v_4$}] at (\prefix4) {}; + \node[vertex,label=below:{$v_5$}] at (\prefix5) {}; + } + \node at (1.75,-2.35) {two cells, complementary arcs}; + \node at (7.95,-2.35) {common converted matching $H$}; +\end{tikzpicture} +\caption{An admissible diagonal $e=v_0v_3$ cuts a six-cycle into two +cells. In the upper cell its side follows the lower boundary arc $J$; +in the lower cell its side follows the upper boundary arc $\bar J$. +The two occurrences use the same colored edge $e$. Converting the +through pattern on either arc gives the restriction of $H$ shown on +the right (the common outside matching $R$ is omitted), +so their signed gains sum to $D_C$. The drawing concerns the signed +identity, not a sequence of chain transitions.} +\label{fig:complementary-arcs} +\end{figure} + + +In a cell, let $P$ be its opposite pair of sides through in $O_0$, +and $Q$ its opposite pair through in $O_1$. Let $A_P$ use $N_J$ on +every side and the chords of the two sides of $P$, together with $R$. +Define $A_Q$ analogously and put +\[ + \Delta=f_1(A_P)-f_1(A_Q). +\] +These are legal perfect matchings: the interior vertices are matched +by the $N_J$'s, and the two chosen chords match the four corners. +Their difference is a safe two-edge switch by +\cref{lem:cell-comparability}. + +Order each opposite pair as $(Y,X)$. For the orientation in which +both are through, first convert $Y$ and then $X$. +Write $A^{(0)}=O_\varepsilon$ and $A^{(1)}=H_Y$ for the two +pre-conversion contexts of $X$. For a matching $R'$ on the vertices +outside $X$, define +\begin{equation} +\label{eq:arc-derivative} + \partial_X f(R')=f(T_X\cup R')-f(C_X\cup R'). +\end{equation} +The context error of the ordered opposite pair is +\begin{equation} +\label{eq:context-error} + E_{Y,X} + =\partial_X f_1(A^{(1)}\setminus T_X) + -\partial_X f_1(A^{(0)}\setminus T_X). +\end{equation} +It is zero if either side is short. Denote these errors by $E_P,E_Q$ +for the two ordered pairs of the cell. + +\begin{lemma}[Cell identity and cancellation] +\label{lem:cell-identity} +The quantities just defined satisfy +\begin{equation} +\label{eq:single-cell-identity} + D_C=\Delta+\sum_{J\in P}g_J-\sum_{J\in Q}g_J+E_P-E_Q +\end{equation} +for each cell. Consequently, +\begin{equation} +\label{eq:global-cell-identity} + D_C=\sum_{\text{cells of }C}(\Delta+E_P-E_Q). +\end{equation} +\end{lemma} + +\begin{proof} +The first conversion in an opposite pair has its canonical gain. +The second has its canonical gain plus the error in +\eqref{eq:context-error}. Thus +\[ + f_1(O_0)-f_1(A_P)=\sum_{J\in P}g_J+E_P, + \qquad + f_1(O_1)-f_1(A_Q)=\sum_{J\in Q}g_J+E_Q. +\] +Subtracting proves \eqref{eq:single-cell-identity}. + +Consider an interior diagonal with complementary arcs $J,\bar J$. +They are through in opposite whole-cycle orientations, and their +converted matchings coincide: +\[ + H_J=H_{\bar J}=R\cup N_J\cup N_{\bar J}\cup\{e_J\}. +\] +Therefore the two signed canonical gains contributed by this +diagonal sum to $f_1(O_0)-f_1(O_1)=D_C$. The signs here are precisely +those in \eqref{eq:single-cell-identity}: the arc through in $O_0$ +has positive sign and the other negative sign. Boundary sides have +zero gain. Summing \eqref{eq:single-cell-identity} over the cells +therefore gives one copy of $D_C$ per cell on the left and one per +interior diagonal on the right, in addition to the displayed local +terms. The number of cells is one more than the number of diagonals, +which proves \eqref{eq:global-cell-identity}. +\end{proof} + +\subsection{Encoding the demands} + +A \emph{switch demand} specifies $(I_1,I_2)$, a simple discrepancy +cycle $C$, and one cell of its fixed quadrangulation. Its value is +$\Delta$ above. An \emph{error demand} specifies these data and one +opposite pair with two long sides, in its fixed order $(Y,X)$. +Its value is $E_{Y,X}$. The weight of either demand is +$\rho(d)=\pi(I_1)\pi(I_2)$. Repeated demands from different cells or +different cycles are included separately in all sums. + +\begin{lemma}[Encodings with a bounded number of preimages] +\label{lem:encoding} +Every switch demand has an encoding $(A_P,B)$ by two perfect +matchings, and every error demand has encodings +$(A^{(j)},B^{(j)})$ for $j=0,1$, with the following properties. +\begin{enumerate}[label=\textup{(\roman*)}] + \item For each encoding $(A,B)$, + $\rho(d)\le A_0^4\pi(A)\pi(B)$. + \item For each encoding type and each fixed output pair, there are + at most $\calT$ demand preimages. This bound includes the choices + of cycle, cell, opposite pair, and context. + \item For an error demand, both guide matchings satisfy + $C_X\subseteq B^{(j)}$. +\end{enumerate} +\end{lemma} + +\begin{proof} +We first describe a repair operation. Start with the union of the +four through patterns $T_J$ in a cell. Each corner is covered twice, +once by each incident side. Select a good opposite pair of sides. +For each selected short side delete its sole edge. For each selected +long side delete its first and last edges, and insert its chosen leaf +repair. Each corner loses exactly one incident edge. On a long +selected side the only newly uncovered internal vertices are its +two leaves, which the repair matches. Thus the resulting edges form +a perfect matching of all cycle vertices. This verifies legality +also for a side of length three: its two leaves are distinct and +its repair is an ordinary colored edge between them. + +\paragraph{Switch demands.} +Use $A_P$ as the first output. In the second output retain the edges +of $I_2$ outside $C$, start with all four through patterns, and apply +the preceding repair operation to a good opposite pair, which exists +by \cref{lem:quadrangulation}(i). Call the result $B$. +Before these modifications, the original multiset union contains +exactly one $T_J$ and one $N_J$ on each side. The output union adds +the two $P$-chords and the leaf repairs and drops the selected boundary +edges. If $r\in\{0,1,2\}$ selected sides are long, the numbers added +and dropped are both $2+r\le4$. + +\paragraph{Error demands, context zero.} +The first output is $A^{(0)}=O_\varepsilon$, the canonical orientation +in which $X,Y$ are through. Start the second output with the +complementary cycle orientation and the edges of $I_2$ outside $C$. +It has the $N$ patterns on $X,Y$. Insert their two chords. The +other opposite pair is good by \cref{lem:quadrangulation}(ii), +because $X,Y$ are both long. On that other pair delete boundary +edges and insert leaf repairs as above. The result is a perfect +matching $B^{(0)}$, containing both $C_X$ and $C_Y$. Again, the +multiset union differs from the original by equally many added +and dropped edges, at most four of each. + +\paragraph{Error demands, context one.} +Interchange the patterns $T_Y$ and $C_Y$ between +$A^{(0)},B^{(0)}$. Each pattern perfectly matches the entire vertex +set of $Y$, so the interchange is legal and gives +$A^{(1)}=H_Y$ and a guide $B^{(1)}$. The vertex sets of the opposite +arcs $X,Y$ are disjoint; hence $B^{(1)}$ still contains $C_X$. +This interchange does not change the multiset union or product weight. + +In every case all added and dropped edges are among the chords, +boundary edges, and good-side leaf repairs of this one cell. +They have pairwise activity ratio at most $A_0$ by +\cref{lem:cell-comparability}. Since the two lists have equal +length at most four, the input product weight is at most $A_0^4$ +times the output product weight. Division by $Z_w^2$ proves (i). + +For completeness we give an inverse, including the information it +needs. Attach a tag consisting of the four cell corners in cyclic +order, lists of the added and dropped colored edges padded to length +four each, one orientation bit, and fixed flags for the encoding type +(switch, error context zero, or error context one), opposite pair, and +order. An edge in these lists is an occurrence in +the multiset union; coincident colored edges retain their multiplicities. +Given the output pair and tag, remove the added occurrences and +reinsert the dropped occurrences in its multiset union. This recovers +the original colored union $I_1\uplus I_2$. Its component containing +the first tagged corner is the active simple cycle $C$. The +orientation bit specifies which of the two alternating classes at +that corner belongs to $I_1$, so alternation determines both original +layers on all of $C$. Outside $C$, the output layers were unchanged; +they recover $I_1,I_2$ there directly. The fixed quadrangulation can +now be reconstructed. Its tagged corners identify the cell, and +the flags identify the term and, if appropriate, its ordered pair. +Thus this is an inverse on every tag produced by the construction. + +There are at most $2N^2$ possible colored edges. Allowing a padding +symbol, the tags have at most +\[ + 128N^4(1+2N^2)^8 + \le128\cdot3^8N^{20}< (10N)^{30}=\calT +\] +possibilities for $N\ge2$. Here the factor $128$ more than covers +the orientation bit and the fixed flags; the lists themselves may +be stored in the fixed colored-edge order. This proves (ii), and +the constructions already proved (iii). +\end{proof} + +The encodings provide two kinds of control. Their bounded preimage +count converts a sum over demands to a sum over pairs of matchings. +For context errors, the guide also contains a prescribed closed arc; +this additional condition must survive that summation. We use the +bounded preimage count for switches below, then retain the closed-arc +condition when treating context errors in the next subsection. + +We apply this lemma first to switches. For a fixed encoded pair +$(A,B)$ there are at most $\calT$ demands, and each has its associated +destination $A_Q$ in $\mathcal S(A)$. Therefore +\begin{align} + \sum_{d\text{ switch}}\rho(d)\Delta_d^2 + &\le A_0^4\calT\sum_{A,B}\pi(A)\pi(B) + \sum_{A'\in\mathcal S(A)}(f_1(A)-f_1(A'))^2 \notag\\ + &\le60N^2A_0^6\calT E. + \label{eq:switch-demand-load} +\end{align} + +\subsection{Controlling context errors by cycle swaps} + +Here an identity $X$ means a directed, colored, simple odd path of +length at least three together with a specified colored edge joining +its endpoints. It determines $T_X,C_X$ and \eqref{eq:arc-derivative}. +We may sum over all such identities: this is a finite proof device, +and the algorithm does not enumerate them. Put +\[ + p_X=\pi\{B:C_X\subseteq B\}. +\] +We omit identities with $p_X=0$. Every identity arising from an error +demand has $p_X>0$, by the guide constructed in \cref{lem:encoding}. +For any first matching $A\supseteq T_X$ and either $j=0,1$, +that lemma gives the following \emph{conditional demand-mass bound}: +\begin{equation} +\label{eq:conditional-demand-mass} + \sum_{\substack{d\text{ error}:X(d)=X\\ A^{(j)}(d)=A}} + \rho(d) + \le A_0^4\calT\,\pi(A)p_X. +\end{equation} +Indeed, for each guide $B\supseteq C_X$ there are at most $\calT$ +preimages of $(A,B)$; now sum its product weight over these guides. +The factor $p_X$ is essential and will cancel the conditioning below. + +The next comparison averages over precisely those guides counted by +$p_X$. That conditional law can be concentrated on a very rare event. +We therefore retain $p_X$ in the demand bound instead of estimating it +from below. + +For a fresh guide $B\sim\pi$, define +\[ + \mu_X=\E\bigl[\partial_X f_2(B\setminus C_X) + \mid C_X\subseteq B\bigr]. +\] +For an error demand, \eqref{eq:context-error} and +$(a-b)^2\le2(a-c)^2+2(b-c)^2$ imply +\[ + E_d^2\le 2\sum_{j=0}^1 + \bigl(\partial_X f_1(A^{(j)}\setminus T_X)-\mu_X\bigr)^2. +\] +Applying \eqref{eq:conditional-demand-mass}, and then Jensen's +inequality to the conditional expectation defining $\mu_X$, gives +\begin{align} + \sum_{d\text{ error}}\rho(d)E_d^2 + &\le4A_0^4\calT + \sum_X\sum_{A\supseteq T_X}\pi(A)p_X + \bigl(\partial_X f_1(A\setminus T_X)-\mu_X\bigr)^2 + \notag\\ + &\le4A_0^4\calT\,\Sigma_{\rm swap}, + \label{eq:error-demand-load} +\end{align} +where +\begin{equation} +\label{eq:swap-sum} + \Sigma_{\rm swap}= + \sum_X\sum_{\substack{A\supseteq T_X\\ B\supseteq C_X}} + \pi(A)\pi(B) + \bigl(\partial_X f_1(A\setminus T_X) + -\partial_X f_2(B\setminus C_X)\bigr)^2. +\end{equation} +In detail, for a fixed $X,A$ Jensen bounds the squared difference +from $\mu_X$ by +\[ + \frac1{p_X}\sum_{B\supseteq C_X}\pi(B) + \bigl(\partial_X f_1(A\setminus T_X) + -\partial_X f_2(B\setminus C_X)\bigr)^2. +\] +Multiplication by the $p_X$ in \eqref{eq:conditional-demand-mass} +removes this denominator exactly. No lower bound on $p_X$ is used. + +\begin{lemma}[Swap sum] +\label{lem:swap-sum} +The sum in \eqref{eq:swap-sum} satisfies $\Sigma_{\rm swap}\le12N^2E$. +\end{lemma} + +\begin{proof} +For a pair in \eqref{eq:swap-sum}, the matchings $T_X$ and $C_X$ +cover exactly the same vertex set, and their union is one alternating +cycle: the path $X$ together with its closing chord. Their edges +are disjoint since $X$ is long and simple. Thus this is an entire +discrepancy component of $A,B$, not a portion of a larger one. +Swapping it changes $F$ by exactly +\[ + \partial_X f_1(A\setminus T_X) + -\partial_X f_2(B\setminus C_X). +\] +For a fixed fresh pair $(A,B)$ and one of its discrepancy cycles, +an identity $X$ is determined by marking the closing chord in the +second matching and choosing a direction around that cycle. The +remaining colored path is then read from the pair. There are at +most $2N$ such choices. Consequently +\[ + \Sigma_{\rm swap}\le2N\sum_{A,B}\pi(A)\pi(B) + \sum_{C\in\mathcal C(A,B)} + \bigl(F(A,B)-F((A,B)^C)\bigr)^2 + \le12N^2E +\] +by \eqref{eq:cycle-energy}. +\end{proof} + +\subsection{Completion of the energy proof} + +\begin{proof}[Proof of \cref{thm:pair-energy}] +Take independent $I_1,I_2$ with law $\pi$. Toggle their discrepancy +cycles in the order of their least vertices, converting $I_1$ to +$I_2$. Cauchy--Schwarz over the at most $N$ cycles gives +\[ + (f_1(I_1)-f_1(I_2))^2 + \le N\sum_C + (\text{the $f_1$ difference at the step for $C$})^2. +\] +For each selected $C$, toggle all earlier cycles in \emph{both} +demand matchings. This preserves their product weight, their union, +and the selected cycle. It is its own inverse, since the union fixes +the same cycle order. The term at that step becomes $D_C^2$ for the +new demand pair, with the definition used above. Since +$\Var_\pi f_1=\tfrac12\E(f_1(I_1)-f_1(I_2))^2$, we obtain the +convenient slightly weaker bound +\begin{equation} +\label{eq:cycle-demand-variance} + \Var_\pi f_1\le + N\sum_{I_1,I_2}\pi(I_1)\pi(I_2) + \sum_{C\in\mathcal C(I_1,I_2)}D_C^2. +\end{equation} + +A length-two discrepancy cycle is a color change in $I_1$. +For a fixed $I_1$ and specified change, summing the mass of $I_2$ +that supplies the other color costs at most one. Its total +contribution to the sum in \eqref{eq:cycle-demand-variance} is +therefore at most $12NA_0E$, by \eqref{eq:color-energy}. + +For a simple cycle, there are fewer than $N$ cells, so +\eqref{eq:global-cell-identity} and Cauchy--Schwarz give +\[ + D_C^2\le3N\sum_{\text{cells}} + (\Delta^2+E_P^2+E_Q^2). +\] +Sum over all such cycle demands. The errors with a short side +vanish; all others are precisely the error demands already bounded. +Equations \eqref{eq:switch-demand-load}, +\eqref{eq:error-demand-load}, and \cref{lem:swap-sum} bound the +simple-cycle contribution by +\[ + 3N\bigl(60N^2A_0^6\calT+48N^2A_0^4\calT\bigr)E. +\] +Combining the two cycle types in \eqref{eq:cycle-demand-variance} +and using $A_0,\calT\ge1$ yields +\[ + \Var_\pi f_1 + \le\bigl(12N^2A_0+324N^4A_0^6\calT\bigr)E + \le1000N^4A_0^6\calT E. +\] +Finally +\[ + 1000N^4A_0^6\calT + =10^{51}N^{34}D^6 + \le(10^4ND)^{100}=L. +\] +All comparisons used only \cref{lem:cell-comparability} and the +adjacent-label comparison for color changes. Both hold under any +common clamp, proving the final assertion as well. +\end{proof} +\section{A sampler from replicated adjacent tiers} +\label{sec:ladder} + +The two-coordinate inequality controls an additive function of a pair; +it is not a Poincar\'e inequality for all functions of that pair. +We now turn it into a Poincar\'e inequality on a larger product space. +The construction uses adjacent weight tiers, with many independent +copies at each tier. Orthogonality of product projections controls the +terms involving both members of a pair. The slot order ensures that +no orthogonal interaction component occurs in two different pair +residuals. Averaging over many guides then makes their total +contribution small enough to absorb. Using several adjacent +distributions in one product chain has antecedents in replica Monte +Carlo~\cite{SwendsenWang1986,WangSwendsen2005}. Here the coordinates +are colored perfect matchings, the pair moves exchange alternating +cycles, and the effect of replication is quantified by the proof below. + +Throughout this section, the tree-bag graph has $N\ge2$ vertices, +$b_{\rm tree}$ labels, maximum level at most $2K$, and the integer +parameter $D$ of \cref{def:tree-bags}, where $K$ is a nonnegative integer. +Its reference activities are +positive rationals. Let $\calM$ denote its common, nonempty set of +colored perfect matchings. By \cref{eq:bag-weight-range}, +\begin{equation}\label{eq:ladder-global-range} + D^{-1}\le W_e\le 3\cdot4^K. +\end{equation} + +\subsection{An exact refresh at unit activities} + +\begin{lemma}\label{lem:base-refresh} +The unit-activity partition function is computable by a dynamic program +on the label tree. With exact rational categorical choices, its tables +also produce an exact sample. The tables +can be computed with $O((b_{\rm tree}+1)(N+1)^3)$ arithmetic +operations on counts of $O(N\log(N+1))$ bits. Label and loop indices +use $O(\log(b_{\rm tree}+1)+\log(N+1))$ additional bits. Once the tables are +available, a sample uses polynomially many integer operations and at +most $4(b_{\rm tree}+N+1)$ rational categorical choices, each with at +most $N+1$ outcomes. A positive table also yields a matching by +entirely deterministic backtracking. +\end{lemma} + +\begin{proof} +A colored matching assigns each vertex to the color of its matched +edge. Conversely, assign each vertex to one of its one or two bags, +and pair the vertices assigned to each bag. These two operations are +inverse. Thus, if $a_l$ vertices are assigned to bag $l$, the number of +matchings for that assignment is $\prod_l J(a_l)$, where +\[ + J(0)=1,\qquad J(a)=(a-1)!!\quad\text{for even }a>0, + \qquad J(a)=0\quad\text{for odd }a. +\] +The values of $J$ count pairings of a complete graph. + +For a nonroot bag $C$, write $S_C$ for its interface with its parent, +and put $s_C=|S_C|$; for the root use $S_C=\varnothing$. +Let $u_C$ be the number of vertices belonging to $C$ alone. +All interfaces incident to a bag are disjoint. +For a fixed subset of $k$ vertices of $S_C$ assigned to $C$, let +$F_C(k)$ count the assignments and pairings within the subtree of $C$; +the other vertices of $S_C$ are assigned to its parent. +The answer depends only on $k$: vertices of $S_C$ belong to no bag +other than $C$ and its parent, and they are interchangeable in the +complete clique of color $C$. + +If $C_1,\ldots,C_d$ are the children of $C$, set $s_i=s_{C_i}$. +Choosing $\ell_i$ vertices of the $i$th interface to be assigned +downward gives the recurrence +\begin{equation}\label{eq:base-dp} + F_C(k)=\sum_{\ell_1=0}^{s_1}\cdots\sum_{\ell_d=0}^{s_d} + J\!\left(u_C+k+\sum_{i=1}^d(s_i-\ell_i)\right) + \prod_{i=1}^d\binom{s_i}{\ell_i}F_{C_i}(\ell_i). +\end{equation} +The required partition function is $F_{\rm root}(0)$. +There is no exponential enumeration in evaluating this recurrence. +Form the polynomial +\[ + H_C(z)=\prod_{i=1}^d + \left(\sum_{\ell=0}^{s_i} + \binom{s_i}{\ell}F_{C_i}(\ell)z^{s_i-\ell}\right). +\] +Its degree is at most $N$, and +\[ + F_C(k)=\sum_{a=0}^N[z^a]H_C(z)\,J(u_C+k+a), +\] +with impossible indices contributing zero. Naive convolutions suffice +for the asserted arithmetic bound. The intermediate counts enumerate +assignments and partial pairings on at most $N$ vertices. There are +at most $2^N$ assignments, and for any one assignment at most $N!$ +such pairings, so $2^N N!$ bounds these counts. This gives the bit bound. + +For sampling, begin at the root with $k=0$. At a visited bag, choose +$a$ with probability proportional to $[z^a]H_C(z)J(u_C+k+a)$. +Backtrack the stored convolutions to choose the individual $\ell_i$, +then choose uniformly the corresponding interface subsets. Recurse +on each child with its chosen subset, and independently choose a +uniform pairing of the vertices assigned to the current bag. Every +choice is proportional to its number of completions in +\cref{eq:base-dp}; induction on the subtree therefore gives the +uniform law on colored matchings. +A uniform subset is generated by sequential inclusion choices, and a +uniform pairing by repeatedly pairing the least remaining vertex +with a uniformly chosen other vertex. The total number of interface +vertices is at most $N$, since a shared vertex belongs to exactly one +interface. There are at most $N/2$ partner choices, $b_{\rm tree}$ total-size +choices, and $b_{\rm tree}-1$ convolution choices. This proves the stated draw bound. Choosing any +positive-count branch instead yields a deterministic matching. +\end{proof} + +\subsection{The product chain} + +Set +\begin{equation}\label{eq:ladder-parameters} + c=1+N^{-2},\qquad + T=\min\{t\in\mathbb Z_{\ge0}:c^t\ge\max(D,3\cdot4^K)\}, + \qquad q=32L, +\end{equation} +where $L=(10^4ND)^{100}$ is the integer in +\cref{thm:pair-energy}. At tier $t\in\{0,\ldots,T\}$, clamp every +reference activity to $[c^{-t},c^t]$ and denote the matching law by +$\pi_t$. Thus $\pi_0$ is the uniform colored matching law and +$\pi_T$ is the desired law. Moreover, +\begin{equation}\label{eq:adjacent-density} + \frac12\le\frac{\pi_{t-1}(A)}{\pi_t(A)}\le2 + \qquad(A\in\calM,\ 1\le t\le T). +\end{equation} +Indeed, an individual activity changes by a factor in $[c^{-1},c]$, +so unnormalized matching weights and partition functions each change +by factors in $[c^{-N/2},c^{N/2}]$. The probability ratio is therefore +in $[c^{-N},c^N]$, and +$c^N\le\exp(1/N)<2$. +Also $\log(1+N^{-2})\ge(2N^2)^{-1}$, whence +\begin{equation}\label{eq:ladder-tier-bound} + T\le1+2N^2\log\max(D,3\cdot4^K) + =O\bigl(N^2(K+\log D+1)\bigr). +\end{equation} +Here and below, unbased logarithms are natural. + +Use $q$ slots at each tier, with product stationary law +\[ + \nu=\bigotimes_{t=0}^T\pi_t^{\otimes q}. +\] +An allowed pair $(x,y)$ consists of a slot $x$ at tier $t\ge1$ and +any slot $y$ at tier $t-1$. On this pair use exactly the symmetric +proposal of \cref{thm:pair-energy}, with local proposals acting on +$x$, and accept by Metropolis for $\pi_t\otimes\pi_{t-1}$. +Across unequal tiers a cycle swap uses this Metropolis acceptance +ratio as well; the acceptance-one observation for two identical laws +in \cref{sec:energy} no longer applies. For each base slot there is +instead the update that refreshes it from $\pi_0$, using +\cref{lem:base-refresh}. There are +\begin{equation}\label{eq:ladder-update-count} + M=Tq^2+q +\end{equation} +updates. The chain $P$ holds with probability $1/2$; otherwise it +chooses one of these $M$ updates uniformly. Every update preserves +$\nu$ and is reversible, so the same is true of $P$. + +Write $\calE_{xy}$ for the energy of one allowed pair update, with +all other coordinates integrated against $\nu$, and $\calE_i$ for +the energy of a refresh of base slot $i$. In this notation +\begin{equation}\label{eq:ladder-scan-energy} + \calE_{\nu,P}(f) + =\frac1{2M}\left(\sum_{xy}\calE_{xy}(f) + +\sum_{i\text{ base}}\calE_i(f)\right). +\end{equation} + +For later use, the two-coordinate inequality also applies across +adjacent tiers. The pair state space and symmetric proposal are +identical for the targets $\pi_t\otimes\pi_t$ and +$\pi_t\otimes\pi_{t-1}$. By \cref{eq:adjacent-density}, the latter +target density is at least half the former at every pair state. +The Metropolis capacity formula \cref{eq:metropolis-capacity} thus +shows that the unequal-tier energy dominates half the equal-tier +energy. Consequently, for any functions $a$ and $b$ of the two slots, +\begin{equation}\label{eq:unequal-pair-energy} + \Var_{\pi_t}a + \le 2L\,\calE_{xy}\bigl(a(x)+b(y)\bigr). +\end{equation} +In this display the energy is on the two slots alone; it can also be +applied conditionally on any fixed values of other slots. + +\begin{lemma}\label{lem:replica-gap} +The lazy product chain has spectral gap at least $3/(8M)$, and hence +at least $1/(20LM)$. The dependence on $L$ in the stronger bound +is carried by $q=32L$, and hence by $M$. +\end{lemma} + +\begin{proof} +Order the slots from highest tier to lowest, resolving ties +arbitrarily. Thus every allowed guide $y$ follows its upper slot $x$. +For each slot $x$, let $U_x$ be the set of its predecessors and put +\[ + h_x=\E[f\mid U_x,x]-\E[f\mid U_x]. +\] +These are the orthogonal martingale increments, so +\begin{equation}\label{eq:ladder-martingale} + \Var_\nu f=\sum_x\|h_x\|_{L^2(\nu)}^2. +\end{equation} +Fix an allowed pair $(x,y)$, abbreviate $U=U_x$, and define +\[ + k_{xy}=\E[f\mid U,y]-\E[f\mid U],\qquad + g_{xy}=\E[f\mid U,x,y], +\] +\begin{equation}\label{eq:ladder-residual} + r_{xy}=g_{xy}-\E[f\mid U]-h_x-k_{xy}. +\end{equation} +For fixed $U$, $h_x$ is centered over $x$ and $k_{xy}$ over $y$. +Applying \cref{eq:unequal-pair-energy} and then averaging over $U$ +gives +\[ + \|h_x\|_2^2\le2L\calE_{xy}(h_x+k_{xy}). +\] +Conditional expectation onto $U,x,y$ decreases $\calE_{xy}$: the +pair kernel is independent of all the other coordinates, and Jensen's +inequality applies to each difference across a transition. +For any stationary Markov kernel, \cref{eq:dirichlet} and +$(a-b)^2\le2a^2+2b^2$ give $\calE(v)\le2\|v\|_2^2$. +Using \cref{eq:ladder-residual}, and observing that functions of $U$ +have zero pair energy, we conclude that +\begin{align} + \|h_x\|_2^2 + &\le 2L\bigl(2\calE_{xy}(g_{xy})+2\calE_{xy}(r_{xy})\bigr) + \nonumber\\ + &\le4L\calE_{xy}(f)+8L\|r_{xy}\|_2^2. + \label{eq:ladder-one-pair} +\end{align} + +We now have an estimate for one upper slot and one guide, but it +contains a residual involving both slots. Replication helps only if +these residual terms can be charged collectively. The ordering of +slots makes that collective estimate possible. + +The key point is that the residuals in this bound are orthogonal +\emph{over all allowed pairs}. To verify it explicitly, use the +orthogonal product (ANOVA) decomposition +of Efron and Stein~\cite[Section~2]{EfronStein1981}, written here as +\[ + f=\sum_{S}f_S,\qquad + f_S=\sum_{A\subseteq S}(-1)^{|S|-|A|}\E[f\mid A], +\] +where $S$ ranges over subsets of the slot set. +Each $f_S$ depends only on the coordinates in $S$ and is centered in +each coordinate of $S$. Therefore distinct $f_S$ are orthogonal, and +$\E[f\mid A]=\sum_{S\subseteq A}f_S$. +Substitution into \cref{eq:ladder-residual} gives +\begin{equation}\label{eq:ladder-anova} + r_{xy}=\sum_{\substack{S\subseteq U_x\cup\{x,y\}\\x,y\in S}}f_S. +\end{equation} +Every set $S$ in this sum has $y$ last and $x$ penultimate in the +fixed slot order: all its other coordinates lie in $U_x$. These two +positions determine the allowed pair uniquely. Thus even pairs that +share a slot use disjoint sets of orthogonal components. Since every +component here is nonconstant, +\begin{equation}\label{eq:ladder-residual-sum} + \sum_{xy}\|r_{xy}\|_2^2\le\Var_\nu f. +\end{equation} +This decomposition is only an identity in the proof; the algorithm +does not compute it. + +For a base slot $i$, conditional expectation onto $U_i,i$ similarly +decreases its refresh energy. The refresh energy of $h_i$ equals +$\|h_i\|_2^2$, because $h_i$ is centered over $i$ given $U_i$. +Hence $\|h_i\|_2^2\le\calE_i(f)$. +Average \cref{eq:ladder-one-pair} over the $q$ guides of each nonbase +slot and sum over slots. +\cref{eq:ladder-martingale,eq:ladder-residual-sum} yield +\[ + \Var_\nu f + \le\frac{4L}{q}\sum_{xy}\calE_{xy}(f) + +\frac{8L}{q}\Var_\nu f + +\sum_{i\text{ base}}\calE_i(f). +\] +Since $q=32L$, absorption gives +\[ + \Var_\nu f + \le\frac16\sum_{xy}\calE_{xy}(f) + +\frac43\sum_{i\text{ base}}\calE_i(f) + \le\frac{8M}{3}\calE_{\nu,P}(f). +\] +This proves the first gap bound. The second follows from $L\ge1$. +\end{proof} + +\subsection{A quantitative sampling guarantee} + +\begin{theorem}\label{thm:bag-sampler} +Define $T,q,M$ by +\cref{eq:ladder-parameters,eq:ladder-update-count}, and put +\begin{align} + \Lambda&=10Nq(T+1) + \bigl(K+\lceil\log_2(ND+2)\rceil+1\bigr), + \label{eq:ladder-lambda}\\ + s(\xi)&=\left\lceil20LM + \bigl(\Lambda+\lceil\log_2(1/\xi)\rceil+1\bigr)\right\rceil + \qquad(0<\xi<1). + \label{eq:ladder-steps} +\end{align} +Initialize all slots to any one colored perfect matching and run the +exact chain for $s(\xi)$ steps. The resulting product law is at total +variation distance at most $\xi$ from $\nu$. In particular, any +top-tier slot has law within $\xi$ of the desired weighted matching +law. + +All tables, state representations, and transition probabilities are +computable by rational arithmetic. Their sizes, arithmetic operation +counts, and rational bit lengths are polynomial in $N,D,K$, +$b_{\rm tree}$, $\log(1/\xi)$, and the bit lengths of the reference +activities. Exact rational choices here define an ideal process; +the bounded-bit implementation in \cref{sec:complexity} adds at most +$\xi$ to the total variation error. +\end{theorem} + +\begin{proof} +Every colored matching consists of $N/2$ vertex pairs, each with at +most two color choices. In particular, $|\calM|\le(2N^2)^N$. +At every tier, all activities remain in the interval +\cref{eq:ladder-global-range}. For any $A\in\calM$ this gives +\[ + \pi_t(A)\ge + \frac1{(2N^2)^N(3D4^K)^{N/2}}. +\] +Taking the product over $q(T+1)$ slots and using $N\ge2,D\ge1$ +shows that +\begin{equation}\label{eq:ladder-minimum-mass} + \log\frac1{\min\nu}\le\Lambda. +\end{equation} +For example, with $a=\lceil\log_2(ND+2)\rceil$, the logarithm of the +denominator in the preceding display is at most +$N(K+\tfrac52a+2)$, which is at most $10N(K+a+1)$. + +For completeness, the finite-state spectral argument gives a direct +mixing bound. Reversibility makes $P$ self-adjoint on $L^2(\nu)$. +Its laziness makes its eigenvalues nonnegative, and +\cref{lem:replica-gap} bounds every eigenvalue on the centered subspace above by +$1-\gamma$, where $\gamma=1/(20LM)$. +Starting from a point $z$, the centered initial density has squared +norm $1/\nu(z)-1$. By diagonalization, reversibility, and +\cref{eq:ladder-minimum-mass}, +\[ + \|P^s(z,\cdot)-\nu\|_{\TV} + \le\frac12(1-\gamma)^s\sqrt{\frac1{\nu(z)}-1} + \le\frac12\exp(-\gamma s+\Lambda/2). +\] +Substitution of \cref{eq:ladder-steps} makes this at most $\xi$. +Projection onto a chosen top-tier coordinate cannot increase total +variation. + +It remains to specify the computation represented by this chain. +The unit-activity tables are supplied by \cref{lem:base-refresh}; a +positive table supplies an initial matching if one has not already +been constructed. There are at most $N^2$ colored edges and +$q(T+1)$ matching coordinates. Precompute the clamped activities at +every tier using rational powers of $c$. The tier bound +\cref{eq:ladder-tier-bound} is polynomial in the stated parameters, +and these powers have polynomial bit length. +A scan choice can be made by an integer in $\{1,\ldots,M\}$, +decoding either a base slot or an upper tier and two slot indices. +A pair proposal is implemented by inspecting two matchings: the +alternating components can be listed by following the union of their +edges, and the local switch and color proposals require only finite +lists of edges and at most two color choices per new edge. +Metropolis acceptance uses a ratio of products of at most $2N$ +activities; the unknown partition functions cancel. A refresh uses +the precomputed integer tables. Thus a step has polynomial arithmetic +cost and rational probabilities of polynomial bit length. +The bound $s(\xi)$ is itself polynomial in the displayed parameters, +which proves the assertion about the ideal computation. + +For the finite-bit assertion in this generality, including arbitrarily +many empty bags, use the draw and option bounds +\[ + R_{\rm draw}^{\rm gen}=100(s(\xi)+1)(b_{\rm tree}+N+1),\qquad + R_{\rm opt}=10(M+N^2+1). +\] +Indeed a refresh uses at most $4(b_{\rm tree}+N+1)$ categorical +choices, and laziness and the scan use two more. A pair step uses at +most eight choices. A final revelation of edge types, when present, +uses at most $N$ further choices. These fit the displayed draw bound. +Every choice has at most $R_{\rm opt}$ options. Take a fixed integer +$k$ with $2^k\ge2R_{\rm draw}^{\rm gen}R_{\rm opt}/\xi$. +\Cref{lem:finite-random-choice} and successive coupling then bound +the cumulative simulation discrepancy by $\xi$. This precision and +the resulting bit cost are polynomial in the stated parameters, +including $b_{\rm tree}$. For the hierarchy constructed in +\cref{sec:enlargement}, the smaller specialized bookkeeping in +\cref{sec:complexity} follows from +$b_{\rm tree}\le N(2K+1)$. +\end{proof} +\section{From samples to the number of perfect matchings} +\label{sec:counting} + +We now give the counting algorithm. Its sampling calls use only the +tree-bag sampler proved above. In particular, neither balancing nor +estimating a partition ratio requires an additional oracle. +Positive completion, gradual suppression of nonedges, and estimation +of successive partition ratios follow the annealing framework used +for the permanent~\cite{JerrumSinclairVigoda2004}. The marked observables +and vertex-scale update below supply the general-graph implementation +and its balance guarantees. + +\subsection{The schedule and vertex scales} +If $n=|V|=0$, return one. If a binary vertex count is used and +$n>2|E|$, return zero: the listed edges cannot cover all vertices. +On the remaining nonempty input, perform a deterministic +perfect-matching existence test and return zero if it fails. Thus the +remaining case has even $n\ge2$ and $Z(G)\ge1$. +Set +\begin{equation}\label{eq:schedule} + b=1+\frac1n,\qquad + K=\min\left\{k\in\mathbb N:k\ge1,\quad + n^{n/2}b^{-k}\le\frac\eps{32}\right\}. +\end{equation} +Since $\log(1+1/n)\ge1/(2n)$, +\begin{equation}\label{eq:schedule-length} + K\le 1+2n\left(\frac n2\log n+\log(32/\eps)\right). +\end{equation} +At stage $j\in\{0,\ldots,K\}$ the complete logical graph has raw +activities +\[ + w^{(j)}_{uv}= + \begin{cases}1,&uv\in E,\\ b^{-j},&uv\notin E.\end{cases} +\] +Write $Z_j$ for its perfect-matching partition function. Then +\begin{equation}\label{eq:raw-telescoping} + Z_0=(n-1)!!,\qquad + Z_K=(n-1)!!\prod_{j=0}^{K-1}\frac{Z_{j+1}}{Z_j}. +\end{equation} + +For sampling, we additionally maintain positive vertex scales $s_i$ and +use activities $\lambda_{ij}=w^{(j)}_{ij}s_i s_j$. Every perfect matching +has the same vertex factor $\prod_i s_i$. Consequently +\begin{equation}\label{eq:scaling-identities} + Z_\lambda=Z_j\prod_i s_i, + \qquad + g_\lambda(ij)=\frac{g_{w^{(j)}}(ij)}{s_i s_j}. +\end{equation} +Initialize $s_i=1/\floor{\sqrt{n-1}}$. At stage zero, +\[ + g_\lambda(ij)=\frac{\floor{\sqrt{n-1}}^2}{n-1}\in[1/4,1], +\] +so the logical graph is balanced. The update defined below always +multiplies each scale by a positive number at most two, whether or not +the estimates succeed. Starting from scales at most one and making at +most $K$ updates, we therefore have at every sampling call +\begin{equation}\label{eq:unconditional-height-bound} + 0<\lambda_{ij}\le4^K. +\end{equation} +We use the same structural parameters throughout a trial: +\begin{equation}\label{eq:counting-structural-parameters} + D_0=10^8(n+1)^4,\qquad p=2K+2,\qquad + N=n+4p\binom n2,\qquad D=100N^2D_0. +\end{equation} +For each current $\lambda$, construct the enlarged graph and marked +bag edges of \cref{sec:enlargement}. + +\subsection{Observables from one marked sample} +Let $\lambda^+$ denote the activities at the next raw stage, with the +\emph{current} vertex scales retained. If $P$ is a logical perfect +matching, or a logical matching missing one specified pair of vertices, +put +\[ + u(P)=b^{-\#\{e\in P:e\notin E\}}. +\] +Thus $\wt_{\lambda^+}(P)=u(P)\wt_\lambda(P)$ and +\begin{equation}\label{eq:bounded-reweighting} + \frac120,\\1,&\bar a=0. + \end{cases} +\end{equation} +If $\bar d>0$, form the symmetric array +\begin{equation}\label{eq:upper-estimate} + G_{ij}=\max\left\{\alpha, + \min\left\{3,D\frac{\bar z_{ij}}{\bar d}+\alpha\right\} + \right\} + \quad (i\ne j). +\end{equation} +If $\bar d=0$, set all $G_{ij}=1$. The following elementary balancing +procedure will be useful. + +\begin{lemma}\label{lem:one-pass-scaling} +Suppose $G$ is symmetric and $\alpha\le G_{ij}\le3$ for $i\ne j$. +Initialize $v_i=2$ for every vertex and visit the vertices in their +fixed order, setting +\begin{equation}\label{eq:scale-update} + v_i\leftarrow\max_{j\ne i}\frac{G_{ij}}{v_j}. +\end{equation} +Every coordinate only decreases, all final coordinates lie in +$[\alpha/2,2]$, and the final vector satisfies +$v_i v_j\ge G_{ij}$ with an equality in every row. +\end{lemma} +\begin{proof} +Initially all products equal four and hence dominate $G$. At an update, +feasibility shows that the new value is at most the old value. The +definition restores all constraints involving $i$ and leaves all other +constraints unchanged. Since every other coordinate is at most two, +the new value is at least $\alpha/2$. At least one constraint involving +$i$ is tight. If its neighbor is visited later, that neighbor cannot +decrease without violating this tight constraint. Thus the equality +persists to the end. +\end{proof} + +After estimating the current ratio, perform this procedure and replace +$s_i$ by $s_i v_i$. These scales are used with the next raw stage. + +\paragraph{Algorithm outline.} +After the zero test, one trial uses the parameters in +\cref{eq:schedule,eq:counting-structural-parameters,eq:statistical-parameters} +and the initial scales above. For $j=0,\ldots,K-1$: +\begin{enumerate}[label=\textup{\arabic*.},leftmargin=*] +\item Form $\lambda_{uv}=w^{(j)}_{uv}s_us_v$ and its marked bag graph. +\item Obtain $S$ independent fresh marked samples using the bounded-bit +implementation of \cref{thm:bag-sampler}. Compute the empirical +means, then $\widehat R_j$ and $G$ by +\cref{eq:ratio-estimate,eq:upper-estimate}, including their +zero-denominator conventions. +\item Run the one-pass update \eqref{eq:scale-update} on $G$, replace +$s_i$ by $s_iv_i$, and advance to the next raw stage. +\end{enumerate} +The trial returns $Y=(n-1)!!\prod_{j=0}^{K-1}\widehat R_j$; +the final algorithm takes the median of independent trials as specified +below. The current scales are held fixed during each ratio estimate, +so their common factors cancel. Every empirical history executes these +same steps with the unconditional caps above. Balance is used only to +prove the accuracy of histories whose estimates succeed. + +\begin{lemma}\label{lem:successful-stage} +Suppose the current logical activities are balanced and every empirical +mean is within $\sigma$ of its exact mean. Then the next scaled +activities are balanced and +\begin{equation}\label{eq:stage-relative-error} + \left|\frac{\widehat R}{R}-1\right| + \le10\sigma\le\frac\eps{100K}. +\end{equation} +\end{lemma} +\begin{proof} +By \cref{prop:bag-inflation} and \eqref{eq:bounded-reweighting}, +\[ + \E a\ge\frac12,\qquad \E d\ge\frac14, + \qquad\frac12\le R\le1. +\] +Reweighting both a full matching and a matching with two holes by +factors in $[1/2,1]$ gives +\[ + \frac12 g_\lambda(ij)\le g_{\lambda^+}(ij) + \le2g_\lambda(ij). +\] +In particular the pre-update row maxima lie in $[1/8,2]$. +Write $g^+_{ij}=g_{\lambda^+}(ij)$. Since $\bar d\ge\E d-\sigma>0$, +\begin{align*} + \left|D\frac{\bar z_{ij}}{\bar d}-g^+_{ij}\right| + &\le\frac{D|\bar z_{ij}-\E z_{ij}| + +g^+_{ij}|\bar d-\E d|}{\E d-\sigma}\\ + &\le\frac{(D+2)\sigma}{1/4-\sigma}<\alpha. +\end{align*} +The last inequality follows from $D\ge1$ and +$\sigma\le\alpha/(100D)$. Since $0\le g^+_{ij}\le2$, both truncations +in \eqref{eq:upper-estimate} preserve +\begin{equation}\label{eq:upper-estimate-accuracy} + g^+_{ij}\le G_{ij}\le g^+_{ij}+2\alpha. +\end{equation} + +During the scaling procedure every updated coordinate satisfies +$v_i\ge\max_jG_{ij}/2\ge1/16$. At the end all entries of the newly +scaled two-hole matrix are at most one, by feasibility and +\eqref{eq:scaling-identities}. In each row choose a final tight neighbor. +For that pair, +\[ + \frac{g^+_{ij}}{v_i v_j} + \ge1-\frac{2\alpha}{v_i v_j} + \ge1-512\alpha>\frac14. +\] +This proves balance. + +For the ratio estimate, using $R\ge1/2$ and $\bar a\ge1/2-\sigma$, +\[ + \left|\frac{\widehat R}{R}-1\right| + \le\frac{|\bar d-\E d|+R|\bar a-\E a|} + {R(\E a-\sigma)} + \le\frac{2\sigma}{(1/2)(1/2-\sigma)} + <10\sigma. +\] +The final bound in \eqref{eq:stage-relative-error} is the other choice +in \eqref{eq:statistical-parameters}. +\end{proof} + +\subsection{Success probability and output} +The form of Hoeffding's inequality~\cite[Theorem~2]{Hoeffding1963} +used here is: +if $X_1,\ldots,X_S$ are independent, take values in $[0,1]$, and have +a common mean $\mu$, then, for every $t>0$, +\begin{equation}\label{eq:hoeffding} + \Prb\left[\left|S^{-1}\sum_{i=1}^S X_i-\mu\right|>t\right] + \le2\exp(-2St^2). +\end{equation} +The theorem applies separately to each observable; the observables +within a single sample need not be independent. + +Condition on any history in which all preceding stages succeeded. +By \cref{lem:successful-stage}, the current activities are balanced. +For independent ideal samples, a union bound over the at most +$n^2+2$ observables gives failure probability at most +\[ + 2(n^2+2)\exp(-2S\sigma^2) + \le2(n^2+2)\exp(-20(n+K+1))<\frac1{100K}. +\] +One elementary verification of the last strict inequality is +$\log(200K(n^2+2))\le6+K+2n<20(n+K+1)$ for $n\ge2,K\ge1$. +The actual fresh runs can be coupled to these ideal samples with +disagreement probability at most $3S\xi=3/(1000K)$. +Therefore the conditional probability of failure at the first +unsuccessful stage is at most $13/(1000K)$. Summing over all $K$ +stages proves that a whole trial succeeds with probability at least +$1-13/1000>0.9$. + +The trial output is the nonnegative rational +\begin{equation}\label{eq:trial-output} + Y=(n-1)!!\prod_{j=0}^{K-1}\widehat R_j. +\end{equation} +On success, \cref{lem:successful-stage} and +$\prod_i(1-t_i)\ge1-\sum_i t_i$ for $t_i\in[0,1]$ imply +\[ + (1-\eps/100)Z_K\le Y\le\exp(\eps/100)Z_K. +\] +Every matching using a nonedge has raw final weight at most $b^{-K}$. +There are at most $(n-1)!!\le n^{n/2}$ perfect matchings on the +complete graph, so +\begin{equation}\label{eq:padding-bias} + Z(G)\le Z_K\le Z(G)+n^{n/2}b^{-K} + \le(1+\eps/32)Z(G). +\end{equation} +For $0<\eps<1$, the resulting lower bound exceeds +$(1-\eps)Z(G)$, and the upper bound is at most $(1+\eps)Z(G)$. +For example, $\exp(\eps/100)\le1+\eps/50$, which gives +\[ + \exp(\eps/100)(1+\eps/32) + \le1+\left(\frac1{50}+\frac1{32}+\frac1{1600}\right)\eps + <1+\eps. +\] + +To amplify, let $\ell=\ceil{\log_2(1/\delta)}$, computed by rational +comparisons with powers of two. Run +$r=10(\ell+1)+1$ independent trials and return their median. +This is an odd number of trials. Since each succeeds with probability +at least $0.9$, Hoeffding's inequality for their success indicators +bounds the probability of fewer than half succeeding by +\[ + \exp\bigl(-2(0.4)^2r\bigr) + \le\exp\bigl(-3.2(\ell+1)\bigr) + <2^{-\ell}\le\delta. +\] +Whenever a majority succeed, the median belongs to the desired +interval. The deterministic zero branch was taken before any trials. +This proves the correctness and probability assertions of +\cref{thm:main}, subject only to the bit implementation established +next. +\section{A bounded-bit implementation} +\label{sec:complexity} + +We finish by specifying a classical finite-bit implementation and proving +a worst-case bound. The argument is uniform over all empirical histories, +including histories on which balance is lost. Balance controls the +statistical accuracy of a successful trial; the unconditional caps in +the algorithm control its running time. + +\subsection{Sizes of the parameters and state spaces} +Let $\mathsf b$ be the total binary input length. We use a standard +explicit encoding of a finite graph and of the two rationals. If isolated +vertices are specified by a binary vertex count, first return zero when +$n>2|E|$. This test is valid for every nonempty graph admitting a perfect +matching and ensures that the nonzero branch has $n\le2|E|=O(\mathsf b)$. +The deterministic existence test~\cite{Edmonds1965} therefore has +polynomial bit cost on the original graph. It is the only +matching-existence oracle used. + +\Cref{eq:schedule-length} bounds $K$ polynomially in $\mathsf b$. +It can be found without logarithms by iterating rational powers of $b$ +and comparing the two sides of \eqref{eq:schedule}. The parameters +$p,N,D_0,D$ are integers of polynomial numerical size in $n,K$. +The hierarchy has at most +\begin{equation}\label{eq:hierarchy-size} + H_{\rm tree}=N(2K+1) +\end{equation} +nodes, since its levels are $0,\ldots,2K$ and every level has at most +$N$ components. The number of colored edges is less than $N^2$. + +Use the ladder parameters $c,T,L,q,M,\Lambda$ from +\cref{eq:energy-constants,eq:ladder-parameters,eq:ladder-update-count,eq:ladder-lambda}, and write +\[ + t_{\rm mix}=s(\xi), +\] +where $s(\xi)$ is defined in \eqref{eq:ladder-steps}. The structural +parameters $N,D,K$ are fixed throughout a trial. Hence the same $T$ +makes the final tier unclamped on every empirical history, by +\cref{eq:unconditional-height-bound,eq:ladder-global-range}. +It can be found by iterating rational powers of $c$ until the defining +inequality in \eqref{eq:ladder-parameters} holds. The bound +\eqref{eq:ladder-tier-bound} is polynomial in $N,K,D$. +Ceilings of binary logarithms are found by integer or rational +comparisons with powers of two. +These bounds and the product-state size +$q(T+1)$ are polynomial in $\mathsf b$ and $\eps^{-1}$. +Indeed, +\[ + \sigma^{-1}\le C(D+K\eps^{-1}),\qquad + S=O\bigl((D^2+K^2\eps^{-2})(n+K+1)\bigr),\qquad + \xi^{-1}=1000KS, +\] +for an absolute constant $C$. The exponent $100$ in $L$ is fixed. + +There is no initial-sampling problem at the upper tiers. Pair the logical +vertices in their fixed order and expand this matching by the path +tilings. All logical activities are positive, so this is an available +real perfect matching with assigned colors. Initialize every slot to +that matching. The mixing bound applies from this deterministic product +state. + +\subsection{Rational bit lengths} +We record explicitly why the adaptive scales do not create an +arithmetic blowup. Put +\begin{equation}\label{eq:empirical-bit-bound} + B_G=1+n\ceil{\log_2(n+1)}+\ceil{\log_2(S+1)} + +\ceil{\log_2(D+1)}. +\end{equation} +Absolute multiplicative constants in the bit bounds below are +independent of the input. + +Every nonzero sample contribution is $(n/(n+1))^a$ for some +$0\le a\le n/2$. These fractions have the common denominator +$Q=(n+1)^{n/2}$. Thus empirical means, their ratios, and the capped +entries $G_{ij}$ have $O(B_G)$ numerator and denominator bits. This +bound does not involve the current scales. + +An assignment in \eqref{eq:scale-update} chooses one maximizer $j$ and +sets $v_i=G_{ij}/v_j$. At that moment $v_j$ is either the initial value +two or an expression formed at an earlier update. Following such +dependencies strictly decreases the update index, so it produces a +chain of at most $n$ factors. Each $v_i$ consequently has $O(nB_G)$ +bits. Accumulating at most $K$ scale updates gives $O(KnB_G)$ bits per +scale. The raw activities have $O(K\log(n+1))$ bits. These estimates +apply even when all observations are unfavorable, because the clipping +and branch conventions are unconditional. + +Bottleneck entries $B_{ij}$ and the maxima $H_i=\max_{j\ne i}B_{ij}$ +select from finitely many input activities and one; they do not involve +sums over paths. Initialize $B_{ij}=\max\{1,\lambda_{ij}\}$ and, +for each vertex $k$, update the entries with distinct $i,j\ne k$ by +\[ + B_{ij}\leftarrow\max\{B_{ij},\min\{B_{ik},B_{kj}\}\}. +\] +This is the max--min Floyd--Warshall recurrence: after processing $k$, +the entries allow the processed vertices as internal path vertices. +It uses $O(n^3)$ rational comparisons. The path profiles add only powers of two of +bit length $O(K)$. Bag activities are sums of a real activity and a +dyadic height divided by $D$. Finally $c^{\pm t}$ has +$O(T\log(N+1))$ bits for $t\le T$. + +It follows that every single-edge activity used by the sampler has +numerator and denominator lengths at most the integer bound +\begin{equation}\label{eq:edge-bit-bound} + B_W=C_1\bigl(KnB_G+K+\ceil{\log_2(D+1)} + +T\ceil{\log_2(N+1)}+1\bigr), +\end{equation} +where $C_1$ is a sufficiently large absolute positive integer. +A product of at most $N$ such activities has $O(NB_W)$ bits. In a +Metropolis acceptance ratio the unknown normalizing constants cancel. +Thus even a cycle exchange at unequal tiers requires only rational +products of this size. The real and probe revelation probabilities +are likewise rational, respectively the real portion divided by the +collapsed activity and $1/(DW)$ for the probe portion. + +By \cref{lem:base-refresh}, the bottom-tier dynamic program uses +counts of $O(N\log(N+1))$ bits. Its categorical normalizers count +the same partial completions and obey the same bound. Label and loop +indices use an additional +$O(\log(H_{\rm tree}+1)+\log(N+1))$ bits, since +$b_{\rm tree}\le H_{\rm tree}$ in the constructed hierarchy. +The table computation and sampling therefore use polynomially many +integer operations with polynomial bit lengths. + +\subsection{Random choices with a fixed number of bits} +\begin{lemma}\label{lem:finite-random-choice} +Let $p_1,\ldots,p_r$ be nonnegative rational numbers summing to one. +Choose a uniform integer $J\in\{0,\ldots,2^k-1\}$ using exactly $k$ +fair bits, and return the least index $i$ such that +$J/2^k<\sum_{j\le i}p_j$. The output law is at total variation +distance at most $2r\,2^{-k}$ from $(p_i)_{i=1}^r$. +\end{lemma} +\begin{proof} +For any interval $[a,b)\subseteq[0,1)$, the number of grid points +$j/2^k$ in the interval differs from $2^k(b-a)$ by at most two. +Apply this to the successive cumulative-probability intervals and sum +the absolute probability discrepancies. The factor one half in total +variation only improves the stated bound. An outcome with $p_i=0$ +has an empty interval and is never returned. +\end{proof} + +The exact categorical choices in the unit-tier dynamic program define +an ideal transition law. The actual algorithm implements each such +choice, along with every proposal and acceptance choice, by the fixed +grid in \cref{lem:finite-random-choice}. Hence exactness of the dynamic +program is a counting identity; sampling from its tables in bounded +bit time incurs the error budget derived below. + +Every choice in the chain is either uniform on an explicitly indexed +finite set, Bernoulli, or proportional to a list of nonnegative +integers supplied by the dynamic program. For each used edge, final +revelation is a rational categorical choice with at most three outcomes. +Subsets and pairings are sampled sequentially, so no exponential list is needed. Uniform choices +among the $M$ scan positions can be implemented by integer arithmetic +on the index rather than by enumerating the scan positions. + +A bound on the number of random choices in one complete sampler run, +including marking its output, is +\begin{equation}\label{eq:draw-bound} + R_{\rm draw}=100(t_{\rm mix}+1)(N+1)^2(K+2). +\end{equation} +To see this, laziness and the scan take two choices per step, and a +pair update takes at most eight further choices. By +\cref{lem:base-refresh}, a refresh takes at most +$4(H_{\rm tree}+N+1)$ choices. Allowing both bounds at every step +and adding the at most $N$ choices for final marking gives +\[ + t_{\rm mix}\bigl(10+4(H_{\rm tree}+N+1)\bigr)+N. +\] +Since $H_{\rm tree}=N(2K+1)$, this is bounded by +\eqref{eq:draw-bound}. The bound therefore includes every categorical +choice made by the implemented sampler. +The number of options in any one choice is at most +\begin{equation}\label{eq:option-bound} + R_{\rm opt}=10(M+N^2+1). +\end{equation} +Choose the same bit budget $k$ for all these choices, with +\begin{equation}\label{eq:coin-precision} + 2^k\ge\frac{2R_{\rm draw}R_{\rm opt}}\xi. +\end{equation} +This integer is found by doubling; $k$ is polynomially bounded. +By \cref{lem:finite-random-choice}, the sum of all conditional +simulation errors is at most $\xi$. Successive coupling, while the +simulated and exact histories agree, bounds the total variation error +of the whole run and its marking by $\xi$. The exact-kernel mixing +error is at most $\xi$, so the implemented marked sample is within +$2\xi$, and in particular $3\xi$, of the required law. +The number of fair bits used has a deterministic bound +$kR_{\rm draw}$. There is no rejection loop or random convergence test. + +\subsection{Total bit cost} +The preceding bounds already give a polynomial-time implementation. +To make the accounting explicit, take a common bit bound +\[ + B_* = C\bigl(NB_W+N\log(N+1)+\mathsf b + +\log(M+1)+\log(t_{\rm mix}+1) + +\log(\xi^{-1}+1)+1\bigr) +\] +with a sufficiently large absolute constant $C$ and $B_W$ from +\eqref{eq:edge-bit-bound}. In particular $NB_W$ dominates $KB_G$, +the bit cost of multiplying the $K$ empirical ratios. +The bound $B_*$ covers all integers +used in weight products, dynamic-program counts, cumulative choices, +acceptance comparisons, and output products. All categorical laws just +described admit common-denominator integer weights, so computing their +cumulative sums respects the same bound. Schoolbook arithmetic and the +Euclidean algorithm perform the needed operations within $O(B_*^3)$ +bit time per operation. + +A deliberately loose bound of +$O((H_{\rm tree}+1)(N+1)^4)$ arithmetic operations covers graph +construction, the bottom-tier tables, and any one transition or refresh; +storing the product state additionally takes +$O(q(T+1)N B_*)$ bits. Thus a trial, including all $K$ stages and $S$ +fresh runs at each stage, has bit cost bounded by a fixed polynomial +in +\[ + K,\ S,\ t_{\rm mix},\ H_{\rm tree},\ N,\ q(T+1),\ B_*. +\] +For example, the sum of +\[ + CKS(t_{\rm mix}+1)(H_{\rm tree}+1)(N+1)^4B_*^3 + \quad\text{and}\quad + CKSq(T+1)(N+1)B_*^3 +\] +is a valid coarse envelope for arithmetic, repeated initialization, +and storage operations. Each displayed parameter is polynomial in +$\mathsf b$ and $\eps^{-1}$. The +$r=10(\ceil{\log_2(1/\delta)}+1)+1$ repetitions and the rational +comparisons used to select their median add a factor polynomial in +$\log\delta^{-1}$ and the input length. + +All data structures, loop bounds, and rational comparisons have now been +specified by finite procedures. Every auxiliary parameter is bounded +by a polynomial of fixed degree, and the bound holds on every random +history. Together with \cref{sec:counting}, this completes the proof +of \cref{thm:main}. +\section{Prescribed-degree subgraphs and fixed-cardinality matchings} +\label{sec:prescribed-degree} + +We record two counting consequences of \cref{thm:main} and a corresponding +output-sampling guarantee. Throughout this section, the input host +$G=(V,E)$ is a finite simple undirected unweighted graph whose vertices and +edges are explicitly listed, including any isolated vertices. Only edges +in $E$ may be selected, so absent edges may be forbidden arbitrarily. +The objects counted are labeled edge subsets, not isomorphism classes. +For binary-encoded integer demands $f=(f_v)_{v\in V}$ and a binary-encoded +integer $k$, define +\[ +\begin{aligned} + \mathcal F(G,f)&=\{F\subseteq E:\deg_F(v)=f_v\text{ for every }v\in V\},\\ + \mathcal M_k(G)&=\{M\subseteq E:M\text{ is a matching and }|M|=k\}. +\end{aligned} +\] + +\begin{corollary}\label{cor:prescribed-degree} +For either family $\mathcal A=\mathcal F(G,f)$ or +$\mathcal A=\mathcal M_k(G)$, there are uniform classical randomized +algorithms with the following guarantees. +\begin{enumerate}[label=(\roman*)] +\item Given rational $0<\eps<1$ and $0<\delta<1/2$, the counting algorithm +returns a nonnegative rational $\widehat N$ such that +\[ + \Prb[(1-\eps)|\mathcal A|\le \widehat N\le(1+\eps)|\mathcal A|] + \ge1-\delta. +\] +If $\mathcal A$ is empty, it returns zero with certainty. Its bit running +time on every execution is polynomial in the full input encoding length, +$\eps^{-1}$, and $\log\delta^{-1}$. +\item Given rational $0<\tau<1$, the sampling algorithm reports infeasibility +exactly when $\mathcal A$ is empty. Otherwise it returns a member $X$ of +$\mathcal A$ on every execution, and +\[ + \TV(\mathcal L(X),U_{\mathcal A})\le\tau, +\] +where $U_{\mathcal A}$ is the uniform law on $\mathcal A$ and +$\TV(\mu,\nu)=\frac12\sum_x|\mu(x)-\nu(x)|$. Its bit running time on every +execution is polynomial in the full input encoding length and $\tau^{-1}$. +\end{enumerate} +\end{corollary} + +Only the stated total-variation and polynomial-in-$\tau^{-1}$ sampling +guarantee is asserted. In particular, the statement does not assert exact +or pointwise almost-uniform sampling. The explicit simple unweighted host +model does not encode edge weights or compressed multiplicities. + +\subsection{Constant-fibre reductions} + +Write $n=|V|$, $m=|E|$, and $d_v=\deg_G(v)$. + +\paragraph{The prescribed-degree reduction.} +We use Tutte's reduction of prescribed degrees to perfect +matchings~\cite[pp.~348--349]{Tutte1954}, keeping the dummy vertices +labeled so that its counting multiplicity is explicit. +If some $f_v$ is outside $0\le f_v\le d_v$, the family is empty and we +return zero or report infeasibility, as appropriate. For valid demands put +$s_v=d_v-f_v$. Construct a simple unweighted graph $H_f$ with one tagged +port $(v,e)$ for every incidence of an edge $e$ at $v$. For each original +edge $e=\{u,v\}$, join $(u,e)$ to $(v,e)$ by a cross edge. At each $v$, add +$s_v$ labeled private dummy vertices, each adjacent to all $d_v$ ports at +$v$. There are no other edges. The tags distinguish ports and dummies, so +simplicity of $G$ makes $H_f$ simple. Its sizes satisfy +\[ + |V(H_f)|=2m+\sum_v s_v=4m-\sum_v f_v\le4m, + \qquad + |E(H_f)|=m+\sum_v d_vs_v\le m+2m(n-1). +\] +Thus the gadget is explicit and polynomial in the host size; the initial +demand check prevents expansion of arbitrarily large binary demands. + +Project a perfect matching of $H_f$ to the original edges whose cross edges +it contains. Each dummy at $v$ uses a distinct $v$-port. The remaining +$f_v$ ports must use cross edges, so the projection lies in $\mathcal F(G,f)$. +Conversely, an $f$-factor fixes its cross edges. Its remaining $s_v$ ports at +$v$ can be bijected to the labeled dummies in $s_v!$ ways, independently at +each vertex. Hence every factor has the same number of preimages, and +\begin{equation}\label{eq:prescribed-degree-fibre} + C_f=\prod_v(d_v-f_v)!,\qquad Z(H_f)=C_f|\mathcal F(G,f)|. +\end{equation} +The fibre may be factorial, but $\log C_f=O(m\log(n+1))$, so $C_f$ has +polynomial bit length. For an edgeless host with all demands zero, both the +unique factor and the gadget's unique perfect matching are empty, and +$C_f=1$ by $0!=1$. Other infeasible valid inputs give gadgets +without perfect matchings by the same correspondence. + +\paragraph{The fixed-cardinality reduction.} +If $k<0$ or $2k>n$, the family is empty, so return zero or report +infeasibility, as appropriate. Otherwise put $q=n-2k$. Form $H_k$ +by adding $q$ labeled dummy vertices to $G$, joining each dummy to every +original vertex, and adding no edges between dummies. Keep all original +edges. This is a simple unweighted graph with at most $2n$ vertices and +$m+n^2$ edges. In every perfect matching, the dummies use $q$ distinct +original vertices; the remaining $2k$ original vertices are paired by +exactly $k$ host edges. Conversely, a $k$-matching leaves $q$ original +vertices, which can be bijected to the dummies in $q!$ ways. Therefore +\begin{equation}\label{eq:cardinality-fibre} + C_k=(n-2k)!,\qquad Z(H_k)=C_k|\mathcal M_k(G)|. +\end{equation} +Here $\log C_k=O(n\log(n+1))$. The same bijection covers $k=0$, $2k=n$, +and $n=k=0$, using $0!=1$. + +\begin{proof}[Proof of \cref{cor:prescribed-degree}\textup{(i)}] +Apply \cref{thm:main} to the appropriate gadget and divide its nonnegative +rational output by the corresponding positive integer $C_f$ or $C_k$. +Compute these factorial products exactly and perform exact rational +division, without rounding to an integer. Their displayed bit lengths and +the polynomial gadget sizes preserve the asserted relative error, +confidence, certain-zero behavior, and every-execution bit bound. This +proves the counting assertion. The correspondences also make feasibility +equivalent to perfect-matching feasibility in the gadget. +\end{proof} + +\subsection{A deletion sampler for perfect matchings} + +The conversion from counts to samples uses the self-reduction framework +of Jerrum, Valiant, and Vazirani~\cite[Section~6]{JerrumValiantVazirani1986}. +We give the deletion procedure explicitly to retain feasibility on every +execution and to track its total-variation and bit-time bounds. It uses +\cref{thm:main} only through its counting guarantee. + +\begin{lemma}\label{lem:deletion-sampler} +Given a finite simple undirected unweighted graph $H_0$ whose vertices +and edges are explicitly listed, and a rational $0<\tau<1$, there is a +uniform classical randomized algorithm that reports infeasibility exactly +when $H_0$ has no perfect matching. Otherwise it returns a perfect +matching on every execution, and its output law is at total variation +distance at most $\tau$ from the uniform perfect-matching law. Its bit +running time on every execution is polynomial in the full input encoding +length and $\tau^{-1}$. +\end{lemma} + +\begin{proof} +First decide perfect-matching feasibility by the deterministic +polynomial-time matching algorithm of Edmonds~\cite{Edmonds1965}. Report +infeasibility if appropriate, and return the empty matching when +$V(H_0)=\varnothing$. Otherwise set $m_0=|E(H_0)|$ and +$m_*=\max\{1,m_0\}$. Choose +\[ + \eta=\gamma=\frac{\tau}{8m_*},\qquad + t=\min\{j\in\mathbb N:2^j\ge 8m_*/\tau\}. +\] +The integer $t$ is computed by doubling and exact rational comparison. + +Maintain a feasible residual graph $H$ and the already selected edges. +Choose the first residual edge $e=uv$ in a fixed deterministic ordering. +Perfect matchings of $H$ excluding $e$ are counted by $Z(H-e)$; those +including $e$ correspond bijectively, after deleting $e$, to perfect +matchings of $H-u-v$. Test both child graphs for feasibility exactly. +At least one is feasible. If only one is feasible, take it. If both are +feasible, make two fresh calls to \cref{thm:main}, with relative error +$\eta$ and failure probability $\gamma$, obtaining nonnegative rational +estimates $A$ for $Z(H-u-v)$ and $B$ for $Z(H-e)$. If $A+B=0$, take the +exclusion child. Otherwise put $\widehat p=A/(A+B)$, draw exactly $t$ +fresh fair bits as a uniform integer $J\in\{0,\ldots,2^t-1\}$, and take the +inclusion child precisely when +\[ + J<\floor{2^t\widehat p}. +\] +Replace $H$ by the chosen child. Whenever the inclusion child is taken, +including a forced choice, append $e$ to the selected edges. All ratio and +floor operations are exact rational or integer operations. + +Every chosen child is feasible, regardless of the estimates. Each decision +removes at least one residual edge, so there are at most $m_0$ decisions. +When no residual edges remain, feasibility forces the residual vertex set +to be empty. The selected edges then form a perfect matching of $H_0$ on +every execution. + +For the error bound, compare this process to the ideal deletion sampler +that takes the inclusion child with its exact count ratio. These exact +ratios telescope, giving the uniform perfect-matching law. At a history +where both children are feasible, write their positive counts as $z_+$ and +$z_-$, with $p=z_+/(z_++z_-)$. When both estimates succeed, write +$A=z_+(1+a)$ and $B=z_-(1+b)$, where $|a|,|b|\le\eta$. Then +\[ + |\widehat p-p| + =\frac{z_+z_-|a-b|} + {(z_++z_-)(z_+(1+a)+z_-(1+b))} + \le\frac{\eta}{2(1-\eta)}. +\] +The last step uses $z_+z_-\le(z_++z_-)^2/4$. Fresh call randomness bounds +the conditional probability that either estimate fails by $2\gamma$, +at every adaptive history. On failure the branch law can change by at most +one in total variation, while the dyadic floor changes the successful +branch probability by at most $2^{-t}$. The fallback $A+B=0$ occurs only +on a failed estimate when both true counts are positive. Thus the +conditional branch-law error is at most +\[ + \beta=\frac{\eta}{2(1-\eta)}+2\gamma+2^{-t}. +\] +Forced branches have zero error. Couple the two deletion processes until +their prefixes differ. With at most $m_0$ decisions, the output +total-variation error is at most $m_0\beta$. Since $\eta<1/8$ and +$2^{-t}\le\eta$, we have $\beta\le4\eta$ and hence +\[ + m_0\beta\le4m_*\eta=\tau/2<\tau. +\] + +There are at most $2m_0$ counting calls and $2m_0+1$ exact feasibility +tests, all on simple graphs no larger than $H_0$. The inverse relative +error is $8m_*/\tau$, and the logarithmic confidence cost is +$\log(8m_*/\tau)$. The every-execution bit bound of \cref{thm:main} also +bounds the bit lengths of its outputs on failed calls. Therefore the +exact ratio and floor computations, the $t=O(\log(m_*/\tau))$ fresh bits per +branch, and all graph updates have bit cost polynomial in the full input +length and $\tau^{-1}$ on every execution. No rejection loop or +random stopping criterion is used. + +\end{proof} + +\begin{proof}[Proof of \cref{cor:prescribed-degree}\textup{(ii)}] +For sampling, apply \cref{lem:deletion-sampler} to $H_f$ or $H_k$ and +decode by keeping the original edges represented by selected cross edges, +or by discarding the dummy-incident edges, respectively. Exact feasibility +testing of the +gadget reports infeasibility precisely for an empty target family. +Uniform perfect matchings project to the uniform target law because the +fibres in \eqref{eq:prescribed-degree-fibre} and +\eqref{eq:cardinality-fibre} are constant across target members. +Deterministic decoding cannot increase total variation and takes polynomial +time, without enumerating any fibre. 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Swendsen. +\newblock Replica Monte Carlo simulation (revisited). +\newblock \emph{Progress of Theoretical Physics Supplement}, 157:\penalty0 + 317--323, 2005. +\newblock \doi{10.1143/PTPS.157.317}. +\newblock Preprint version: \url{https://arxiv.org/abs/cond-mat/0407273v1}. + +\bibitem[Yi(2026)]{Yi2026} +Zihong Yi. +\newblock Diffuse Gaussian truncation for deterministic approximate counting. +\newblock Preprint, arXiv:2609.04079v1, 2026. +\newblock URL \url{https://arxiv.org/abs/2609.04079v1}. + +\end{thebibliography} +\end{document} diff --git a/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/main.pdf b/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/main.pdf new file mode 100644 index 0000000000000000000000000000000000000000..b33e939a2fe0465b728a5768fe55d0bd2c26c234 --- /dev/null +++ b/preprints/A-Fully-Polynomial-Randomized-Approximation-Scheme-for-Perfect-Matchings-in-General-Graphs-September-23-2026/main.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:1510b15725ee7e92a6c543484c6c02ce7f26347a32c1a11cd66c5890b94c6de1 +size 617073 diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/README.md b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..8637314ca233c4110bcd8c6df0cd1b2b7c54ffb6 --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/README.md @@ -0,0 +1,16 @@ +# [A Gepner stability condition on every smooth quintic threefold](paper.pdf) + +OpenAI +September 24, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026, + author = {{OpenAI}}, + title = {{A Gepner stability condition on every smooth quintic threefold}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/paper.pdf}{OAI:A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026}}, + year = {2026} +} +``` diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/figures/fifth-phase-grid.tex b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/figures/fifth-phase-grid.tex new file mode 100644 index 0000000000000000000000000000000000000000..363582f0eec1dd4ddbd384cd8980069a025aa21d --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/figures/fifth-phase-grid.tex @@ -0,0 +1,39 @@ +\begin{figure}[tbp] +\centering +\begin{tikzpicture}[x=1.45cm,y=1cm,>=Stealth, + every node/.style={font=\small}] + \foreach \k in {0,...,5} { + \node (v\k) at (\k,1.1) {$V_{\k}$}; + } + \foreach \k in {0,...,4} { + \pgfmathtruncatemacro{\next}{\k+1} + \draw[->] (v\next.west) -- (v\k.east); + } + \draw[->] (v0.north) to[bend left=35] + node[above] {$\Phi$} (v2.north); + \draw[->] (v0.north) to[bend left=40] + node[above] {$[1]$} (v5.north); + \foreach \k in {0,...,4} { + \fill[blue!6] (\k,-0.05) rectangle (\k+1,0.4); + \node at (\k+0.5,0.175) {$\mathcal S_{\k}$}; + } + \draw (0,-0.05) -- (5,-0.05); + \foreach \k in {0,...,5} { + \draw (\k,0.4) -- (\k,-0.12); + } + \node[below] at (0,-0.12) {$0$}; + \foreach \k in {1,...,4} { + \node[below] at (\k,-0.12) {$\k/5$}; + } + \node[below] at (5,-0.12) {$1$}; + \node[below] at (2.5,-0.65) {charge phase}; +\end{tikzpicture} +\caption{The fifth-phase grid. Inclusion arrows point toward the larger +aisle. The autoequivalence $\Phi$ advances two indices, and the shift $[1]$ +advances five. A nonzero object of $\mathcal S_k$ has charge phase in the +closed interval $[k/5,(k+1)/5]$, by Proposition~\ref{prop:block-support}. +At a shared endpoint, generators from both adjacent blocks enter the +definition of the slicing. The diagram shows the unperturbed grid; +Proposition~\ref{prop:fine-grid} gives the independent-parameter nesting.} +\label{fig:fifth-phase-grid} +\end{figure} diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/paper.tex b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/paper.tex new file mode 100644 index 0000000000000000000000000000000000000000..47830d760c8519751a34bfded7405fc452b0f163 --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/paper.tex @@ -0,0 +1,61 @@ +\documentclass[11pt]{article} +\usepackage[T1]{fontenc} +\usepackage[utf8]{inputenc} +\usepackage{lmodern} +\usepackage[margin=1in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{enumitem} +\usepackage{microtype} +\usepackage{xcolor} +\usepackage{tikz} +\usetikzlibrary{arrows.meta} +\usepackage[unicode,colorlinks=true,linkcolor=blue!45!black,citecolor=blue!45!black,urlcolor=blue!45!black]{hyperref} +\numberwithin{equation}{section} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{definition} +\newtheorem{definition}[theorem]{Definition} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\newcommand{\C}{\mathbb C} +\newcommand{\R}{\mathbb R} +\newcommand{\Z}{\mathbb Z} +\newcommand{\Q}{\mathbb Q} +\newcommand{\D}{\mathcal D} +\newcommand{\OO}{\mathcal O} +\newcommand{\Db}{D^{\mathrm b}} +\newcommand{\Knum}{K_{\mathrm{num}}} +\newcommand{\norm}[1]{\left\lVert#1\right\rVert} +\DeclareMathOperator{\Coh}{Coh} +\DeclareMathOperator{\ch}{ch} +\DeclareMathOperator{\rk}{rk} +\DeclareMathOperator{\Hom}{Hom} +\DeclareMathOperator{\Ext}{Ext} +\DeclareMathOperator{\im}{im} +\renewcommand{\Re}{\operatorname{Re}} +\renewcommand{\Im}{\operatorname{Im}} +\setlist{itemsep=3pt,topsep=5pt} +\setlength{\emergencystretch}{1em} +\title{A Gepner stability condition on every smooth quintic threefold} +\author{OpenAI} +\date{September 24, 2026} +\hypersetup{pdftitle={A Gepner stability condition on every smooth quintic threefold},pdfauthor={OpenAI}} +\begin{document} +\maketitle +\begin{abstract} +We prove Toda's normalized quintic Gepner conjecture. On every smooth complex +quintic threefold, we construct a numerical Bridgeland stability condition for +which tensoring by the hyperplane bundle, followed by the spherical twist at +the structure sheaf, increases phase by $2/5$. +\end{abstract} +\input{sections/introduction} +\input{sections/numerical} +\input{sections/aisles} +\input{sections/grid} +\appendix +\input{sections/periodicity} +\bibliographystyle{plain} +\bibliography{references} +\end{document} diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/references.bib b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/references.bib new file mode 100644 index 0000000000000000000000000000000000000000..3a440b39c663815dec88c9005668e6f3468a880b --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/references.bib @@ -0,0 +1,212 @@ +@article{Bridgeland2007, + author = {Bridgeland, Tom}, + title = {Stability conditions on triangulated categories}, + journal = {Annals of Mathematics}, + series = {2}, + volume = {166}, + number = {2}, + year = {2007}, + pages = {317--345}, + doi = {10.4007/annals.2007.166.317}, + note = {\url{https://doi.org/10.4007/annals.2007.166.317}}, + url = {https://annals.math.princeton.edu/2007/166-2/p01} +} + +@article{HappelReitenSmalo1996, + author = {Happel, Dieter and Reiten, Idun and Smal{\o}, Sverre O.}, + title = {Tilting in abelian categories and quasitilted algebras}, + journal = {Memoirs of the American Mathematical Society}, + volume = {120}, + number = {575}, + pages = {viii+88}, + year = {1996}, + doi = {10.1090/memo/0575}, + note = {\url{https://doi.org/10.1090/memo/0575}}, + url = {https://doi.org/10.1090/memo/0575} +} + +@article{SeidelThomas2001, + author = {Seidel, Paul and Thomas, Richard P.}, + title = {Braid group actions on derived categories of coherent sheaves}, + journal = {Duke Mathematical Journal}, + volume = {108}, + number = {1}, + year = {2001}, + pages = {37--108}, + doi = {10.1215/S0012-7094-01-10812-0}, + note = {\url{https://doi.org/10.1215/S0012-7094-01-10812-0}}, + eprint = {math/0001043}, + archivePrefix = {arXiv}, + primaryClass = {math.AG}, + url = {https://arxiv.org/abs/math/0001043} +} + +@incollection{Orlov2009, + author = {Orlov, Dmitri}, + title = {Derived categories of coherent sheaves and triangulated categories of singularities}, + booktitle = {Algebra, Arithmetic, and Geometry: In Honor of {Yu. 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Version 1, 16 March 2004} +} + +@article{BorelSerre1958, + author = {Borel, Armand and Serre, Jean-Pierre}, + title = {Le th{\'e}or{\`e}me de {Riemann--Roch}}, + journal = {Bulletin de la Soci{\'e}t{\'e} Math{\'e}matique de France}, + volume = {86}, + year = {1958}, + pages = {97--136}, + note = {\url{https://www.numdam.org/item/BSMF_1958__86__97_0/}}, + url = {https://www.numdam.org/item/BSMF_1958__86__97_0/} +} + +@misc{Catanese2014, + author = {Catanese, Fabrizio}, + title = {Topological methods in moduli theory}, + year = {2014}, + eprint = {1411.3235v1}, + archivePrefix = {arXiv}, + primaryClass = {math.AG}, + url = {https://arxiv.org/abs/1411.3235v1}, + note = {\href{https://arxiv.org/abs/1411.3235v1}{arXiv:1411.3235v1}. Version 1} +} + diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/aisles.tex b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/aisles.tex new file mode 100644 index 0000000000000000000000000000000000000000..58b9c114ef47b68b2403f4cdf86202588e8be174 --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/aisles.tex @@ -0,0 +1,492 @@ +\section{A uniform family of double-tilt aisles} +\label{sec:aisles} + +Our goal is to construct bounded aisles $U_\eta$ for which +$\Phi U_\eta\subset U_\theta$ holds uniformly with independent parameters. +We begin with Toda's proposed two tilts for the quintic Gepner charge +\cite[Sections~3.4--3.6]{TodaQuintic2013}, and vary the second cut in two +numerical directions. The slope estimate below supplies the strict margins +that make the comparison survive these variations. +The two first-tilt slopes $-1/2$ and $1/2$ reflect the order of the factors +in $\Phi$: tensoring by $\OO_X(1)$ moves the first cut from $-1/2$ to +$1/2$, and the spherical twist will take the resulting aisle into one +constructed at $-1/2$. + +We first isolate the geometric input. Slope always means +$\mu(F)=c(F)/r(F)$ for a torsion-free sheaf of positive rank. We use +ordinary slope Harder--Narasimhan filtrations, writing $\mu^+(F)$ and +$\mu^-(F)$ for their largest and smallest slopes. For an arbitrary +sheaf, its torsion subsheaf is removed before these slopes are taken. + +\begin{lemma}[Slope input]\label{lem:slope-input} +Put +\[ + f(x)=\max\left\{-\frac{3x}{25},\ \frac{x}{2}-\frac7{25},\ + \frac{28x}{25}-\frac{31}{50}\right\} + \qquad(0\leq x\leq1). +\] +Every torsion-free slope-semistable sheaf $F$ on $X$ with +$|\mu(F)|\leq1$ satisfies +\begin{equation}\label{eq:slope-envelope} + \frac{d(F)}{r(F)}\leq f(|\mu(F)|). +\end{equation} +The estimate extends under integral twists by +$(x,y)\mapsto(x+n,y+nx+n^2/2)$. In particular, +$f(x)\leq0$ for $0\leq x\leq1/2$, and $f(1/2)=-3/100$. +\end{lemma} + +\begin{proof} +We use Xu's Theorem~1.3 \cite{Xu2026}. Its hypotheses are precisely a +smooth complex quintic threefold with its hyperplane polarization and a +torsion-free slope-semistable sheaf of slope in $[-1,1]$; its coordinates +$\mu_H$ and $\xi_H$ are our $c/r$ and $d/r$. On $[0,1/2]$ its upper +bound $g$ is +\[ +g(x)= +\begin{cases} +-x/2,&0\leq x\leq1/4,\\ +x/2-1/4,&1/4\leq x\leq5/13,\\ +-3x/20,&5/13\leq x\leq6/13,\\ +x/2-3/10,&6/13\leq x\leq1/2. +\end{cases} +\] +The first and third lines are at most $-3x/25$; the second is also at +most $-3x/25$ because $5/13<25/62$; and the last is at most +$x/2-7/25$. Thus $g\leq f$ on this half interval. The full upper +bound $g$ in Xu's theorem and the maximum $f$ both satisfy +\[ + h(1-x)=h(x)+\frac12-x. +\] +For $f$, this reflection exchanges the first and third affine pieces +and fixes the second. This proves the comparison on $[0,1]$, and the +theorem uses $|\mu|$ on the negative strip. + +For completeness, the symmetry is also compatible with the sheaf +operations used here. Twisting by $\OO_X(n)$ has the displayed effect +on $(x,y)$ and preserves slope semistability. If $F$ is not reflexive, +passing to $F^{**}$ preserves slope semistability and $r,c$, and only +increases $d$. For a reflexive sheaf on a smooth threefold the higher +sheaf Ext terms of its derived dual are supported in dimension zero, +so its ordinary dual has characters $(r,-c,d)$ through degree two and +is slope-semistable. The operations of dualizing and twisting by +$\OO_X(1)$ therefore give $(x,y)\mapsto(1-x,y+1/2-x)$ without changing +the validity of an upper bound. Finally the three defining lines are +nonpositive on $[0,1/2]$, and their maximum at $1/2$ is $-3/100$. +\end{proof} + +We use aisles in the convention $\D^{\leq0}$: they are closed under +$[1]$, and the heart of an aisle $V$ is $V\cap(V[1])^\perp$, where +$\perp$ denotes right Hom orthogonality. Recall explicitly the tilt +construction of Happel--Reiten--Smal\o\ \cite{HappelReitenSmalo1996}. +A torsion pair $(\mathcal T,\mathcal F)$ in the heart of +a bounded aisle $V$ gives the aisle +\begin{equation}\label{eq:aisle-tilt} + V^\sharp=\{E\in V:H^0_V(E)\in\mathcal T\},\qquad + \mathcal H^\sharp=\langle\mathcal F[1],\mathcal T\rangle, + \qquad V[1]\subset V^\sharp\subset V. +\end{equation} +Here and below angle brackets denote extension closure. To construct +the new truncation triangle, first truncate at zero for $V$, then take +the inverse image of the torsion subobject of its zeroth cohomology. +The remaining triangle has terms from $\mathcal F$ and the old positive +degrees. The old orthogonality and +$\Hom(\mathcal T,\mathcal F)=0$ give the required new orthogonality. +Shift closure and the two inclusions prove that this is a bounded +$t$-structure. The same truncations show conversely that an aisle +between $V[1]$ and $V$ gives a torsion pair in the heart of $V$. + +For $b\in\{-1/2,1/2\}$, let $\mathcal C_{\leq b}$ consist of zero +and the torsion-free sheaves with $\mu^+\leq b$, and let +$\mathcal C_{>b}$ consist of sheaves whose torsion-free quotient has +$\mu^->b$, together with all torsion sheaves. Ordinary slope +filtrations give the torsion pair +$(\mathcal C_{>b},\mathcal C_{\leq b})$ in $\Coh(X)$. Define the +first tilted heart and its aisle by +\[ + \mathcal B_b=\langle\mathcal C_{\leq b}[1],\mathcal C_{>b}\rangle, + \qquad W_b=\D^{\leq0}_{\mathcal B_b}, + \qquad p_b=c-br. +\] +On $\mathcal B_b$, $p_b$ takes values in $\frac12\Z_{\geq0}$, by +Lemma~\ref{lem:numerical}. For $E\in\mathcal B_b$, the equality +$p_b(E)=0$ holds exactly when $H^{-1}(E)$ is slope-semistable of slope +$b$ (or zero), and $H^0(E)$ has dimension at most one. This follows +by applying $p_b$ to the slope factors of the two cohomology sheaves: +each contribution is nonnegative, and a nonzero divisorial torsion +sheaf has positive $c$. + +\begin{lemma}\label{lem:first-tilt-noetherian} +The abelian categories $\mathcal B_{-1/2}$ and $\mathcal B_{1/2}$ are +noetherian. +\end{lemma} + +\begin{proof} +We give the rational first-tilt argument; compare +\cite[proof of Lemma~3.2.4]{BayerMacriToda2014}. +Consider epimorphisms $E_0\twoheadrightarrow E_1\twoheadrightarrow +E_2\twoheadrightarrow\cdots$ in $\mathcal B_b$, with kernels $K_i$ +for the individual arrows. The nonnegative discrete numbers +$p_b(E_i)$ eventually stabilize, so $p_b(K_i)=0$. The ordinary +cohomology sheaves $H^0(E_i)$ form a sequence of epimorphisms and +eventually stabilize, since $\Coh(X)$ is noetherian. The preceding +description of $K_i$ gives $r(K_i)\leq0$, hence the integers $r(E_i)$ +are nondecreasing. They are bounded above by the now fixed rank of +$H^0(E_i)$, so eventually $r(K_i)=0$. Each remaining $K_i$ is then an +ordinary sheaf of dimension at most one. + +The cohomology sequence now reads +\[ + 0\longrightarrow H^{-1}(E_i)\longrightarrow H^{-1}(E_{i+1}) + \longrightarrow K_i\longrightarrow0. +\] +These torsion-free sheaves agree in codimension one. Their injections +extend to isomorphisms of their reflexive hulls, so they form an +increasing chain of coherent subsheaves of a fixed reflexive sheaf. +That chain stabilizes, forcing $K_i=0$. Thus every such sequence of +epimorphisms stabilizes, as required. +\end{proof} + +The first tilted hearts are now available. We define the second cut and choose +constants for three uses: negativity at the slope boundary, exclusion of a +small neighboring slope strip, and a strict comparison between the two cuts. +At zero perturbation and $b=-1/2$, the cut is the imaginary part of the +normalized Gepner charge, as in Toda's candidate heart +\cite[Section~3.6]{TodaQuintic2013}. Fix +\begin{equation}\label{eq:aisle-parameters} + \begin{gathered} + \delta=10^{-5},\qquad s_0=\frac{553}{1000},\qquad + B_\delta=\{\eta=(\eta_0,\eta_1)\in\R^2:|\eta_j|<\delta\},\\ + N_b^\eta=d-bc+ur+\eta_1c+\eta_0r. + \end{gathered} +\end{equation} +The following exact margins will be useful: +\begin{align} + m_b&=\frac7{25}-u-\frac32\delta>0,\label{eq:boundary-margin}\\ + m_s&=\frac{13857}{50000}-u-(1+s_0)\delta>0, + \label{eq:strip-margin}\\ + m_c&=\frac12-\frac{u}{s_0}-3\delta>0.\label{eq:comparison-margin} +\end{align} +For example, $\sqrt5>223606/100000$ implies +$u<138197/500000$, and gives respectively the positive lower bounds +$3591/10^6$, $73047/10^8$, and $8941/55300000$ for these three +expressions. On a slope-semistable sheaf $F$ of slope $b$, +Lemma~\ref{lem:slope-input} gives +\begin{equation}\label{eq:boundary-negative} + \frac{N_b^\eta(F)}{r(F)} + \leq -\frac3{100}-\frac14+u+\frac32\delta=-m_b<0. +\end{equation} +Consequently $N_b^\eta\geq0$ on the $p_b=0$ objects of $\mathcal B_b$; +equality holds precisely for zero-dimensional sheaves, including zero. +Indeed their degree-minus-one part contributes strictly positively +unless it vanishes, while a sheaf of dimension at most one has +$N_b^\eta=d\geq0$, with equality exactly in dimension zero. + +Call a nonzero object of $\mathcal B_b$ \emph{high} if $p_b=0$ or +$N_b^\eta>0$, and \emph{low} otherwise. Thus low means $p_b>0$ and +$N_b^\eta\leq0$. Set +\[ +\begin{split} + \mathcal T_b^\eta&=\{E:\text{every nonzero quotient of $E$ in + $\mathcal B_b$ is high}\},\\ + \mathcal F_b^\eta&=\{E:\text{every nonzero subobject of $E$ in + $\mathcal B_b$ is low}\}. +\end{split} +\] + +\begin{lemma}[The second tilt]\label{lem:second-tilt} +For every $b=\pm1/2$ and $\eta\in B_\delta$, the pair +$(\mathcal T_b^\eta,\mathcal F_b^\eta)$ is a torsion pair. Its tilt +has bounded heart and aisle +\[ + \mathcal A_b^\eta=\langle\mathcal F_b^\eta[1],\mathcal T_b^\eta\rangle, + \qquad \mathcal U_b^\eta + =\{E\in W_b:H^0_{\mathcal B_b}(E)\in\mathcal T_b^\eta\}. +\] +On $\mathcal A_b^\eta$ one has $N_b^\eta\geq0$, and no nonzero object +of this heart has zero numerical class. +\end{lemma} + +\begin{proof} +High objects are closed under extensions: if one end term has positive +$N_b^\eta$, so does the extension, and otherwise both have $p_b=0$. +It follows, by taking the induced filtration on a quotient, that +$\mathcal T_b^\eta$ is closed under quotients and extensions. + +If an object has a high subobject, choose such a nonzero subobject $A$ +with $p_b(A)$ minimal. When $p_b(A)=0$, all its quotients have +$p_b=0$. Otherwise $N_b^\eta(A)>0$, and a low quotient $Q$ would +have $p_b(Q)>0$ and $N_b^\eta(Q)\leq0$. Its kernel would then be a +high subobject with strictly smaller $p_b$, a contradiction. Thus +$A\in\mathcal T_b^\eta$ in either case. + +By Lemma~\ref{lem:first-tilt-noetherian}, every object has a maximal +$\mathcal T_b^\eta$ subobject; sums of such subobjects again belong to +$\mathcal T_b^\eta$, so maximality has its usual torsion meaning. The +quotient has no high subobject, since such a subobject would contain +a nonzero member of $\mathcal T_b^\eta$ by the preceding paragraph, +and its inverse image would enlarge the maximal torsion subobject. +The quotient therefore lies in $\mathcal F_b^\eta$. Finally a +nonzero image of a map from $\mathcal T_b^\eta$ to +$\mathcal F_b^\eta$ would be both high and low. This proves the +torsion pair, and \eqref{eq:aisle-tilt} gives boundedness. + +Write an object of the new heart as an extension of $T$ by $F[1]$, +where $T\in\mathcal T_b^\eta$ and $F\in\mathcal F_b^\eta$. Then +$N_b^\eta(T)\geq0$ and $N_b^\eta(F)\leq0$, proving nonnegativity. +If $N_b^\eta(E)=0$, both terms have $N_b^\eta=0$. Since $T$ itself +is high when nonzero, this forces $p_b(T)=0$, hence $T$ is +zero-dimensional. If $F\ne0$, then $p_b(F)>0$ and +$p_b(E)=-p_b(F)<0$. Thus $[E]=0$ would force $F=0$; it would then +force $T=0$, since $e(T)=\operatorname{length}(T)/5$. This proves +the last assertion. +\end{proof} + +We next compare the two slope cuts with independent parameters. +Subscripts $-$ and $+$ mean $b=-1/2$ and $b=1/2$, respectively. + +\begin{lemma}\label{lem:compare-slope-cuts} +For every $\alpha,\theta\in B_\delta$, +\[ + \mathcal U_+^\alpha\subset\mathcal U_-^\theta. +\] +\end{lemma} + +\begin{proof} +Let $\mathcal M$ be the ordinary torsion-free sheaves all of whose +slopes lie in $(-1/2,1/2]$, and let +\[ + \mathcal L=\langle\mathcal C_{\leq-1/2}[1],\mathcal C_{>1/2}\rangle + =\mathcal B_-\cap\mathcal B_+. +\] +To see the torsion pair $(\mathcal L,\mathcal M)$ in $\mathcal B_-$, +take $E\in\mathcal B_-$ and let $M_E$ be the quotient of $H^0(E)$ +obtained by removing its torsion and its slope factors above $1/2$. +Then $M_E\in\mathcal M$. The kernel of $E\to M_E$ in +$\mathcal B_-$ has degree-minus-one cohomology $H^{-1}(E)$ and +degree-zero cohomology in $\mathcal C_{>1/2}$, so it lies in +$\mathcal L$. The slope vanishing and the ordinary cohomological +degrees give $\Hom(\mathcal L,\mathcal M)=0$. +Tilting this torsion pair gives +$\mathcal B_+=\langle\mathcal M[1],\mathcal L\rangle$; in +$\mathcal B_+$ the corresponding torsion pair is +$(\mathcal M[1],\mathcal L)$. In particular +$W_-[1]\subset W_+\subset W_-$, and +$W_+[1]\subset W_-[1]\subset\mathcal U_-^\theta$. +It suffices to prove +\begin{equation}\label{eq:comparison-hom} + \Hom(\mathcal T_+^\alpha,\mathcal F_-^\theta)=0. +\end{equation} +Indeed an object $E\in W_-$ has maps to a member of +$\mathcal F_-^\theta$ exactly through $H^0_{\mathcal B_-}(E)$; +vanishing of all such maps puts this cohomology object in +$\mathcal T_-^\theta$. Equation~\eqref{eq:comparison-hom} therefore +puts $\mathcal T_+^\alpha$ in $\mathcal U_-^\theta$, and the preceding +inclusion handles the negative $\mathcal B_+$ degrees. + +Suppose there is a nonzero map $E\to G$ with +$E\in\mathcal T_+^\alpha$ and $G\in\mathcal F_-^\theta$. +Its source decomposes in $\mathcal B_+$ as +$0\to M_E[1]\to E\to E_0\to0$, with $E_0\in\mathcal L$. +Because $\Hom(\mathcal M[1],\mathcal B_-)=0$, the map factors through +$E_0$, which is still in $\mathcal T_+^\alpha$. The +$(\mathcal L,\mathcal M)$ decomposition of $G$ in $\mathcal B_-$ +then factors it through a subobject $G_0\in\mathcal L$ of $G$, since +$\Hom(\mathcal L,\mathcal M)=0$. + +Take the kernel $K$ and the nonzero image $Q$ of $E_0\to G_0$ in +$\mathcal B_-$. Let $K_{\mathcal L}$ be the $\mathcal L$ torsion +part of $K$, and put $U'=E_0/K_{\mathcal L}$ in $\mathcal B_-$. +The quotient closure of $\mathcal L$ gives $Q,U'\in\mathcal L$. +All three terms of +$K_{\mathcal L}\to E_0\to U'$ belong to both hearts, so its triangle +is short exact in $\mathcal B_+$ as well. Thus $U'$ remains a +quotient of $E$ in $\mathcal B_+$, and we have +\begin{equation}\label{eq:common-heart-sequence} + 0\longrightarrow S\longrightarrow U'\longrightarrow Q\longrightarrow0 + \quad\text{in }\mathcal B_-,\qquad + S=K/K_{\mathcal L}\in\mathcal M, + \quad U'\in\mathcal T_+^\alpha, + \quad 0\ne Q\in\mathcal F_-^\theta. +\end{equation} +We use the sequence~\eqref{eq:common-heart-sequence} only as a short exact +sequence in $\mathcal B_-$; its term $S$ +need not belong to $\mathcal B_+$. + +We now use the slope envelope to exclude factors close to the two slope +boundaries. The resulting rank bounds will contradict the opposite signs of +the two cut forms on $U'$ and $Q$. + +Directly from the three affine functions defining $f$, +\begin{equation}\label{eq:strip-test} + \max_{1/2\leq s\leq s_0}\bigl(f(s)-s/2+u\bigr) + =u-\frac{13857}{50000}. +\end{equation} +The perturbation error on a slope $\pm s$ is at most +$(1+s_0)\delta$, so \eqref{eq:strip-margin} makes the relevant +sheaf value of $N_-$ on $[-s_0,-1/2]$, or of $N_+$ on +$[1/2,s_0]$, strictly negative. + +Write $A=H^{-1}(Q)$. If $A\ne0$, its top slope factor $A_1$ +is a saturated subsheaf and $A/A_1\in\mathcal C_{\leq-1/2}$. +Consequently $A_1[1]$ is a subobject of $A[1]$, and then of $Q$, in +$\mathcal B_-$. If $\mu(A_1)\in[-s_0,-1/2]$, the preceding +negative sheaf value makes $A_1[1]$ high, contradicting +$Q\in\mathcal F_-^\theta$. Thus $\mu^+(A)<-s_0$. + +For $U'$, put $A'=H^{-1}(U')$ and $D'=H^0(U')$. +If $D'$ has positive rank, remove its ordinary torsion subsheaf and +take its bottom positive-rank slope quotient $G'$. The kernel of +$D'\to G'$ consists of that torsion and the other slope factors, +all of slope $>1/2$; this sequence is therefore exact in +$\mathcal B_+$. The ordinary cohomology sequence also makes $D'$ +a $\mathcal B_+$ quotient of $U'$, so $G'$ is such a quotient. +A slope $\mu(G')\in(1/2,s_0]$ would give +$p_+(G')>0$, $N_+^\alpha(G')<0$, contradicting +$U'\in\mathcal T_+^\alpha$. Every positive-rank slope of $D'$ +therefore exceeds $s_0$. + +For any $L\in\mathcal L$, its two ordinary cohomology sheaves give +\begin{equation}\label{eq:overlap-rank-bound} + c(L)\geq\frac12\bigl(r(H^{-1}(L))+r(H^0(L))\bigr) + \geq\frac12|r(L)|. +\end{equation} +Divisorial torsion contributes nonnegative $c$, and torsion in lower +dimension contributes zero. The stronger slope conclusions just +proved similarly give +\begin{equation}\label{eq:two-slope-tests} + c(Q)\geq-s_0r(Q),\qquad c(U')\geq s_0r(U'). +\end{equation} +More explicitly, with $D=H^0(Q)$ the estimates are +\[ + \begin{split} + c(Q)&\geq s_0r(A)+\tfrac12r(D)\geq-s_0r(Q),\\ + c(U')&\geq\tfrac12r(A')+s_0r(D')\geq s_0r(U'). + \end{split} +\] +They include torsion cohomology sheaves: their ranks are zero and +their contributions to $c$ are nonnegative. Also $d(S)\leq0$, by applying +Lemma~\ref{lem:slope-input} to the ordinary slope factors of $S$. + +Set $C=c(Q)+c(U')$. By \eqref{eq:overlap-rank-bound}, $C\geq0$. +If $C=0$, then $c(Q)=r(Q)=0$, so $p_-(Q)=0$, impossible for a +nonzero member of $\mathcal F_-^\theta$. Hence $C>0$; and +\eqref{eq:two-slope-tests} together with +\eqref{eq:common-heart-sequence} gives $C\geq s_0r(S)$. +By additivity, +\begin{align*} + N_-^\theta(Q)-N_+^\alpha(U') + &=\frac12 C-u r(S)-d(S) + +\theta_1c(Q)+\theta_0r(Q)-\alpha_1c(U')-\alpha_0r(U')\\ + &\geq \left(\frac12-\frac{u}{s_0}-3\delta\right)C-d(S)>0. +\end{align*} +Here the absolute value of the last four terms is at most $3\delta C$ +by \eqref{eq:overlap-rank-bound}; this applies even when a derived +rank is negative. The strict sign is \eqref{eq:comparison-margin}. +But $N_-^\theta(Q)\leq0\leq N_+^\alpha(U')$, a contradiction. +This proves \eqref{eq:comparison-hom} and the aisle inclusion. +\end{proof} + +\begin{lemma}\label{lem:twist-aisle} +For all $\alpha,\theta\in B_\delta$, +\[ + \OO_X\in\mathcal A_-^\theta,\qquad + \OO_X[2]\in\mathcal A_+^\alpha,\qquad + T_{\OO_X}(\mathcal U_+^\alpha)\subset\mathcal U_-^\theta. +\] +\end{lemma} + +\begin{proof} +The object $\OO_X\in\mathcal B_-$ has the smallest positive value +$p_-=1/2$ and $N_-^\theta=u+\theta_0>0$. +It has no nonzero subobject of $p_-=0$: a $p_-=0$ object is an +extension of a sheaf of dimension at most one by $F[1]$ of slope +$-1/2$, and both have zero Hom to $\OO_X$. +Any nonzero low quotient of $\OO_X$ would have $p_-=1/2$, leaving +a kernel of $p_-=0$; that kernel must vanish, contradicting that +$\OO_X$ is high. Hence $\OO_X\in\mathcal T_-^\theta$. + +Similarly $\OO_X[1]\in\mathcal B_+$ has $p_+=1/2$ and +$N_+^\alpha=-u-\alpha_0<0$. A $p_+=0$ object has no map to it: +for its slope-$1/2$ part this is +$\Hom(F[1],\OO_X[1])=\Hom(F,\OO_X)=0$, and for its +dimension-at-most-one part $T$ it follows from +\[ + \Ext^1(T,\OO_X)=H^2(X,T)^*=0. +\] +Here we use Serre duality and $K_X\simeq\OO_X$. Every nonzero +subobject $A$ of $\OO_X[1]$ therefore has $p_+(A)=1/2$, and its +quotient $Q$ has $p_+(Q)=0$. Hence +$N_+^\alpha(A)=N_+^\alpha(\OO_X[1])-N_+^\alpha(Q)<0$. +This proves $\OO_X[1]\in\mathcal F_+^\alpha$, and thus +$\OO_X[2]\in\mathcal A_+^\alpha$. + +For $B\in\mathcal U_+^\alpha$ and $j\geq2$, Serre duality and +the heart orthogonality give +\[ + \Ext^j(\OO_X,B) + =\Hom(B[j-1],\OO_X[2])^*=0, +\] +since $B[j-1]\in\mathcal U_+^\alpha[1]$. +Lemma~\ref{lem:compare-slope-cuts} puts $B$ in +$\mathcal U_-^\theta$. In the twist triangle +\[ + B\longrightarrow T_{\OO_X}(B)\longrightarrow + \operatorname{RHom}(\OO_X,B)\otimes\OO_X[1]\longrightarrow B[1], +\] +the third term is a finite direct sum of copies of +$\OO_X[1-j]$ with $j\leq1$, because bounded complexes of +finite-dimensional vector spaces split into their cohomology. +All these terms lie in $\mathcal U_-^\theta$. Extension closure +therefore gives the claimed twist inclusion. +\end{proof} + +\begin{proposition}[Uniform independent-parameter inclusion] +\label{prop:uniform-aisle} +There is a fixed open square +\begin{equation}\label{eq:fixed-omega} + \Omega=\{\eta=(\eta_0,\eta_1):|\eta_0|,|\eta_1|<5\cdot10^{-6}\} +\end{equation} +and bounded aisles $U_\eta=\mathcal U_-^\eta$, with hearts +$\mathcal A_\eta=U_\eta\cap(U_\eta[1])^\perp$, such that +\begin{equation}\label{eq:uniform-aisle} + \Phi U_\eta\subset U_\theta + \qquad(\eta,\theta\in\Omega). +\end{equation} +Moreover +\begin{equation}\label{eq:perturbed-positive-form} + N_\eta=d+\frac12c+ur+\eta_1c+\eta_0r\geq0 + \quad\text{on }\mathcal A_\eta, + \qquad N_0=\frac{\Im Z}{5t_0}, +\end{equation} +and no nonzero object of any $\mathcal A_\eta$ has zero numerical +class. The two parameters in \eqref{eq:uniform-aisle} vary +independently throughout this same square. +\end{proposition} + +\begin{proof} +Tensoring by $\OO_X(1)$ takes $\mathcal B_-$ to $\mathcal B_+$ +and preserves the $p$ test. Its effect on the other test is +\[ + N_+^\alpha(E(1))=N_-^\eta(E) + \quad\text{when}\quad + \alpha_1=\eta_1,\qquad\alpha_0=\eta_0-\eta_1. +\] +Thus it takes the second torsion pair and aisle to those with this +parameter $\alpha$. If $\eta\in\Omega$, then $\alpha\in B_\delta$; +also $\theta\in\Omega$ implies $\theta\in B_\delta$. +Lemma~\ref{lem:twist-aisle} now gives +\[ + \Phi U_\eta=T_{\OO_X}\bigl(\mathcal U_+^\alpha\bigr) + \subset U_\theta. +\] +The remaining assertions are Lemma~\ref{lem:second-tilt} and +\eqref{eq:imaginary-charge}. + +The parameter shear was used once, in proving this inclusion for +the original family. In particular, applying any power $\Phi^i$ +to \eqref{eq:uniform-aisle} gives +$\Phi^{i+1}U_\eta\subset\Phi^iU_\theta$ with the same +$\eta,\theta\in\Omega$; it performs no further shear and requires +no further shrinkage. Negative powers are allowed by +Lemma~\ref{lem:periodicity}. +\end{proof} diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/grid.tex b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/grid.tex new file mode 100644 index 0000000000000000000000000000000000000000..f7333196e763ed551f77fb2fa9b650ae7e5aa9f0 --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/grid.tex @@ -0,0 +1,647 @@ +\section{From uniform aisle inclusions to a slicing} +\label{sec:grid} + +We now use the bounded aisles $U_\eta$ and their hearts +$\mathcal A_\eta$ constructed above. The parameter $\eta=(\eta_0,\eta_1)$ +ranges over the fixed open square $\Omega$ of +Proposition~\ref{prop:uniform-aisle}, and $0\in\Omega$. The inputs to this +section are +\begin{equation}\label{eq:grid-inputs} + \begin{gathered} + \Phi U_\eta\subset U_\theta + \quad(\eta,\theta\in\Omega),\\ + N_\eta=d+\tfrac12c+ur+\eta_1c+\eta_0r\ge0 + \quad\text{on }\mathcal A_\eta, + \end{gathered} +\end{equation} +the absence of nonzero objects of zero numerical class in these hearts, +and Lemma~\ref{lem:periodicity}, Lemma~\ref{lem:numerical}, and +Proposition~\ref{prop:central-charge}. In particular, throughout this +section $\Phi$ is an autoequivalence, $\Phi^5\simeq[2]$, and +$Z\Phi=e^{2\pi i/5}Z$. All extension closures below mean finite extension +closures, contain zero, and are strictly full subcategories of $\D$. +For a subcategory $\mathcal C$, write +$\mathcal C^\perp=\{E:\Hom(C,E)=0\text{ for all }C\in\mathcal C\}$; +the left orthogonal ${}^\perp\mathcal C$ is defined similarly. + +The decisive use of the perturbations is twofold. Simultaneous positivity +in fixed middle hearts improves the coarse nesting to a grid with spacing +$1/5$. Positivity in every perturbed preceding heart then bounds the full +numerical class of each grid block by its charge. + +\subsection{The finer grid} + +Put $D_i^\eta=\Phi^iU_\eta$ for $i\in\Z$. The hypotheses give +\begin{equation}\label{eq:coarse-grid} + D_{i+1}^\eta\subset D_i^\theta\quad + (i\in\Z,\ \eta,\theta\in\Omega),\qquad + D_{i+5}^\eta=D_i^\eta[2]. +\end{equation} +All successive inclusions allow independent parameter choices. +The charge rotation suggests how to insert a fifth-step between these +coarse cuts: $\Phi^3[-1]$ multiplies $Z$ by $e^{i\pi/5}$. +For its translates to give nested aisles, we need +$\Phi^3U_\alpha[-1]\subset U_\beta$, or equivalently +$D_3^\alpha\subset D_0^\beta[1]$. The next proposition proves this +inclusion before any slicing or semistable phase is defined. + +\begin{proposition}[Uniform refinement of the grid]\label{prop:fine-grid} +There is an open square $\Omega_1$ about zero, contained in $\Omega$, such +that +\begin{equation}\label{eq:single-shift-inclusion} + D_3^\alpha\subset D_0^\beta[1] + \qquad(\alpha,\beta\in\Omega_1). +\end{equation} +For $k\in\Z$ and $\eta\in\Omega_1$, define +\begin{equation}\label{eq:fifths-aisles} + V_k^\eta=\Phi^mU_\eta[j],\qquad k=2m+5j. +\end{equation} +This is independent of the integers $m,j$ chosen, and these bounded aisles +satisfy +\begin{equation}\label{eq:fifths-nesting} + \begin{gathered} + V_{k+1}^\alpha\subset V_k^\beta,\qquad + V_{k+5}^\eta=V_k^\eta[1],\qquad + \Phi V_k^\eta=V_{k+2}^\eta,\\ + k\in\Z,\quad \alpha,\beta,\eta\in\Omega_1. + \end{gathered} +\end{equation} +\end{proposition} + +\begin{proof} +For $\alpha,\beta\in\Omega$, consider +\[ + \mathcal I_{\alpha,\beta} + =D_3^\alpha\cap(D_0^\beta[1])^\perp. +\] +Every object of this intersection belongs to the hearts of $D_0^\beta$ +and $D_3^\alpha$. More strongly, for every $\gamma\in\Omega$ and +$i\in\{1,2\}$, \eqref{eq:coarse-grid} gives +\[ + D_3^\alpha\subset D_i^\gamma\subset D_0^\beta, + \qquad D_i^\gamma[1]\subset D_0^\beta[1]. +\] +The first inclusion gives aisle membership, and the second gives the +orthogonal membership. Thus the same object lies in the heart of +$D_i^\gamma$ for every $\gamma$ in the original fixed square $\Omega$. +This square is independent of the endpoints $\alpha,\beta$ and of the +object. + +Fix a Euclidean norm on $\Knum(X)_\R$. Suppose there were nonzero +objects $E_n\in\mathcal I_{\alpha_n,\beta_n}$ with +$\alpha_n,\beta_n\longrightarrow0$. The endpoint heart has no nonzero +zero-class object, so +$v_n=[E_n]/\norm{[E_n]}$ is defined. After a subsequence it tends to a +unit vector $v$. Heart positivity at the two endpoints, and at the +unperturbed middle hearts, gives in the limit +\begin{equation}\label{eq:four-halfplanes} + \Im\bigl(e^{-2\pi i q/5}Z(v)\bigr)\ge0 + \qquad(q=0,1,2,3). +\end{equation} +These four inequalities force $Z(v)=0$. Indeed, if $Z(v)\ne0$, choose its +argument $\vartheta\in[0,2\pi)$. The first three inequalities force +$\vartheta\in[4\pi/5,\pi]$, whereas the fourth forces +$\vartheta\in[0,\pi/5]\cup[6\pi/5,2\pi)$, which is impossible. + +Now fix any $\gamma\in\Omega$. The middle-heart inequality at index one +holds for every $n$, so the same convergent subsequence satisfies +\[ + N_\gamma(\Phi_*^{-1}v)\ge0. +\] +Since $\gamma$ was arbitrary, this holds simultaneously for all +$\gamma\in\Omega$; there is no further subsequence or shrinking of the +middle parameter set. Write $w=\Phi_*^{-1}v$. The eigencharge identity +and \eqref{eq:imaginary-charge} give $Z(w)=N_0(w)=0$. Varying +$\gamma_0,\gamma_1$ with both signs in $\Omega$ now gives +$r(w)=c(w)=0$. The real-linear independence of the $d,e$ coefficients +of $Z$ gives $d(w)=e(w)=0$. This contradicts $\norm{v}=1$. + +Consequently some square $\Omega_1$ about zero has +$\mathcal I_{\alpha,\beta}=0$ for every pair +$\alpha,\beta\in\Omega_1$: otherwise choose counterexamples with both +parameters within distance $1/n$ of zero. To deduce +\eqref{eq:single-shift-inclusion}, let $E\in D_3^\alpha$ and truncate in +the bounded t-structure with aisle $D_0^\beta$: +\[ + A\longrightarrow E\longrightarrow H^0_{D_0^\beta}(E) + \longrightarrow A[1],\qquad A\in D_0^\beta[1]. +\] +Here $E\in D_0^\beta$, and +$A[1]\in D_0^\beta[2]=D_5^\beta\subset D_3^\alpha$. +Extension closure therefore puts the zeroth cohomology in +$D_3^\alpha\cap(D_0^\beta[1])^\perp=0$. Hence $E\in D_0^\beta[1]$. + +Every integer is $2m+5j$. Two such representations differ by +$(m,j)\mapsto(m+5t,j-2t)$, so $\Phi^5\simeq[2]$ proves that +\eqref{eq:fifths-aisles} is well defined. Since +$V_1^\alpha=\Phi^3U_\alpha[-1]\subset U_\beta=V_0^\beta$, +transport by $\Phi^m[j]$ proves the first assertion of +\eqref{eq:fifths-nesting} for all $k$. Its other assertions follow +directly from the definition. +\end{proof} + +From now on $V_k=V_k^0$. Define the heart and the block +\begin{equation}\label{eq:block-definitions} + \mathcal H_k=V_k\cap V_{k+5}^\perp, + \qquad \mathcal S_k=V_k\cap V_{k+1}^\perp. +\end{equation} +The first is a bounded heart because $V_{k+5}=V_k[1]$. + +\begin{lemma}[Block filtrations]\label{lem:block-filtrations} +The blocks are extension closed, and +$\Hom(\mathcal S_j,\mathcal S_k)=0$ whenever $j>k$. +Every object has a finite triangle filtration with nonzero factors in +blocks of strictly decreasing indices. In $\mathcal H_k$ there is a +torsion pair +\begin{equation}\label{eq:block-torsion-pair} + \begin{aligned} + \mathcal T_k=V_{k+1}\cap\mathcal H_k + &=\langle\mathcal S_{k+4},\mathcal S_{k+3}, + \mathcal S_{k+2},\mathcal S_{k+1}\rangle,\\ + \mathcal F_k&=\mathcal S_k. + \end{aligned} +\end{equation} +In particular, $\mathcal S_k$ is closed under subobjects in $\mathcal H_k$. +\end{lemma} + +\begin{proof} +Extension closure follows from \eqref{eq:block-definitions}. If $j>k$, +then $\mathcal S_j\subset V_j\subset V_{k+1}$ and +$\mathcal S_k\subset V_{k+1}^\perp$, proving the Hom vanishing. +Boundedness and $V_{k+5}=V_k[1]$ put any object $E$ in +$V_l\cap V_h^\perp$ for some integers $l0$ +such that, for every $k\in\Z$ and every nonzero $E\in\mathcal S_k$, +\begin{equation}\label{eq:block-support} + \begin{gathered} + Z(E)\in\{t e^{i\pi\varphi}:t>0,\ k/5\le\varphi\le(k+1)/5\},\\ + \norm{[E]}\le C|Z(E)|. + \end{gathered} +\end{equation} +\end{proposition} + +\begin{proof} +For $k=2m+5j$, the functor $\Phi^{-m}[-j]$ takes $\mathcal H_k$ to +$\mathcal A_0$ and multiplies its charge by $e^{-i\pi k/5}$. Positivity +therefore gives $\Im(e^{-i\pi k/5}Z(E))\ge0$ on $\mathcal H_k$. +An object $E\in\mathcal S_k$ belongs both to $\mathcal H_k$ and to +\[ + \mathcal H_{k+1}[-1] + =V_{k-4}\cap V_{k+1}^\perp. +\] +The two tests are consequently +\[ + \Im(e^{-i\pi k/5}Z(E))\ge0,\qquad + \Im(e^{-i\pi(k+1)/5}Z(E))\le0. +\] +Their intersection is the closed sector in \eqref{eq:block-support}, +together with the origin. + +Choose $\varepsilon>0$ such that the closed square +$[-\varepsilon,\varepsilon]^2$ is contained in $\Omega_1$. +For every $\eta$ in this square, independent-parameter nesting gives +\[ + V_k\subset V_{k-1}^\eta, + \qquad V_{k-1}^\eta[1]=V_{k+4}^\eta\subset V_{k+1}. +\] +Thus $E$ belongs to the heart of $V_{k-1}^\eta$ for every such $\eta$: +the second inclusion supplies exactly its required right orthogonality. +Write $k-1=2m+5j$, and set $w=[\Phi^{-m}E[-j]]$. This is the class of an +actual object of $\mathcal A_\eta$ for every parameter under consideration, +including the shift in this formula. Hence +\[ + N_0(w)+\eta_1c(w)+\eta_0r(w)\ge0 + \quad\text{for all }|\eta_0|,|\eta_1|\le\varepsilon. +\] +Choosing the two signs independently proves +\begin{equation}\label{eq:perturbed-support} + \varepsilon\bigl(|r(w)|+|c(w)|\bigr) + \le N_0(w)=\frac{\Im Z(w)}{5t_0} + \le\frac{|Z(E)|}{5t_0}. +\end{equation} +The invertible real coordinate map +$w\mapsto(r(w),c(w),\Re Z(w),\Im Z(w))$, established in +\eqref{eq:numerical-norm-control}, now bounds $\norm{w}$ by a constant +times $|Z(E)|$. Explicitly, +$d(w)=\Im Z(w)/(5t_0)-c(w)/2-ur(w)$, and then the real part of +\eqref{eq:central-charge} recovers $e(w)$. + +We can choose $m\in\{0,1,2,3,4\}$ according to $k-1$ modulo five. +There are therefore only five norm-conversion operators $\Phi_*^m$; +the arbitrary shift $j$ only changes the sign of a numerical class. +Taking the maximum of their operator norms gives one $C$ for every $k$. +If $Z(E)=0$, the estimate gives $w=0$. The object +$\Phi^{-m}E[-j]$ belongs to $\mathcal A_0$, so +Lemma~\ref{lem:second-tilt} forces $\Phi^{-m}E[-j]=0$ and hence $E=0$. +This excludes the origin for a nonzero block object and completes the proof. +\end{proof} + +\subsection{Finite refinement inside a block} + +The support estimate is now in place. We use it with the discreteness of the +full numerical lattice to obtain maximal phases and a bound on the length of +refinement; no discreteness of the charge image is needed. + +Fix $k$, and put $a=k/5$, $b=(k+1)/5$. +Each nonzero $E\in\mathcal S_k$ has a unique phase +$\varphi_k(E)\in[a,b]$ with $Z(E)=|Z(E)|e^{i\pi\varphi_k(E)}$. +A subobject $F\subset E$ in $\mathcal H_k$ is called \emph{saturated in +the block} if $E/F\in\mathcal S_k$. Its source already belongs to +$\mathcal S_k$ by Lemma~\ref{lem:block-filtrations}. We call $E$ +\emph{block-semistable} if +\[ + \varphi_k(F)\le\varphi_k(E) + \quad\text{for every nonzero subobject saturated in the block.} +\] +The whole object is allowed as such a subobject. + +\begin{lemma}[Finite block refinement]\label{lem:block-hn} +Every nonzero object of $\mathcal S_k$ has a finite filtration by short +exact sequences in $\mathcal H_k$, with all intermediate quotients in +$\mathcal S_k$, whose nonzero factors are block-semistable with strictly +decreasing phases. +\end{lemma} + +\begin{proof} +Let $\ell>0$ be a lower bound for the norms of nonzero elements of the +full numerical lattice, supplied by Lemma~\ref{lem:numerical}, and define +\[ + q_k(z)=\Re\bigl(e^{-i\pi(a+b)/2}z\bigr),\qquad + d_* =\frac{\ell\cos(\pi/10)}{C}>0. +\] +For every nonzero block object, Proposition~\ref{prop:block-support} +implies +\begin{equation}\label{eq:block-mass} + q_k(Z(E))\ge\cos(\pi/10)|Z(E)|\ge d_*. +\end{equation} +This projection is additive in short exact sequences. Hence every +filtration of a fixed $E$ with nonzero block factors has length at most +$q_k(Z(E))/d_*$. + +If $F\subset E$ is saturated in the block, then both $F$ and $E/F$ are +block objects. Their projections are nonnegative, so +\[ + \norm{[F]}\le C|Z(F)| + \le \frac{C}{\cos(\pi/10)}q_k(Z(F)) + \le \frac{C}{\cos(\pi/10)}q_k(Z(E)). +\] +Only finitely many lattice classes, and therefore only finitely many +charges and phases, can occur for such $F$. Choose a nonzero saturated +subobject $F\subset E$ of maximal phase, and among those of maximal +$|Z(F)|$. These maxima concern finite sets of numerical values; no +finiteness of the set of subobjects is needed. + +This $F$ is block-semistable. Indeed, a saturated subobject of $F$ is +saturated in $E$, since the resulting quotient of $E$ is an extension of +two objects of $\mathcal S_k$. If $G\subset E/F$ is a nonzero saturated +subobject, its preimage $\widetilde G\subset E$ is also saturated and is +an extension of $G$ by $F$. Charges in a sector of width less than $\pi$ +have the elementary strict see-saw property: the argument of their sum +is strictly between their arguments when those arguments differ, and +their magnitudes add when they agree. Thus +$\varphi_k(G)>\varphi_k(F)$ contradicts maximal phase of $F$ by using +$\widetilde G$; equality contradicts maximal magnitude. Every such $G$ +therefore has phase strictly less than $\varphi_k(F)$. + +Apply the same selection to the nonzero quotient $E/F$, if there is one, +and continue. Preimages give a filtration in the original heart with all +factors and intermediate quotients in the block. The phases strictly +decrease by the preceding argument, and \eqref{eq:block-mass} bounds the +number of nonzero factors, so the process terminates. +\end{proof} + +\begin{lemma}[The unsaturated test and Hom vanishing] +\label{lem:block-hom} +If $E\in\mathcal S_k$ is block-semistable, then every nonzero subobject +$G\subset E$ in $\mathcal H_k$ satisfies +$\varphi_k(G)\le\varphi_k(E)$, without a saturation assumption. +Consequently, for block-semistable $E,F\in\mathcal S_k$, +\[ + \varphi_k(E)>\varphi_k(F)\quad\Longrightarrow\quad\Hom(E,F)=0. +\] +\end{lemma} + +\begin{proof} +Suppose $G\subset E$ violates the stated inequality. Decompose $E/G$ +by \eqref{eq:block-torsion-pair} and take the preimage of its torsion +part: +\[ + 0\longrightarrow T\longrightarrow E/G\longrightarrow F'\longrightarrow0, + \qquad + 0\longrightarrow G\longrightarrow\overline G\longrightarrow T + \longrightarrow0, + \quad T\in\mathcal T_k,\ F'\in\mathcal S_k. +\] +The object $\overline G\subset E$ lies in $\mathcal S_k$ by subobject +closure, and is saturated because $E/\overline G=F'$. +The four-block filtration of $T$ has charge rays with phases in +$[b,a+1]$. If $g=\varphi_k(G)$, then +\[ + a\varphi_k(E)$, a contradiction. +The strict inequality $g>a$, supplied by the alleged destabilization, +is what excludes an antipodal endpoint in this argument. If $T=0$, the +contradiction already comes from $G$ itself being saturated. + +For a nonzero map $E\to F$, take its image $I$ in $\mathcal H_k$. +Since $I\subset F$, we have $I\in\mathcal S_k$. The kernel in $E$ is +therefore saturated. If that kernel is zero, $\varphi_k(I)=\varphi_k(E)$; +otherwise semistability and the see-saw property give +$\varphi_k(I)\ge\varphi_k(E)$. The unsaturated test applied to +$I\subset F$ gives $\varphi_k(I)\le\varphi_k(F)$. These inequalities +exclude a nonzero map when the source phase is strictly larger. +\end{proof} + +\subsection{The slicing and its phase cuts} + +For $\varphi\in\R$, let $\mathcal P(\varphi)$ be the extension closure +of all block-semistable objects whose assigned phase equals $\varphi$. +There is one possible block unless $5\varphi\in\Z$, in which case the +two adjacent blocks are both included in this definition. + +\begin{proposition}\label{prop:slicing} +The categories $\mathcal P(\varphi)$ form a slicing of $\D$ with finite +Harder--Narasimhan filtrations. They satisfy +\begin{equation}\label{eq:slicing-covariance} + \mathcal P(\varphi+1)=\mathcal P(\varphi)[1],\qquad + \Phi\mathcal P(\varphi)=\mathcal P(\varphi+2/5) + \quad(\varphi\in\R), +\end{equation} +and every nonzero $E\in\mathcal P(\varphi)$ satisfies +\begin{equation}\label{eq:semistable-support} + Z(E)\in\R_{>0}e^{i\pi\varphi},\qquad + \norm{[E]}\le C|Z(E)|. +\end{equation} +\end{proposition} + +\begin{proof} +First consider the generators. If two are in different blocks and the +source has strictly larger phase, its block index is larger: for $j\psi). +\] +The categories are additive, since finite direct sums are split +extensions. The charge of an extension of phase-$\varphi$ generators +is a sum of positive multiples of $e^{i\pi\varphi}$ and hence is again +positive on that ray. Likewise the triangle inequality gives +\[ + \norm{[E]}\le\sum_j\norm{[E_j]} + \le C\sum_j|Z(E_j)|=C|Z(E)| +\] +for any such extension filtration. This proves +\eqref{eq:semistable-support}. + +Refine the decreasing block filtration of any object by +Lemma~\ref{lem:block-hn}, splicing the resulting triangles by the +octahedral axiom. The phases are weakly decreasing globally and strictly +decreasing inside each block. Adjacent equal phases can only occur at a +shared endpoint; merging each run of equal-phase factors into its +extension gives a finite filtration with strictly decreasing phases and +factors in the corresponding $\mathcal P(\varphi)$. This also explains +why both blocks at a shared endpoint must enter the same phase category. + +By \eqref{eq:fifths-nesting}, the functors $[1]$ and $\Phi$ take +$(\mathcal H_k,\mathcal S_k)$ to +$(\mathcal H_{k+5},\mathcal S_{k+5})$ and +$(\mathcal H_{k+2},\mathcal S_{k+2})$, respectively. These equivalences +take exact sequences in the hearts to exact sequences, preserve the +condition of being saturated in a block, and change the assigned phase +by $1$ and $2/5$. They therefore preserve block-semistability with these +phase increments. Applying them and their inverses to the extension +closures proves both equalities in \eqref{eq:slicing-covariance}. +The phase-cut argument that follows proves closure under direct +summands without presupposing a slicing heart. +\end{proof} + +For any interval $I\subset\R$, write $\mathcal P(I)$ for the extension +closure of the $\mathcal P(\varphi)$ with $\varphi\in I$. + +\begin{lemma}[Direct construction of the phase cuts]\label{lem:phase-cuts} +For every real $c$, both pairs +\begin{equation}\label{eq:phase-cuts} + \bigl(\mathcal P((c,\infty)),\mathcal P((-\infty,c])\bigr), + \qquad + \bigl(\mathcal P([c,\infty)),\mathcal P((-\infty,c))\bigr) +\end{equation} +are an aisle and its right orthogonal for a bounded t-structure. +Their hearts are respectively +$\mathcal P((c,c+1])$ and $\mathcal P([c,c+1))$. +Every interval category is the intersection of its lower and upper cut +categories, with the indicated endpoint conventions. In particular, +these categories, including each $\mathcal P(\varphi)$, are closed under +direct summands. +\end{lemma} + +\begin{proof} +Denote either pair in \eqref{eq:phase-cuts} by $(\mathcal U,\mathcal L)$. +Strict phase separation gives $\Hom(\mathcal U,\mathcal L)=0$ by +extension induction. Equation~\eqref{eq:slicing-covariance} gives +$\mathcal U[1]\subset\mathcal U$ and +$\mathcal L[-1]\subset\mathcal L$. Cutting the finite decreasing +filtration at $c$ and splicing triangles gives, for every $E$, a triangle +\begin{equation}\label{eq:phase-truncation} + U_E\longrightarrow E\longrightarrow L_E\longrightarrow U_E[1], + \qquad U_E\in\mathcal U,\ L_E\in\mathcal L. +\end{equation} +All factors of phase exactly $c$ are assigned to the same side, according +to the selected convention. These are the t-structure axioms in the +aisle/right-orthogonal convention, and we can verify the orthogonal +characterizations directly before using any summand closure. If +$E\in{}^\perp\mathcal L$, applying $\Hom(-,L_E)$ to +\eqref{eq:phase-truncation} shows that $\Hom(L_E,L_E)=0$, since its +neighboring terms $\Hom(U_E[1],L_E)$ and $\Hom(E,L_E)$ vanish. +Thus $L_E=0$ and $E\in\mathcal U$. Similarly, if +$E\in\mathcal U^\perp$, apply $\Hom(U_E,-)$ and use +$\Hom(U_E,L_E[-1])=\Hom(U_E,E)=0$ to obtain $U_E=0$. +Hence +\[ + \mathcal U={}^\perp\mathcal L,\qquad + \mathcal L=\mathcal U^\perp. +\] +They are consequently closed under direct summands, and +\eqref{eq:phase-truncation} is a genuine truncation triangle. Finite +upper and lower bounds on the phases of each object's filtration, and +the shift law, prove boundedness. + +We justify the interval description explicitly. A nonempty decreasing +filtration with nonzero phase factors cannot have zero total object. +Indeed, the identity of its first factor maps nontrivially into the +total object: at each subsequent triangle this map remains nonzero +because $\Hom(F_1,F_j[-1])=0$. Now group a chosen filtration of an +object at the two endpoints of an interval. If the object lies in the +upper and lower cut categories, the preceding orthogonal +characterizations force the exterior truncation objects to be zero. +By the observation just made, their groups of factors are empty. The +remaining factors lie in the interval. The reverse inclusion follows +from extension closure. This works with either choice at either +endpoint, as well as for rays and singletons. +Intersecting the aisle with the right orthogonal of its shift therefore +gives precisely the two displayed hearts. Finally, intersections of +orthogonals are closed under summands, which proves the last assertion. +\end{proof} + +\subsection{Quasi-abelian intervals and local finite length} + +It remains to verify local finiteness. We first identify the exact sequences +in a short phase interval by realizing it inside a phase-cut heart. We then +use a positive projection of the charge to bound the length of every strict +filtration in that interval. + +\begin{lemma}[The exact structure on a short phase interval] +\label{lem:interval-quasiabelian} +For every interval $I$ of width less than one, with any choices of open +or closed endpoints, $\mathcal P(I)$ is quasi-abelian. Its strict exact +sequences are exactly the short exact sequences of a suitable bounded +heart whose three terms belong to $\mathcal P(I)$. +\end{lemma} + +\begin{proof} +The empty interval gives the zero category. Otherwise let $a\le b$ +be its endpoints, with $b-a<1$. If $a$ is excluded, use the heart +$\mathcal H=\mathcal P((a,a+1])$; if it is included, use +$\mathcal H=\mathcal P([a,a+1))$. Inside this heart, the cut at $b$ +gives a torsion pair $(\mathcal T,\mathcal F)$ with +$\mathcal F=\mathcal P(I)$. Equality at $b$ is assigned to +$\mathcal F$ exactly when $b\in I$. For example, for $I=(a,b)$ it is +\[ + \mathcal T=\mathcal P([b,a+1]),\qquad + \mathcal F=\mathcal P((a,b)) + \quad\text{in }\mathcal P((a,a+1]). +\] +For $I=(a,b]$ the corresponding torsion class is +$\mathcal P((b,a+1])$. The lower-closed variants use the other heart +above and the same upper-endpoint rule. Hom orthogonality follows from +the phase inequality, and the cut triangles have all terms in +$\mathcal H$, so they give the required short exact decompositions. + +We prove the quasi-abelian assertion directly for a torsion-free class +$\mathcal F$ in an abelian heart $\mathcal H$; this standard fact is also +recorded in \cite[Lemma~3.1]{Tattar2021}. +It is closed under subobjects and extensions. For a morphism +$f:A\to B$ in $\mathcal F$, put +$K=\ker_{\mathcal H}f$, $J=\im_{\mathcal H}f$, and +$Q=\operatorname{coker}_{\mathcal H}f$. +The kernel in $\mathcal F$ is $K$, and the cokernel is +$Q/t(Q)$, where $t(Q)$ denotes the torsion part of $Q$. +Indeed, maps from $Q$ to an object of $\mathcal F$ annihilate $t(Q)$; +this proves the cokernel's universal property. Both $K$ and $J$ lie in +$\mathcal F$. Consequently the internal coimage of $f$ is $J$, whereas +its internal image is the preimage of $t(Q)$ under $B\to Q$. + +Recall that a morphism is strict if its canonical coimage-to-image map +is an isomorphism. The preceding formulas show that a strict +monomorphism in $\mathcal F$ is exactly a monomorphism in $\mathcal H$ +whose cokernel belongs to $\mathcal F$. A strict epimorphism in +$\mathcal F$ is exactly an epimorphism in $\mathcal H$ between its +objects: for an internal epimorphism the internal image is $B$, and +strictness says precisely that $J=B$. This statement is about strict +epimorphisms, not all epimorphisms of the subcategory. + +The pushout in $\mathcal H$ of a strict monomorphism $A\hookrightarrow B$ +along $A\to A'$ fits into +\[ + 0\longrightarrow A'\longrightarrow B'\longrightarrow B/A + \longrightarrow0. +\] +Both outside terms are in $\mathcal F$, so $B'\in\mathcal F$ and the +new monomorphism is strict. The pullback in $\mathcal H$ of a strict +epimorphism $A\twoheadrightarrow B$ along $B'\to B$ is a subobject of +$A\oplus B'$, hence lies in $\mathcal F$, and its projection to $B'$ is +an ambient epimorphism, hence strict. These ambient universal +properties remain universal in the full subcategory $\mathcal F$. +Thus kernels and cokernels exist, pushouts preserve strict +monomorphisms, and pullbacks preserve strict epimorphisms. This proves +quasi-abelianity and the stated description of strict exact sequences. +\end{proof} + +\begin{proposition}[Local finiteness]\label{prop:local-finiteness} +Every phase interval of width less than one generates a finite-length +quasi-abelian category. Hence the slicing in +Proposition~\ref{prop:slicing} is locally finite. +\end{proposition} + +\begin{proof} +Let $I$ have endpoints $a\le b$ and width $w=b-a<1$, and put +\[ + q_I(z)=\Re\bigl(e^{-i\pi(a+b)/2}z\bigr),\qquad + d_I=\frac{\ell}{C}\cos(\pi w/2)>0, +\] +where $\ell$ is the full-lattice norm lower bound used in +Lemma~\ref{lem:block-hn}. A nonzero semistable $F$ of phase in $I$ has +nonzero numerical class, since its charge is nonzero. Therefore +\eqref{eq:semistable-support} gives +\[ + q_I(Z(F))\ge\cos(\pi w/2)|Z(F)|\ge d_I. +\] +Every nonzero object of $\mathcal P(I)$ is a finite extension of nonzero +semistable objects with phases in $I$. Additivity thus gives the same +lower bound $q_I(Z(E))\ge d_I$ for every such object. + +By Lemma~\ref{lem:interval-quasiabelian}, a strict exact sequence in +$\mathcal P(I)$ is exact in its ambient heart, so the projection $q_I Z$ +is additive on it. Every nonzero successive quotient in a strict +filtration of a fixed $E\in\mathcal P(I)$ is again an object of +$\mathcal P(I)$ and consumes at least $d_I$ of this projection. +The number of such quotients is consequently at most +$q_I(Z(E))/d_I$. This bounds both increasing and decreasing strict +subobject chains, and proves finite length in the quasi-abelian exact +structure. The argument uses discreteness of the full numerical +lattice; it requires no discreteness of its image under $Z$. +\end{proof} + +The charge is numerical and normalized on point sheaves by +Proposition~\ref{prop:central-charge}; its eigencharge identity combines +with \eqref{eq:slicing-covariance}. Proposition~\ref{prop:slicing}, +Lemma~\ref{lem:phase-cuts}, and Proposition~\ref{prop:local-finiteness} +give all slicing, Harder--Narasimhan, and local-finiteness requirements. +Finally \eqref{eq:semistable-support} is the support property on the +\emph{full} space $\Knum(X)_\R$. This completes the proof of +Theorem~\ref{thm:main}. diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/introduction.tex b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/introduction.tex new file mode 100644 index 0000000000000000000000000000000000000000..e95e63cb7ef019c836e7ef743b918ca28d59b71d --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/introduction.tex @@ -0,0 +1,147 @@ +\section{Introduction} + +Stability conditions organize the objects of a derived category by a complex +central charge and a real phase, with finite filtrations into semistable +objects. Their physical antecedent is Douglas's proposal of $\Pi$-stability +for D-branes \cite{Douglas2001}; Bridgeland gave the mathematical framework +used here \cite{Bridgeland2007}. At a Gepner point, one seeks a stability +condition compatible with a distinguished autoequivalence: the functor should +rotate the central charge and translate every semistable phase by a fixed +amount. We construct such a condition for every smooth quintic threefold. + +Let $X\subset\mathbb P^4_{\C}$ be a smooth quintic hypersurface, and put +$\D=\Db(\Coh(X))$ and $H=c_1(\OO_X(1))$. The structure sheaf is spherical: +$\Ext^*(\OO_X,\OO_X)=\C\oplus\C[-3]$. Using the spherical twist of +Seidel--Thomas \cite{SeidelThomas2001}, we consider the autoequivalence +\[ + \Phi=T_{\OO_X}\circ(-\otimes\OO_X(1)),\qquad + T_{\OO_X}(E)=\operatorname{Cone}\bigl( + R\Hom(\OO_X,E)\otimes\OO_X\longrightarrow E\bigr). +\] +We write $\Knum(X)$ for the Grothendieck group modulo the radical of its Euler +pairing, and $\Knum(X)_{\R}=\Knum(X)\otimes_{\Z}\R$. +A numerical central charge is a homomorphism $Z\colon\Knum(X)\to\C$. + +Following Bridgeland \cite{Bridgeland2007}, a slicing $\mathcal P$ is a family +of full additive subcategories $\mathcal P(\varphi)\subset\D$, indexed by +$\varphi\in\R$, with +$\mathcal P(\varphi+1)=\mathcal P(\varphi)[1]$, +vanishing $\Hom(\mathcal P(\varphi_1),\mathcal P(\varphi_2))$ for +$\varphi_1>\varphi_2$, and finite Harder--Narasimhan filtrations by distinguished +triangles with strictly decreasing phases. A nonzero object of +$\mathcal P(\varphi)$ has charge in $\R_{>0}e^{i\pi\varphi}$. Local finiteness +requires the extension categories of sufficiently short phase intervals to be +quasi-abelian of finite length. We use the support property of +Kontsevich--Soibelman \cite[Section~1.2]{KontsevichSoibelman2008}, expressed on +the full numerical group: there exist a norm on $\Knum(X)_{\R}$ and a +constant $C>0$ such that +\[ + \norm{[E]}\le C|Z(E)| + \quad\text{for every nonzero }E\in\mathcal P(\varphi). +\] +The pair $(Z,\mathcal P)$ is a numerical Bridgeland stability condition when +these charge and slicing requirements hold, with local finiteness. +We will also verify directly that each phase category is closed under direct +summands, using the phase cuts constructed in Lemma~\ref{lem:phase-cuts}. + +Toda formulated Gepner-type stability for graded matrix factorizations +\cite[Definition~2.3 and Conjecture~1.2]{Toda2013}, and gave the normalized +quintic formulation in \cite[Conjecture~3.1]{TodaQuintic2013}. +The following theorem positively resolves this quintic conjecture. + +\begin{theorem}\label{thm:main} +Every smooth complex quintic threefold admits a numerical Bridgeland stability +condition $\sigma=(Z,\mathcal P)$ with the support property on $\Knum(X)_{\R}$ +such that, for every $E\in\D$ and $\varphi\in\R$, +\[ + Z(\Phi E)=e^{2\pi i/5}Z(E),\qquad + \Phi\bigl(\mathcal P(\varphi)\bigr)=\mathcal P(\varphi+2/5),\qquad + Z(\OO_x)=-1 +\] +for every closed point $x\in X$. +\end{theorem} + +The normalization identifies our central charge with Toda's by the uniqueness +of the normalized eigenform proved in Proposition~\ref{prop:central-charge}. + +\paragraph{Prior work and the remaining construction.} +The functor relation $\Phi^5\simeq[2]$ and its eigencharge are established +features of the quintic Gepner problem. Orlov's equivalence +\cite[Theorem~2.5]{Orlov2009} and the compatibility with grade shift proved by +Ballard--Favero--Katzarkov \cite[Proposition~5.8 and Remark~5.12]{BallardFaveroKatzarkov2012} +identify the relevant categorical symmetry; Toda recalls this identification +in \cite[Theorem~2.5]{TodaQuintic2013}. A direct computation with +Fourier--Mukai kernels appears in Aspinwall \cite[Section~7.1.4]{Aspinwall2004}. +Section~\ref{sec:numerical} fixes the numerical conventions used in our +construction; Appendix~\ref{app:periodicity} supplies a relative-kernel proof +of the functor relation. + +The double-tilt approach to threefold stability was developed by +Bayer--Macr\`i--Toda \cite{BayerMacriToda2014}. For the Gepner charge, Toda +already proposed the first slope tilt at $-1/2$ and the second tilt using +the imaginary part of that charge +\cite[Sections~3.4--3.6 and Conjecture~3.9]{TodaQuintic2013}. +His Remark~3.10 identifies the existence of Harder--Narasimhan filtrations +for this irrational charge as a remaining difficulty. +The existence of numerical Bridgeland stability conditions on every smooth +quintic was established by Li \cite[Theorem~1.3]{Li2019}. +Theorem~\ref{thm:main} adds the specified Gepner symmetry. +Our slope-sheaf input is a consequence +of Xu's stronger Bogomolov--Gieseker inequality +\cite[Theorem~1.3]{Xu2026}, whose hypotheses and precise comparison with the +bound used here are recorded in Lemma~\ref{lem:slope-input}. + +\paragraph{Main idea and proof roadmap.} +The central step is to retain two independent perturbations of Toda's second +cut. They give inequalities controlling rank and first Chern character; the +complex charge then controls the other two numerical coordinates. We obtain +this support estimate before defining semistable objects. It makes finite +refinement possible even though the image of the numerical lattice under the +charge need not be discrete. + +The proof proceeds through four stages. +\begin{enumerate} +\item In Section~\ref{sec:numerical}, we record periodicity and compute the +unique normalized eigencharge. We also identify the full numerical group +with a rank-four lattice. The resulting coordinate estimate will turn +control of rank, first Chern character, and charge into full support. + +\item In Section~\ref{sec:aisles}, we construct a family of bounded aisles +$U_\eta$, where an aisle is the nonpositive part of a bounded +$t$-structure and $\eta=(\eta_0,\eta_1)$ ranges over a fixed open square in +$\R^2$. The construction tilts $\Coh(X)$ twice, beginning at slope +$-1/2$, and varies the rank and first-Chern coefficients of the second cut. +Xu's inequality supplies strict margins for the comparison. The crucial +conclusion of Proposition~\ref{prop:uniform-aisle} is +\[ + \Phi U_{\eta}\subset U_{\theta}. +\] +Both parameters vary independently throughout the same square. + +\item In Section~\ref{sec:grid}, periodicity and positivity refine the +translated aisles to a nested grid $V_k$, indexed by integers, with phase +spacing $1/5$ (Proposition~\ref{prop:fine-grid}). The category +$\mathcal S_k=V_k\cap V_{k+1}^\perp$ between consecutive aisles is called +a block; here $\perp$ is right $\Hom$-orthogonality. Its charges lie in a +closed sector of angle $\pi/5$. Each block object belongs to every member +of a suitable perturbed family of hearts. Testing all those perturbations +gives the full support estimate of Proposition~\ref{prop:block-support}. + +\item We then refine each block into semistable factors +(Lemma~\ref{lem:block-hn}). Support and a positive projection of the charge +bound the numerical classes of subobjects and the length of any refinement. +The full lattice is discrete, so maximal phases exist and refinement stops. +We merge shared endpoint phases to obtain the slicing, construct its phase +cuts, and prove local finiteness through the exact structure of short phase +intervals (Proposition~\ref{prop:local-finiteness}). +\end{enumerate} + +\paragraph{Conventions and prerequisites.} +Our aisle convention is degree $\le0$, so aisles are closed under $[1]$. +For a subcategory $\mathcal C$, the notation +$\mathcal C^\perp$ means its right $\Hom$-orthogonal. Extension closures always +include the zero object and finite iterated extensions. We use standard +coherent-sheaf cohomology, slope Harder--Narasimhan filtrations, derived +truncations, Riemann--Roch, Serre duality, and the hyperplane theorem. The +specific slope inequality is cited as above; the construction of the +stability condition from it is given in full. diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/numerical.tex b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/numerical.tex new file mode 100644 index 0000000000000000000000000000000000000000..212cf8959e9d153b546189fec3fcb8938cbfea7d --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/numerical.tex @@ -0,0 +1,207 @@ +\section{Periodicity and the numerical central charge} +\label{sec:numerical} + +Throughout, $X\subset\mathbf P^4_{\C}$ is a smooth hypersurface of degree +five, $i\colon X\hookrightarrow\mathbf P^4$ is its inclusion, and +$\D=\Db(\Coh(X))$. Put $H=c_1(\OO_X(1))$, so that $\int_XH^3=5$. +For an object $E\in\D$ we use the normalized characters +\begin{equation} +\label{eq:normalized-characters} + v(E)=(r,c,d,e) + =\left(\rk(E),\frac{\int_XH^2\ch_1(E)}5, + \frac{\int_XH\ch_2(E)}5, + \frac{\int_X\ch_3(E)}5\right). +\end{equation} +In particular, ordinary slope is normalized as $\mu_H(E)=c(E)/r(E)$ +for a sheaf of positive rank. We first record the functor relation that +will make the subsequent family of aisles periodic, and then determine +the central charge on the full numerical Grothendieck group. +The periodicity is already visible in Aspinwall's direct kernel calculation +\cite[Section~7.1.4]{Aspinwall2004}. It also follows from Orlov's equivalence +\cite[Theorem~2.5]{Orlov2009} and its compatibility with grade shift +\cite[Proposition~5.8 and Remark~5.12]{BallardFaveroKatzarkov2012}, +as recalled in \cite[Theorem~2.5]{TodaQuintic2013}. +Appendix~\ref{app:periodicity} gives a direct proof, keeping track of the +relative kernels and the natural transformations needed for a functor +isomorphism. Here we record the relation and compute its numerical action. + +\begin{lemma}\label{lem:periodicity} +Let $\Phi=T_{\OO_X}\circ(-\otimes\OO_X(1))$. There is a natural +isomorphism of exact functors +\begin{equation}\label{eq:periodicity} + \Phi^5\simeq[2]. +\end{equation} +Consequently $\Phi$ is an autoequivalence, with inverse $\Phi^4[-2]$. +\end{lemma} + +To prove the relation, expand the ordered composition as +\[ + \Phi^5\simeq + T_{\OO_X}\circ T_{\OO_X(1)}\circ\cdots\circ T_{\OO_X(4)} + \circ(-\otimes\OO_X(5)). +\] +The rightmost functor acts first. The relative-kernel argument in +Appendix~\ref{app:periodicity} identifies this twist product with +tensoring by $\OO_X(-5)$ followed by $[2]$. + +We next identify the entire numerical group and its integral discreteness. +After computing the charge, these coordinates will also show that controlling +rank, first Chern character, and charge suffices to control a numerical class. + +\begin{lemma}\label{lem:numerical} +The map $v$ identifies $\Knum(X)_{\R}$ with $\R^4$. Under this +identification, $\Knum(X)$ is a full discrete lattice contained in +\begin{equation}\label{eq:numerical-lattice} + \Z\times\Z\times\tfrac1{10}\Z\times\tfrac1{30}\Z. +\end{equation} +For $v=(r,c,d,e)$ and $w=(r',c',d',e')$, the Euler form is +\begin{equation}\label{eq:euler-form} + \chi(v,w)=5\left(re'-cd'+dc'-er' + +\frac56(rc'-cr')\right). +\end{equation} +The matrix induced by $\Phi$ is +\begin{equation}\label{eq:numerical-rotation} + M= + \begin{pmatrix} + -4&-20/3&-5&-5\\ + 1&1&0&0\\ + 1/2&1&1&0\\ + 1/6&1/2&1&1 + \end{pmatrix}, + \qquad + \det(zI-M)=z^4+z^3+z^2+z+1. +\end{equation} +\end{lemma} + +\begin{proof} +The Weak Lefschetz Theorem (in the integral form recalled in +\cite[Theorem~3]{Catanese2014}) and Poincar\'e duality give +$H^{2j}(X,\Q)=\Q H^j$ for $0\le j\le3$; the integral version also +gives $H^2(X,\Z)=\Z H$. Thus the even Chern character is precisely +\[ + \ch(E)=r+cH+dH^2+eH^3. +\] +The tangent sequence gives +$c(T_X)=(1+H)^5/(1+5H)$, so that $c_1(T_X)=0$, +$c_2(T_X)=10H^2$, and +\[ + \operatorname{td}(X)=1+\frac56H^2. +\] +Hirzebruch--Riemann--Roch, obtained by taking the proper map to a point in +\cite[Section~7]{BorelSerre1958}, now gives \eqref{eq:euler-form}, and in +particular +\begin{equation}\label{eq:euler-characteristic} + \chi(E)=5\left(e(E)+\frac56c(E)\right). +\end{equation} +The matrix of the bilinear form~\eqref{eq:euler-form} is +\[ + J=\begin{pmatrix} + 0&25/6&0&5\\ + -25/6&0&-5&0\\ + 0&5&0&0\\ + -5&0&0&0 + \end{pmatrix}, + \qquad\det J=625. +\] +Moreover the four vectors +\[ + v(\OO_X(k))=(1,k,k^2/2,k^3/6),\qquad 0\le k\le3, +\] +span $\Q^4$: their row matrix has determinant one. It follows that +the kernel of $v$ on $K_0(X)$ is exactly the radical of the Euler +pairing. Indeed one implication follows from Riemann--Roch, and the +other follows by testing against these four spanning vectors and using +the nondegeneracy of $J$. Hence $v$ identifies the numerical group with +its image, which spans $\Q^4$. + +For any class of $K_0(X)$, integrality of Chern classes and +\[ + \ch_2=\frac{c_1^2-2c_2}{2},\qquad + \ch_3=\frac{c_1^3-3c_1c_2+3c_3}{6} +\] +give $d\in\tfrac1{10}\Z$ and $e\in\tfrac1{30}\Z$; integral Weak +Lefschetz gives $c\in\Z$. The image is therefore a subgroup of the +discrete lattice in \eqref{eq:numerical-lattice}. Since it contains the +four spanning line-bundle classes, it is itself a full lattice. +In particular its real span is the full space $\R^4$. + +Tensoring by $\OO_X(1)$ sends +\[ + (r,c,d,e)\longmapsto + \left(r,c+r,d+c+\frac r2,e+d+\frac c2+\frac r6\right). +\] +The twist $T_{\OO_X}$ then subtracts $\chi(E(1))$ from the rank and leaves +the other three coordinates unchanged. Formula~\eqref{eq:euler-characteristic} +therefore gives $M$ as displayed. Expanding $\det(zI-M)$ gives +\eqref{eq:numerical-rotation}; in particular its four eigenvalues are +the nonidentity fifth roots of unity, each with multiplicity one. +\end{proof} + +We denote by $\Phi_*$ the induced automorphism of $\Knum(X)$ and its +real-linear extension to $\Knum(X)_{\R}$; both are represented by $M$ in +these coordinates. + +Put +\begin{equation}\label{eq:charge-constants} + \lambda=\exp(2\pi i/5),\qquad + t_0=\frac12\cot(\pi/5)>0,\qquad + u=\frac45\sin^2(\pi/5)=\frac{5-\sqrt5}{10}. +\end{equation} + +\begin{proposition}\label{prop:central-charge} +There is a unique numerical homomorphism $Z\colon\Knum(X)\to\C$ +such that $Z\circ\Phi=\lambda Z$ and $Z(\OO_x)=-1$ for closed points +$x\in X$. It is +\begin{equation}\label{eq:central-charge} + \frac{Z(r,c,d,e)}5 + =\frac{\lambda-1}{5}r + +\left(t_0^2-\frac56+\frac{i t_0}{2}\right)c + +\left(-\frac12+i t_0\right)d-e. +\end{equation} +In particular, +\begin{equation}\label{eq:imaginary-charge} + \frac{\Im Z(r,c,d,e)}{5t_0}=d+\frac12c+ur. +\end{equation} +For any fixed norm on $\Knum(X)_{\R}$, there is a constant $C_0>0$ +such that every real numerical class $v=(r,c,d,e)$ satisfies +\begin{equation}\label{eq:numerical-norm-control} + \norm{v}\le C_0\bigl(|r|+|c|+|Z(v)|\bigr). +\end{equation} +\end{proposition} + +\begin{proof} +A closed point has $v(\OO_x)=(0,0,0,1/5)$, so the normalization fixes +the coefficient of $e$ in $Z/5$ to be $-1$. +Write $Z/5=Ar+Bc+Cd-e$. Reading the $e$, $d$, and $c$ columns of +$ZM=\lambda Z$, in that order, gives +\[ + A=\frac{\lambda-1}{5},\qquad + C=-\frac{\lambda}{\lambda-1},\qquad + B=-\frac43+\frac{C-1/2}{\lambda-1}. +\] +The identity +\[ + \frac1{\lambda-1}=-\frac12-i t_0 +\] +then gives $C=-1/2+i t_0$ and +$B=t_0^2-5/6+i t_0/2$. Substitution in the remaining, rank-column +equation reduces it to +$1+\lambda+\lambda^2+\lambda^3+\lambda^4=0$. +This proves both the eigenvalue identity and uniqueness with the stated +normalization. Taking imaginary parts and using +\[ + \frac{\sin(2\pi/5)}{5t_0} + =\frac45\sin^2(\pi/5)=u +\] +proves \eqref{eq:imaginary-charge}. + +Finally, the real coefficient matrix of $(d,e)$ in +$(\Re Z,\Im Z)$ is +\[ + \begin{pmatrix}-5/2&-5\\5t_0&0\end{pmatrix}, + \qquad \det=25t_0\ne0. +\] +Thus $v\mapsto(r,c,\Re Z(v),\Im Z(v))$ is an isomorphism of real +vector spaces. Boundedness of its inverse in finite dimension proves +\eqref{eq:numerical-norm-control}. +\end{proof} diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/periodicity.tex b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/periodicity.tex new file mode 100644 index 0000000000000000000000000000000000000000..b10073d7d3dc213f61f512b77c176412262d8d3a --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/build/sections/periodicity.tex @@ -0,0 +1,153 @@ +\section{A relative-kernel proof of periodicity} +\label{app:periodicity} + +\begin{proof}[Proof of Lemma~\ref{lem:periodicity}] +Write $T_j=T_{\OO_X(j)}$ and $L=(-\otimes\OO_X(1))$. +We interpret the twist as the Fourier--Mukai transform whose kernel is +the cone of the evaluation map +\[ + \OO_X(-j)\boxtimes\OO_X(j)\longrightarrow\OO_\Delta. +\] +We take cones in the standard enhancement by complexes of perfect +kernels, so that the evaluation squares below induce maps of cones. +Their transforms give natural transformations of functors. Tensoring the evaluation +kernel gives $LT_jL^{-1}\simeq T_{j+1}$, and hence +\begin{equation}\label{eq:twist-product} + \Phi^5\simeq T_0T_1T_2T_3T_4L^5. +\end{equation} +We will identify the kernel of $T_0T_1T_2T_3T_4$ with +$\OO_\Delta(-5)[2]$, where the twist is in the second factor. + +Keep the first copy of $X$ as a source parameter. Set +\[ + f=1_X\times i\colon X\times X\longrightarrow X\times\mathbf P^4, + \qquad + p\colon X\times\mathbf P^4\longrightarrow X, + \quad q\colon X\times X\longrightarrow X. +\] +Here $p$ and $q$ are the first projections. +The kernel convention is that $F\in\Db(\Coh(X\times Y))$ sends $E$ to +$R\pi_{Y*}(\pi_X^*E\otimes^{\mathbf L}F)$. +For such a kernel, let +\[ + a_j^Y(F)=R\pi_{X*}\bigl(F\otimes\pi_Y^*\OO_Y(-j)\bigr), + \qquad + \mathsf L_j^Y(F)= + \operatorname{Cone}\bigl(a_j^Y(F)\boxtimes\OO_Y(j)\longrightarrow F\bigr). +\] +The arrow is the adjunction evaluation. Projection formula and proper +base change show that $\mathsf L_j^Y(F)$ represents postcomposition of +the transform of $F$ with the evaluation cone for $\OO_Y(j)$. +Indeed, on an input $E$ the first kernel in this cone gives +\[ + R\Gamma\bigl(X,E\otimes^{\mathbf L}a_j^Y(F)\bigr)\otimes\OO_Y(j) + \simeq + R\operatorname{Hom}\bigl(\OO_Y(j),\Phi_F(E)\bigr)\otimes\OO_Y(j). +\] +In particular the source coefficient here is $a_j^Y(F)$ itself. + +These coefficient functors let us compare the evaluation cones on $X$ with +those on $\mathbf P^4$. We will show that the five projective-space +evaluations remove all coefficients and leave the zero kernel, while the +comparison preserves the cone of the divisor counit. Computing that cone +will give the required shift. + +Start with +\[ + K_5=f_*\OO_\Delta,\qquad G_5=\OO_\Delta,\qquad + u_5\colon Lf^*K_5\longrightarrow G_5 +\] +given by the counit. For $j=4,3,\ldots,0$, form successively +\[ + K_j=\mathsf L_j^{\mathbf P^4}(K_{j+1}), + \qquad + G_j=\mathsf L_j^X(G_{j+1}). +\] +We construct compatible maps $u_j\colon Lf^*K_j\to G_j$ and show +that their cones are all isomorphic to $\operatorname{Cone}(u_5)$. + +For any map $u\colon Lf^*K\to G$, the unit followed by $f_*u$ gives +$K\to f_*G$, hence comparison maps +\[ + \theta_l\colon a_l^{\mathbf P^4}(K)\longrightarrow a_l^X(G). +\] +For $(K_5,G_5,u_5)$ these are isomorphisms for every $l$: the composite +$f_*\OO_\Delta\to f_*Lf^*f_*\OO_\Delta\to f_*\OO_\Delta$ +is the identity by the adjunction identity. Suppose that, before the +step indexed by $j$, the maps $\theta_l$ are isomorphisms for +$0\le l\le j$. The evaluation square +\[ +\begin{array}{ccc} + q^*a_j^{\mathbf P^4}(K_{j+1})\otimes\OO_X(j) + &\longrightarrow& Lf^*K_{j+1}\\ + \big\downarrow\scriptstyle{\simeq}&&\big\downarrow\scriptstyle{u_{j+1}}\\ + q^*a_j^X(G_{j+1})\otimes\OO_X(j) + &\longrightarrow& G_{j+1} +\end{array} +\] +commutes by adjunction. Taking its cones defines $u_j$; because its +left vertical arrow is an isomorphism, the cone of $u_j$ is isomorphic +to the cone of $u_{j+1}$. + +For $lj$, since +$R\Gamma(\mathbf P^4,\OO(j-k))=0$ for $1\le k-j\le4$. +Thus $a_j^{\mathbf P^4}(K_0)=0$ for $0\le j\le4$. +All these kernels are perfect, and proper base change implies that +every derived source fiber $F$ of $K_0$ satisfies +\[ + R\operatorname{Hom}_{\mathbf P^4}(\OO(j),F)=0 + \qquad(0\le j\le4). +\] +The exact Koszul complex of the five homogeneous coordinates propagates +these five consecutive vanishings to +$R\Gamma(\mathbf P^4,F(n))=0$ for every integer $n$. +For sufficiently large $n$, Serre vanishing and global generation, +applied to the finitely many cohomology sheaves of $F$, force all those +sheaves to vanish. Therefore every derived source fiber is zero, and +the derived Nakayama lemma gives $K_0=0$. It follows that +\[ + G_0\simeq\operatorname{Cone}(u_0) + \simeq\operatorname{Cone}(u_5). +\] + +Finally, $f$ is a Cartier divisor embedding with normal bundle +$\OO_X(5)$ in the target variable. Its two-term divisor resolution +computes +\[ + \mathcal H^{-1}(Lf^*f_*\OO_\Delta)=\OO_\Delta(-5), + \qquad + \mathcal H^0(Lf^*f_*\OO_\Delta)=\OO_\Delta, +\] +with no other cohomology sheaves. The counit $u_5$ induces the identity +in degree zero. Consequently its cone has the single cohomology sheaf +$\OO_\Delta(-5)$ in degree $-2$, and +\[ + G_0\simeq\OO_\Delta(-5)[2]. +\] +Since $G_0$ is the composition kernel for $T_0T_1T_2T_3T_4$, this is +an isomorphism of kernels and therefore a natural functor isomorphism. +Equation~\eqref{eq:twist-product} now gives $\Phi^5\simeq[2]$. +The asserted inverse follows by composing this relation with $[-2]$. +\end{proof} diff --git a/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/paper.pdf b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/paper.pdf new file mode 100644 index 0000000000000000000000000000000000000000..87fa280062584a436700ea73a0818805034c4e97 --- /dev/null +++ b/preprints/A-Gepner-stability-condition-on-every-smooth-quintic-threefold-September-24-2026/paper.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:f70b73596fffb0689874c768d3975cb8e16cbdede231c21baef0707ab1898f49 +size 482371 diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/README.md b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..c947149af9e2f7d328757044ff7829af4079590a --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/README.md @@ -0,0 +1,18 @@ +# [A Limiting Satisfiability Threshold for Every Fixed Clause Size](article.pdf) + +**Author:** OpenAI + +**Date:** September 25, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026, + author = {{OpenAI}}, + title = {{A Limiting Satisfiability Threshold for Every Fixed Clause Size}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/article.pdf}{OAI:A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/article.pdf b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/article.pdf new file mode 100644 index 0000000000000000000000000000000000000000..aaf3a91cfd27beae946adebf8415fc0f72b9d2e1 --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/article.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:5318fe3d0e3db4e4c22f79dc8b342ae38fc1ddd60172ba78a00ee612c1576365 +size 213536 diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/paper.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/paper.tex new file mode 100644 index 0000000000000000000000000000000000000000..7bb94bb0ba96d8488ed745fab08d61f777c93df9 --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/paper.tex @@ -0,0 +1,28 @@ +\documentclass[11pt]{article} +\input{preamble} +\title{A Limiting Satisfiability Threshold\\for Every Fixed Clause Size} +\author{OpenAI} +\date{September 25, 2026} + +\begin{document} +\maketitle +\begin{abstract} +For every fixed integer \(k\ge3\), random \(k\)-SAT with independent +uniformly signed clauses on distinct variables, sampled with replacement, +has a finite positive limiting satisfiability threshold. +We credit Gaia Carenini~\cite{Carenini2026Polynomial} with priority for +resolving the satisfiability conjecture. This paper gives an alternative +proof, using concentration of a capped last satisfiable index and a +comparison between different system sizes. +\end{abstract} + +\input{sections/introduction} +\input{sections/forcing} +\input{sections/concentration} +\input{sections/anchors} +\input{sections/convergence} +\input{sections/three-clause} +\input{sections/boundaries} + +\input{references} +\end{document} diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/preamble.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/preamble.tex new file mode 100644 index 0000000000000000000000000000000000000000..cbc538c786d14a1c80d5652e221680ad16a8cb6b --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/preamble.tex @@ -0,0 +1,43 @@ +\pdftrailerid{} +\pdfinfoomitdate=1 +\pdfsuppressptexinfo=-1 +\usepackage[T1]{fontenc} +\usepackage{mathpazo} +\usepackage[margin=1.12in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{microtype} +\usepackage[dvipsnames]{xcolor} +\usepackage{needspace} +\usepackage{hyperref} +\hypersetup{ + colorlinks=true, + linkcolor=MidnightBlue, + citecolor=MidnightBlue, + urlcolor=MidnightBlue, + pdfauthor={OpenAI}, + pdftitle={A Limiting Satisfiability Threshold for Every Fixed Clause Size}, + pdfsubject={Convergence of the random k-SAT satisfiability threshold for every fixed k at least three} +} +\urlstyle{same} +\numberwithin{equation}{section} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\newcommand{\PP}{\mathbb P} +\newcommand{\EE}{\mathbb E} +\newcommand{\Var}{\operatorname{Var}} +\newcommand{\Pois}{\operatorname{Pois}} +\newcommand{\Bin}{\operatorname{Bin}} +\newcommand{\ind}{\mathbf 1} +\newcommand{\sat}{\mathrm{SAT}} +\newcommand{\fall}[2]{(#1)_{#2}} +\newcommand{\eps}{\varepsilon} +\newcommand{\F}{\mathcal F} +\newcommand{\sd}{\operatorname{sd}} +\setlength{\emergencystretch}{2em} +\clubpenalty=10000 +\widowpenalty=10000 +\displaywidowpenalty=10000 diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/references.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/references.tex new file mode 100644 index 0000000000000000000000000000000000000000..34c8147d528b7060f64837a4b440ba7dc72abe26 --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/references.tex @@ -0,0 +1,155 @@ +\begingroup\small +\begin{thebibliography}{99} +\setlength{\itemsep}{0pt} + +\bibitem{AM} +E.~Abbe and A.~Montanari, +\emph{On the concentration of the number of solutions of random +satisfiability formulas}, +Random Structures Algorithms \textbf{45} (2014), no.~3, 362--382. +\href{https://doi.org/10.1002/rsa.20501}{doi:10.1002/rsa.20501}; +\href{https://arxiv.org/abs/1006.3786v1}{arXiv:1006.3786v1}. + +\bibitem{AP} +D.~Achlioptas and Y.~Peres, +\emph{The threshold for random \(k\)-SAT is \(2^k\log2-O(k)\)}, +J. Amer. Math. Soc. \textbf{17} (2004), no.~4, 947--973. +\href{https://doi.org/10.1090/S0894-0347-04-00464-3} +{doi:10.1090/S0894-0347-04-00464-3}. + +\bibitem{BGT} +M.~Bayati, D.~Gamarnik, and P.~Tetali, +\emph{Combinatorial approach to the interpolation method and scaling +limits in sparse random graphs}, +Ann. Probab. \textbf{41} (2013), no.~6, 4080--4115. +\href{https://doi.org/10.1214/12-AOP816}{doi:10.1214/12-AOP816}; +\href{https://arxiv.org/abs/0912.2444v3}{arXiv:0912.2444v3}. + +\bibitem{BBLM} +S.~Boucheron, O.~Bousquet, G.~Lugosi, and P.~Massart, +\emph{Moment inequalities for functions of independent random variables}, +Ann. Probab. \textbf{33} (2005), no.~2, 514--560. +\href{https://doi.org/10.1214/009117904000000856} +{doi:10.1214/009117904000000856}; +\href{https://arxiv.org/abs/math/0503651v1}{arXiv:math/0503651v1} +(electronic reprint). + +\bibitem{Carenini2026Polynomial} +G.~Carenini, +\emph{A polynomial scaling window for random \(k\)-SAT and a proof of +the satisfiability conjecture}, +Electronic Colloquium on Computational Complexity, +Report TR26-229 (2026), published 5 October 2026. +\href{https://eccc.weizmann.ac.il/report/2026/229/}{ECCC Report TR26-229}. + +\bibitem{Carenini} +G.~Carenini, +\emph{The Scaling Window of Random \(k\)-SAT}, +Electronic Colloquium on Computational Complexity, +Report TR26-145 (2026), preprint; +\href{https://arxiv.org/abs/2609.26222v1}{arXiv:2609.26222v1}. +\href{https://eccc.weizmann.ac.il/report/2026/145/}{ECCC Report TR26-145}. + +\bibitem{CR} +V.~Chv\'atal and B.~Reed, +\emph{Mick Gets Some (the Odds Are on His Side)}, +Proc. 33rd Annual Symposium on Foundations of Computer Science (1992), +620--627. +\href{https://doi.org/10.1109/SFCS.1992.267789}{doi:10.1109/SFCS.1992.267789}. +\href{https://www.diochnos.com/teaching/CS5970/2020F/project-papers/ChvatalReed.pdf}{conference paper PDF}. + +\bibitem{COP} +A.~Coja-Oghlan and K.~Panagiotou, +\emph{The asymptotic \(k\)-SAT threshold}, +Adv. 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A \textbf{36} (2003), no.~43, 10967--10985. +\href{https://doi.org/10.1088/0305-4470/36/43/021} +{doi:10.1088/0305-4470/36/43/021}; +\href{https://arxiv.org/abs/cond-mat/0307367v2}{arXiv:cond-mat/0307367v2}. + +\bibitem{Friedgut} +E.~Friedgut, with an appendix by J.~Bourgain, +\emph{Sharp thresholds of graph properties, and the \(k\)-SAT problem}, +J. Amer. Math. Soc. \textbf{12} (1999), no.~4, 1017--1054. +\href{https://doi.org/10.1090/S0894-0347-99-00305-7} +{doi:10.1090/S0894-0347-99-00305-7}. + +\bibitem{Goerdt} +A.~Goerdt, +\emph{A threshold for unsatisfiability}, +J. Comput. System Sci. \textbf{53} (1996), no.~3, 469--486. +\href{https://doi.org/10.1006/jcss.1996.0081}{doi:10.1006/jcss.1996.0081}. + +\bibitem{GT} +F.~Guerra and F.~L.~Toninelli, +\emph{The thermodynamic limit in mean field spin glass models}, +Comm. Math. Phys. \textbf{230} (2002), no.~1, 71--79. +\href{https://doi.org/10.1007/s00220-002-0699-y} +{doi:10.1007/s00220-002-0699-y}; +\href{https://arxiv.org/abs/cond-mat/0204280v1}{arXiv:cond-mat/0204280v1}. + +\bibitem{Hall} +P.~Hall, +\emph{On representatives of subsets}, +J. London Math. Soc. \textbf{10} (1935), no.~1, 26--30. +\href{https://doi.org/10.1112/jlms/s1-10.37.26}{doi:10.1112/jlms/s1-10.37.26}. + +\bibitem{MMZ} +S.~Mertens, M.~M\'ezard, and R.~Zecchina, +\emph{Threshold values of random \(K\)-SAT from the cavity method}, +Random Structures Algorithms \textbf{28} (2006), no.~3, 340--373. +\href{https://doi.org/10.1002/rsa.20090}{doi:10.1002/rsa.20090}; +\href{https://arxiv.org/abs/cs/0309020v2}{arXiv:cs/0309020v2}. + +\bibitem{MPZ} +M.~M\'ezard, G.~Parisi, and R.~Zecchina, +\emph{Analytic and algorithmic solution of random satisfiability problems}, +Science \textbf{297} (2002), no.~5582, 812--815. +\href{https://doi.org/10.1126/science.1073287} +{doi:10.1126/science.1073287}. + +\bibitem{Steele} +J.~M.~Steele, +\emph{An Efron--Stein inequality for nonsymmetric statistics}, +Ann. Statist. \textbf{14} (1986), no.~2, 753--758. +\href{https://doi.org/10.1214/aos/1176349952}{doi:10.1214/aos/1176349952}. + +\end{thebibliography} +\endgroup diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/anchors.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/anchors.tex new file mode 100644 index 0000000000000000000000000000000000000000..f8c68b7d83ea5d098f088ff18009267ae500819a --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/anchors.tex @@ -0,0 +1,71 @@ +\section{Positive and finite center bounds}\label{sec:anchors} + +Before comparing different sizes, we place the centers in a fixed +positive interval below the cap. At high density, an assignment first +moment makes satisfiability unlikely. At a sufficiently small positive +density, a matching from clauses to variables supplies a satisfying +assignment regardless of the signs. + +The matching criterion is Hall's theorem~\cite{Hall}. Its application +to satisfiability and the associated deficiency counting appear in +Franco and Van Gelder~\cite[Section~8]{FV}. We include the +alternating-path argument and the probability estimate. + +\begin{lemma}[Bounds on the centers]\label{lem:center-bounds} +For each fixed \(k\ge3\), there is \(a_0>0\) such that, for all +sufficiently large \(n\), +\[ + a_0\le\mu_n\le2^k+1. +\] +\end{lemma} + +\begin{proof} +For any fixed assignment, each proper uniformly signed \(k\)-clause +is satisfied with probability \(1-2^{-k}\). The clauses are independent, +so at \(m=2^kn\) the expected number of satisfying assignments is +\[ + 2^n(1-2^{-k})^{2^kn}\le(2/e)^n=o(1). +\] +Consequently \(P_n(2^kn)=o(1)\). Since \(V_n\le L_kn\), +\[ + \mu_n\le2^k+(L_k-2^k)P_n(2^kn)=2^k+o(1). +\] + +For the lower bound, fix \(c_0>0\) with \(e^2c_0<1\) and put +\(m=\lfloor c_0n\rfloor0\) and the asserted upper bound follow. +\end{proof} diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/boundaries.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/boundaries.tex new file mode 100644 index 0000000000000000000000000000000000000000..e7ae5c2208bc37668073180574b71789443fb2c5 --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/boundaries.tex @@ -0,0 +1,46 @@ +\section{Lower arities and finite-size information}\label{sec:boundaries} + +The balanced comparison gives a one-sided quantitative bound on the +finite-size centers. In \eqref{eq:balanced-comparison-bound}, take +\(u_n=\mu_n\), \(A=4\), and \(\beta=\delta_k\), then let the larger +size tend to infinity. For every sufficiently large integer \(s\), +\begin{equation}\label{eq:one-sided-center-rate} + \mu_s\le\alpha_k+C_k s^{-\delta_k},\qquad + C_k=4\left(1+\frac{(3/2)^{\delta_k}} + {1-(2/3)^{\delta_k}}\right). +\end{equation} +Thus the center cannot exceed its limit by more than the stated error. +The proof gives no corresponding bound on \(\alpha_k-\mu_s\), and +hence no effective two-sided rate for approximating \(\alpha_k\). +Proposition~\ref{prop:concentration} controls fluctuations about +\(\EE V_n\); it does not place a two-sided window of width +\(n^{1-\delta_k}\) around \(\alpha_kn\). All constants concern a fixed +\(k\), and are not uniform when \(k\) grows with \(n\). + +\begin{remark}[The two-clause boundary]\label{rem:two} +Chv\'atal and Reed~\cite[Theorems~3--4]{CR} proved that independent +uniform clauses on two distinct variables, sampled with replacement, +are satisfiable with probability tending to one below density \(1\) +and unsatisfiable with probability tending to one above density \(1\). +Goerdt~\cite{Goerdt} obtained the threshold independently. +Thus \(\alpha_2=1\) in the same proper-clause convention. This is a +separate theorem: the bound \(O_k(n^{1+2/k})\) is only \(O(n^2)\) at +\(k=2\) and gives no sublinear concentration window there. +\end{remark} + +\begin{remark}[The unit-clause boundary]\label{rem:unit} +For \(k=1\), the threshold on the linear-density scale is zero. +Fix \(c>0\), choose \(00\). At density zero it is +empty and satisfiable. +\end{remark} diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/concentration.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/concentration.tex new file mode 100644 index 0000000000000000000000000000000000000000..4ed7c144de72eba5df23c4748bd35dd3e4a47e5a --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/concentration.tex @@ -0,0 +1,178 @@ +\section{Clause omission and polynomial concentration}\label{sec:concentration} + +We now turn the integrated forcing estimate into a bound on the +fluctuations of the last satisfiable prefix. Omitting one clause can +delay the loss of satisfiability. The delay counts the prefixes where +that clause is pivotal, and its square counts pairs of pivotal times. +The key observation is that a future punctured prefix can survive only +if every intervening clause avoids killing the present solution set. + +\subsection{Omitting a clause without changing time indices} + +Fix an integer \(M\ge1\) and the independent clauses \(C_1,\ldots,C_M\). +For the next two lemmas, let +\[ + V=\max\{0\le m\le M:F_{n,m}\in\sat\} +\] +be the last satisfiable index capped at \(M\). For \(1\le i\le M\), set +\[ + V^{-i}=\max\left\{0\le m\le M: + \bigwedge_{\substack{1\le j\le m\\j\ne i}}C_j\in\sat\right\}. +\] +The time index \(i\) is skipped; the remaining positions are not +renumbered. Thus \(V^{-i}\ge V\), and \(V^{-i}\) is independent of +\(C_i\). + +The following coordinate-omission inequality belongs to the martingale +variance method associated with Efron and Stein~\cite{EfronStein} and +Steele's treatment of nonsymmetric statistics~\cite{Steele}. +Boucheron, Bousquet, Lugosi, and Massart +\cite[Section~3.2, equation~(3.6)]{BBLM} state the arbitrary-omission +form. The short proof fixes the deletion convention and constant. + +\begin{lemma}[Deletion variance bound]\label{lem:variance-deletion} +For the capped indices just defined, +\[ + \Var(V)\le\sum_{i=1}^{M}\EE(V^{-i}-V)^2. +\] +\end{lemma} + +\begin{proof} +Let \(\F_i=\sigma(C_1,\ldots,C_i)\), with \(\F_0\) trivial, and put +\[ + D_i=\EE[V\mid\F_i]-\EE[V\mid\F_{i-1}]. +\] +Independence of the clauses and the fact that \(V^{-i}\) does not use +\(C_i\) give +\[ + \EE[V^{-i}\mid\F_i]=\EE[V^{-i}\mid\F_{i-1}]. +\] +For \(Z_i=V-V^{-i}\), it follows that +\[ + D_i=\EE[Z_i\mid\F_i]-\EE[Z_i\mid\F_{i-1}]. +\] +The tower property and conditional Jensen inequality yield +\[ + \EE D_i^2 + =\EE\bigl(\EE[Z_i\mid\F_i]\bigr)^2 + -\EE\bigl(\EE[Z_i\mid\F_{i-1}]\bigr)^2 + \le\EE Z_i^2. +\] +The martingale differences are orthogonal and sum to \(V-\EE V\). +Summing the displayed inequalities proves the lemma. +\end{proof} + +\subsection{Pairs of pivotal times} + +Fix \(i\). For \(i\le m\le M\), the punctured prefix and its killing +probability are +\[ + G_m=\bigwedge_{\substack{1\le j\le m\\j\ne i}}C_j,\qquad + q_m=q_k(G_m). +\] +The function \(q_k\) was defined in \eqref{eq:kill}; in particular, +\(q_m=0\) when \(G_m\) is unsatisfiable. + +\begin{lemma}[Pivotal pairs]\label{lem:pivotal} +For every \(1\le i\le M\), +\begin{equation}\label{eq:pivotal} + \EE(V^{-i}-V)^2 + \le2\sum_{m=i}^{M}\EE\min\{Mq_m,1\}. +\end{equation} +\end{lemma} + +\begin{proof} +Let +\[ + A_m=\{G_m\in\sat,\ G_m\wedge C_i\notin\sat\}. +\] +This event is exactly \(\{V0\), +\[ + \sum_{\ell=m}^{M}(1-q)^{\ell-m}\le\min\{M,1/q\}, +\] +because \(m\ge1\). Multiplication by \(q\), followed by expectation +and summation over \(m\), gives \eqref{eq:pivotal}. When \(q=0\), every +term in the corresponding product is zero, so no division by zero is +needed. +\end{proof} + +\subsection{The variance bound} + +The pivotal-pair estimate has reduced the squared omission delay to a +truncated killing probability. Taking a \(k\)-th root converts that +quantity into the forced fraction controlled by +Proposition~\ref{prop:forcing}. + +\begin{proposition}[Polynomial concentration]\label{prop:concentration} +For every fixed integer \(k\ge3\), the statistic +\(V_n=\min(H_n-1,L_kn)\) from \eqref{eq:statistic} satisfies +\begin{equation}\label{eq:variance} + \Var(V_n)=O_k(n^{1+2/k}). +\end{equation} +In particular, with \(\mu_n=\EE V_n/n\), +\begin{equation}\label{eq:concentration} + \PP\bigl(|V_n-n\mu_n|\ge n^{1-\delta_k}\bigr) + =O_k(n^{-\eta_k}),\qquad + \delta_k=\frac{k-2}{4k},\quad \eta_k=\frac{k-2}{2k}. +\end{equation} +\end{proposition} + +\begin{proof} +Set \(M=L_kn\), \(V=V_n\), and fix \(i\). With the notation of +Lemma~\ref{lem:pivotal}, let \(\rho_m=b(G_m)/n\). +The falling-factorial ratios in \eqref{eq:kill} give +\(q_m\le\rho_m^k\). Since \(\min\{z,1\}\le z^{1/k}\) for \(z\ge0\), +\[ + \min\{Mq_m,1\}\le(Mq_m)^{1/k}\le M^{1/k}\rho_m. +\] +Unconditionally, \(G_m\) has the law of \(F_{n,m-1}\). +Lemma~\ref{lem:pivotal} and Proposition~\ref{prop:forcing} therefore +give, uniformly in \(1\le i\le M\), +\[ + \EE(V^{-i}-V)^2 + \le2M^{1/k}\sum_{m=i}^{M}\EE\rho_m + \le2M^{1/k}\sum_{j=0}^{M-1}\EE\frac{b(F_{n,j})}{n} + =O_k(n^{2/k}). +\] +Summing over \(M=L_kn\) indices in +Lemma~\ref{lem:variance-deletion} proves \eqref{eq:variance}. +Chebyshev's inequality proves \eqref{eq:concentration}, because +\[ + 1+\frac2k-2(1-\delta_k) + =-\left(1-\frac2k-2\delta_k\right)=-\eta_k. +\] +\end{proof} + +The exponent \(\delta_k\) is positive for \(k\ge3\), so the window +\(n^{1-\delta_k}\) is sublinear. The estimate is centered at the +finite-size mean \(n\mu_n\); comparing those means across sizes is a +separate task. diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/convergence.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/convergence.tex new file mode 100644 index 0000000000000000000000000000000000000000..d174e828fd0d10f31896f27ef983ba8dd2ccdf16 --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/convergence.tex @@ -0,0 +1,442 @@ +\section{From concentration to a limiting location}\label{sec:convergence} + +The preceding estimates control fluctuations at one size. We now rule +out drift of the centers as the number of variables grows. The argument +has two steps. An auxiliary Poisson formula compares the satisfiability +probabilities at a combined size and at two smaller sizes. Concentration +turns this probability comparison into inequalities between centers, whose +errors can then be summed along a balanced tree. + +Recall that \(H_n=\inf\{m\ge1:F_{n,m}\notin\sat\}\) is the first +unsatisfiable index in the proper-clause process. To state the comparison +argument independently of the cap used above, fix \(\lambda>0\) and define +\begin{equation}\label{eq:general-capped-center} +\begin{gathered} + M_n^{(\lambda)}=\lfloor\lambda n\rfloor,\qquad + V_n^{(\lambda)}=\min\{H_n-1,M_n^{(\lambda)}\},\\ + x_n^{(\lambda)}=\frac{\EE V_n^{(\lambda)}}{n}. +\end{gathered} +\end{equation} +Thus, for every integer \(0\le m\le M_n^{(\lambda)}\), +\begin{equation}\label{eq:general-cap-survival} + P_n(m)=\PP\bigl(V_n^{(\lambda)}\ge m\bigr). +\end{equation} +This identity includes \(m=M_n^{(\lambda)}\). The superscript keeps +these statistics distinct from the particular \(V_n\) and \(\mu_n\) +used in the preceding sections. + +\Needspace{24\baselineskip} +\begin{samepage} +\begin{theorem}[Concentration implies convergence] +\label{thm:concentration-to-convergence} +Fix an integer \(k\ge3\) and \(\lambda>0\). Suppose that the proper +independent uniformly signed \(k\)-clause process has constants +\[ + 00,\qquad 0\le K<\infty +\] +such that, for all sufficiently large \(n\), +\begin{equation}\label{eq:convergence-input} +\begin{gathered} + a\le x_n^{(\lambda)}\le b,\\ + \PP\left(\left|V_n^{(\lambda)}-nx_n^{(\lambda)}\right| + \ge n^{1-\delta}\right)\le K n^{-\eta}. +\end{gathered} +\end{equation} +Then \(x_n^{(\lambda)}\) converges to some \(\alpha\in[a,b]\), and +\[ + \lim_{n\to\infty}P_n(\lfloor cn\rfloor)= + \begin{cases} + 1,&0\le c<\alpha,\\ + 0,&c>\alpha. + \end{cases} +\] +Moreover, for all sufficiently large \(r,s\), +\begin{align} + x_{r+s}^{(\lambda)} + &\ge\min\{x_r^{(\lambda)},x_s^{(\lambda)}\} + -4\min\{r,s\}^{-\delta},\label{eq:convergence-sum}\\ + x_{s+1}^{(\lambda)} + &\ge x_s^{(\lambda)}-4s^{-\delta}. + \label{eq:convergence-neighbor} +\end{align} +The first comparison holds without a restriction on \(r/s\). +\end{theorem} +\end{samepage} + +The input is a tail estimate about a finite-size mean. The conclusion +gives convergence of that mean, while the quantitative comparison is +one-sided. We begin with the probability inequality that supplies it. + +\subsection{An auxiliary product inequality} + +For every positive integer \(n\) and \(c\ge0\), let \(s_n(c)\) be the +satisfiability probability of the following auxiliary formula. Its number +of clauses is \(\Pois(cn)\). Within each clause, the \(k\) variable indices +are chosen independently and uniformly from \(\{1,\ldots,n\}\), and their +signs are independent and fair. The clauses are independent. The +resulting literals are disjoined in the usual Boolean sense, so repeated +variables and tautologies are allowed. This definition applies at every +positive size, including \(n=1\). + +The following calculation is a Poisson form of the frozen-variable +interpolation of Bayati, Gamarnik, and Tetali +\cite[Section~4, Proposition~2]{BGT}. Independence of the endpoint +Poisson families gives the product that we need. + +\begin{lemma}[Auxiliary product inequality]\label{lem:auxiliary-product} +For every pair of positive integers \(r,s\) and every \(c\ge0\), +\begin{equation}\label{eq:auxiliary-product} + s_{r+s}(c)\ge s_r(c)s_s(c). +\end{equation} +\end{lemma} + +\begin{proof} +Let \(N=r+s\), and partition the variables into parts of sizes +\(n_1=r\) and \(n_2=s\). For \(0\le t\le c\), take three independent +Poisson families: a mean \(Nt\) family of auxiliary clauses on all +\(N\) variables and, for \(i=1,2\), a mean \(n_i(c-t)\) family of +auxiliary clauses confined to part \(i\). Write \(G_t\) for their +conjunction and \(f(t)=\PP(G_t\in\sat)\). + +We use the elementary add-one formula for a marked Poisson family. +If a bounded observable has conditional expectations \(a_j\) given +exactly \(j\) independent marks, then its expectation at mean \(v\) is +\(\sum_{j\ge0}e^{-v}v^ja_j/j!\), whose derivative is +\(\sum_{j\ge0}e^{-v}v^j(a_{j+1}-a_j)/j!\). Both series converge +uniformly on compact intervals of \(v\), so the formula also applies +after conditioning on the other two Poisson families. + +For a satisfiable background \(G_t\), let \(b_i\) be the number of +variables in part \(i\) that are forced by the entire background: every +satisfying assignment gives each such variable the same value. Set +\(b_i=0\) on unsatisfiable backgrounds. For a satisfiable background, +a new auxiliary clause destroys satisfiability exactly when each of its literals +is false in every satisfying assignment. Each literal must therefore +oppose the value of a forced variable. Conversely, that condition makes +the whole new clause false in every solution. The independent signed +draws give killing probabilities +\[ + \left(\frac{b_1+b_2}{2N}\right)^k + \quad\text{and}\quad + \left(\frac{b_i}{2n_i}\right)^k +\] +for a global clause and a clause confined to part \(i\), respectively. +This remains exact when an index is repeated: each independent signed +draw must still be one of the literals false in every solution. + +An unsatisfiable background remains unsatisfiable after any clause is +added. The add-one formula, applied to the three means, therefore gives +for \(00\), and \(c=0\) is immediate. +\end{proof} + +\subsection{Transfer to proper clauses} + +For the rest of the proof of +Theorem~\ref{thm:concentration-to-convergence}, assume its hypotheses +and keep \(k,\lambda,a,b,\delta,\eta,K\) fixed. Choose any density +ceiling \(D>b\). The elementary sandwich below does not use the +concentration hypothesis; its tail consequences also use +\eqref{eq:convergence-input}. The ceiling is independent of the cap +parameter \(\lambda\): the cap locates the survival events in +\eqref{eq:general-cap-survival}, whereas \(D\) bounds the expected number +of clauses with internal repetitions in the auxiliary formula. Put +\begin{equation}\label{eq:transfer-parameters} + R=D\binom{k}{2},\qquad + \gamma=\min\{\eta,1-2\delta\}>0,\qquad + \kappa=\frac{e^{-R}}2. +\end{equation} + +\begin{samepage} +\begin{lemma}[Proper-clause transfer]\label{lem:proper-transfer} +For \(n\ge k\) set \(\theta_n=(n)_k/n^k\), where +\((n)_k=n(n-1)\cdots(n-k+1)\). If \(0\le c\le D\) and +\(J\sim\Pois(cn\theta_n)\), then +\begin{equation}\label{eq:proper-sandwich} +\begin{gathered} + e^{-R}\EE P_n(J)\le s_n(c)\le\EE P_n(J),\\ + cn-R\le\EE J\le cn,\qquad \Var(J)\le Dn. +\end{gathered} +\end{equation} +If \eqref{eq:convergence-input} holds, then there are constants +\(0\le K'<\infty\) and an integer \(n_1\ge k\) such that for every \(n\ge n_1\) and +every \(c\in[0,D]\), +\begin{align} + c\le x_n^{(\lambda)}-2n^{-\delta} + &\quad\Longrightarrow\quad s_n(c)\ge\kappa, + \label{eq:proper-transfer-low}\\ + c\ge x_n^{(\lambda)}+2n^{-\delta} + &\quad\Longrightarrow\quad s_n(c)\le K'n^{-\gamma}. + \label{eq:proper-transfer-high} +\end{align} +The constants \(K'\) and \(n_1\) may depend on the fixed parameters, +but not on \(c\) or \(n\). +\end{lemma} +\end{samepage} + +\begin{proof} +An auxiliary clause has distinct indices with probability \(\theta_n\). +Poisson thinning separates the clauses into a family of \(J\) clauses +with distinct indices and a family of \(Q\) clauses with an internal +repetition, where +\[ + J\sim\Pois(cn\theta_n),\qquad Q\sim\Pois(cn(1-\theta_n)). +\] +These counts are independent. Indeed, their joint probability-generating +function is +\[ + \EE[z^Jw^Q] + =\exp\bigl(cn[\theta_n z+(1-\theta_n)w-1]\bigr) + =e^{cn\theta_n(z-1)}e^{cn(1-\theta_n)(w-1)}. +\] +The same independent-mark construction shows that, conditional on these +counts, the marks in the two families are independent with their +respective conditional laws. In the first family, every unordered set +of \(k\) distinct variables has \(k!\) equally likely orders and the +signs remain independent and fair. Conditional on \(J\), this family +therefore has exactly the law \(F_{n,J}\). + +A union bound over the \(\binom{k}{2}\) pairs of variable positions gives +\[ + cn(1-\theta_n)\le c\binom{k}{2}\le R. +\] +Consequently \(cn-R\le\EE J\le cn\) and \(\Var(J)=\EE J\le Dn\). +Deleting the repeated-variable clauses can only help satisfiability. +Requiring \(Q=0\), which is independent of the proper family and has +probability \(e^{-cn(1-\theta_n)}\ge e^{-R}\), gives the lower bound. +This proves \eqref{eq:proper-sandwich}. + +Write \(h=n^{1-\delta}\). The concentration input and the survival +identity give, for all sufficiently large \(n\) and integer \(j\), +\begin{align*} + P_n(j)&\ge1-Kn^{-\eta} + &&\text{if }0\le j\le nx_n^{(\lambda)}-h,\\ + P_n(j)&\le Kn^{-\eta} + &&\text{if }j\ge nx_n^{(\lambda)}+h. +\end{align*} +For the first estimate the indicated counts are below the cap because +\(x_n^{(\lambda)}\le b<\lambda\). For the second, first use +\eqref{eq:general-cap-survival} up to the cap and then use monotonicity +beyond it at \(j_0=\lceil nx_n^{(\lambda)}+h\rceil\). +The inequality \(j_0\le M_n^{(\lambda)}\) holds for all sufficiently +large \(n\): the gap \((\lambda-b)n\) dominates \(h+2\). This also +accounts for both integer roundings. + +If \(c\le x_n^{(\lambda)}-2n^{-\delta}\), then +\(\EE J\le nx_n^{(\lambda)}-2h\). Chebyshev's inequality yields +\[ + \PP\bigl(J>nx_n^{(\lambda)}-h\bigr) + \le\frac{Dn}{h^2}=D n^{-(1-2\delta)}. +\] +\begin{samepage} +The lower bound in \eqref{eq:proper-sandwich} is thus at least +\[ + e^{-R}\bigl(1-Kn^{-\eta}-D n^{-(1-2\delta)}\bigr), +\] +which is at least \(\kappa\) for every sufficiently large \(n\). +\end{samepage} + +If \(c\ge x_n^{(\lambda)}+2n^{-\delta}\), then +\(\EE J\ge nx_n^{(\lambda)}+2h-R\). For large \(n\), \(h>R\), and +\[ + \PP\bigl(Jc-2N^{-\delta} + \ge\min\{x_r^{(\lambda)},x_s^{(\lambda)}\}-4u^{-\delta}. +\] +This proves \eqref{eq:convergence-sum} for every pair of sufficiently +large sizes. No ratio between them was used. + +To reach every sufficiently large size from a fixed block size, we will +use blocks of sizes \(s\) and \(s+1\). We therefore also need a +neighboring-size comparison. Take +\(c=x_s^{(\lambda)}-2s^{-\delta}\), which again lies in \([0,D]\) +for large \(s\). In the size-one auxiliary model, the empty-formula +event gives \(s_1(c)\ge e^{-c}\ge e^{-D}\). Consequently +\[ + s_{s+1}(c)\ge s_s(c)s_1(c)\ge\kappa e^{-D}. +\] +For large \(s\), the upper transfer estimate at size \(s+1\) is smaller +than this fixed positive constant. It follows that +\[ + x_{s+1}^{(\lambda)}>c-2(s+1)^{-\delta} + \ge x_s^{(\lambda)}-4s^{-\delta}, +\] +which proves \eqref{eq:convergence-neighbor}. + +The tree argument below uses the sum comparison only when its child +sizes are comparable. + +\subsection{Summing the errors along a balanced tree} + +The principle that errors summable over geometrically increasing sizes +cannot sustain macroscopic drift parallels the approximate-superadditivity +argument of Abbe and Montanari \cite[arXiv version, Lemma~8]{AM}. +Here the operation is a minimum of normalized quantities; the following +lemma proves the required form directly. + +\begin{samepage} +\begin{lemma}[Balanced comparisons]\label{lem:balanced-comparison} +Let \(n_0\ge1\) be an integer and let \((u_n)_{n\ge n_0}\) be a bounded +real sequence. Suppose that \(0\le A<\infty\), \(\beta>0\), and that, +for all \(r,s\ge n_0\) with \(1/3\le r/s\le3\), +\[ + u_{r+s}\ge\min\{u_r,u_s\}-A\min\{r,s\}^{-\beta}. +\] +Suppose also that, for every \(s\ge n_0\), +\[ + u_{s+1}\ge u_s-As^{-\beta}. +\] +Then \(u_n\) converges. More precisely, put +\[ + B_\beta=\frac{(3/2)^\beta}{1-(2/3)^\beta}. +\] +For every integer \(s\ge\max\{n_0,2\}\) and every integer \(n\ge s^2\), +\begin{equation}\label{eq:balanced-comparison-bound} + u_n\ge u_s-A(1+B_\beta)s^{-\beta}. +\end{equation} +\end{lemma} +\end{samepage} + +\begin{proof} +Fix an integer \(s\ge\max\{n_0,2\}\). For \(n\ge s^2\), +write \(n=qs+t\), where \(q=\lfloor n/s\rfloor\ge s\) and \(0\le t\alpha\), and choose a real \(d\) with +\(\alpha0\). Lemma~\ref{lem:center-bounds} +supplies the center bounds with +\(a=a_0\) and \(b=2^k+1b\). Then +\[ + R=L_k\binom{k}{2},\qquad + 1-2\delta=\frac{k+2}{2k}>\eta, + \qquad \gamma=\eta,\qquad \kappa=\frac{e^{-R}}2. +\] +Thus all hypotheses of Theorem~\ref{thm:concentration-to-convergence} +hold with the stated cap, center bounds, and exponents. It follows that +\(\mu_n\to\alpha_k\in[a_0,2^k+1]\) and that the proper-clause +satisfiability probabilities tend to one for \(0\le c<\alpha_k\) +and to zero for \(c>\alpha_k\), as claimed. +\end{proof} diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/forcing.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/forcing.tex new file mode 100644 index 0000000000000000000000000000000000000000..9a1d4cf744871061bd56815cea657419a6f5d383 --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/forcing.tex @@ -0,0 +1,213 @@ +\section{Replacement and integrated forcing}\label{sec:forcing} + +We begin the local concentration proof by controlling how many +variables are forced along the clause process. The estimate is +integrated over prefix lengths: erasing one variable turns forcing into +a difference of satisfiability probabilities, and those differences +can be summed by telescoping. + +\begin{samepage} +For the fixed \(k\ge3\), write +\[ + H_n=\inf\{m\ge1:F_{n,m}\notin\sat\}. +\] +The value \(+\infty\) is allowed in this definition, although +\(P_n(m)\le2^n(1-2^{-k})^m\) implies that \(H_n\) is finite almost +surely. Put +\begin{equation}\label{eq:statistic} + L_k=2^{k+1},\qquad M_n=L_kn,\qquad + V_n=\min\{H_n-1,M_n\},\qquad \mu_n=\frac{\EE V_n}{n}. +\end{equation} +Thus \(V_n\) is the last satisfiable index up to the cap \(M_n\), and +\begin{equation}\label{eq:survival} + P_n(m)=\PP(V_n\ge m)\qquad(0\le m\le M_n). +\end{equation} +This identity includes \(m=M_n\). Later, when a clause is omitted, the +same endpoint convention will count every additional satisfiable prefix. +\end{samepage} + +\subsection{Killing a solution set with one clause} + +A variable of a satisfiable formula \(H\) is \emph{forced} if all +satisfying assignments of \(H\) give it the same value. Let \(b(H)\) be +the number of forced variables, and set \(b(H)=0\) if \(H\) is +unsatisfiable. This definition uses all solutions of the entire +formula, even when the formula contains clauses of different lengths. + +For a formula \(H\) on \(v\) variables and \(1\le r\le v\), define +\begin{equation}\label{eq:kill} + q_r(H)=\frac{\fall{b(H)}r}{2^r\fall vr}, + \qquad + \fall ur=u(u-1)\cdots(u-r+1), +\end{equation} +where \(\fall ur=0\) for nonnegative integers \(u\eps\). + +First \(b\ge k\). Otherwise +\[ + x\le\frac{1}{2^{k-1}\binom{n-1}{k-1}} + \le\frac1n\le n^{-(k-1)/k}=\eps. +\] +The middle inequality follows from +\(\binom{n-1}{k-1}\ge n-1\), valid for \(1\le k-1\le n-2\), and +\(2^{k-1}(n-1)\ge n\). For \(b\ge k\), the exact killing probabilities +give +\[ + q_k(H) + =x\frac{b-k+1}{2(v-k+1)} + \ge \frac{x}{k}\frac{b}{2v} + \ge \frac1k x^{k/(k-1)}. +\] +Here \(b-k+1\ge b/k\) and \(v-k+1\le v\). For the last inequality, +each factor \((b-j)/(v-j)\) is at most \(b/v\), so +\(x\le(b/(2v))^{k-1}\). Consequently, +\[ + gq_k(H)\ge2n^{1/k}x^{k/(k-1)}\ge2x, +\] +because \(x>n^{-(k-1)/k}\). + +The block makes \(H\) unsatisfiable whenever at least one of its +clauses does so individually. These individual events are independent +conditional on \(H\). Hence +\[ + \PP(H\wedge R_1\wedge\cdots\wedge R_g\notin\sat) + \ge1-(1-q_k(H))^g + \ge1-e^{-2x} + \ge x. +\] +For the last inequality, \(0\le x\le2^{-(k-1)}\le1/4\), and +\(1-e^{-2x}-x\) vanishes at zero and has positive derivative on that +interval. +\end{proof} + +\subsection{Erasing one variable and summing over time} + +The following estimate is the input to the omission argument in +Section~\ref{sec:concentration}. Unsatisfiable formulas contribute zero, +and the sum includes the empty prefix and the cap. + +\begin{proposition}[Integrated forcing]\label{prop:forcing} +For every fixed integer \(k\ge3\), +\begin{equation}\label{eq:integrated} + \sum_{j=0}^{M_n}\EE\frac{b(F_{n,j})}{n}=O_k(n^{1/k}), + \qquad M_n=2^{k+1}n. +\end{equation} +\end{proposition} + +\begin{proof} +It is enough to consider \(n\ge k+1\). We first prove an explicit +bound for every integer cap \(M\ge0\), and then take \(M=M_n\). +The case \(M=0\) is immediate, so assume \(M\ge1\). +By symmetry, the \(j\)-th +summand is the probability that \(F_{n,j}\) is satisfiable and \(x_n\) +is forced. Delete the clauses containing \(x_n\), and let \(d\) be +their number. Then \(d\sim\Bin(j,k/n)\). Conditional on their positions, +the untouched formula \(B\) is an independent proper \(k\)-SAT formula +on \(v=n-1\) variables with \(j-d\) clauses. Erasing the literal on +\(x_n\) from each deleted clause leaves independent uniform +\((k-1)\)-clauses \(Q_1,\ldots,Q_d\) on those \(v\) variables, +independent of \(B\). + +If \(F_{n,j}\) is satisfiable and \(x_n\) is forced, then +\begin{equation}\label{eq:forced-reduction} + B\in\sat,\qquad B\wedge Q_1\wedge\cdots\wedge Q_d\notin\sat. +\end{equation} +Indeed, any solution of the latter formula would extend to a solution +of \(F_{n,j}\) with either value of \(x_n\). + +Keep the incidence positions fixed. Replace each \(Q_\ell\) in turn by +\(g\) fresh random \(k\)-clauses, with \(g,\eps\) as in +Lemma~\ref{lem:replacement}. At a replacement step, condition on \(B\), +all other remaining shortened clauses, and all previously inserted +blocks. The clause being replaced is still uniform and independent of +this background, so the lemma bounds the loss in unsatisfiability +probability by \(\eps\). Averaging at each step yields +\[ + \PP(B\wedge Q_1\wedge\cdots\wedge Q_d\notin\sat + \mid\text{incidence positions}) + \le1-P_v(j-d+dg)+d\eps. +\] +The formula after all replacements has \(j-d+dg\) independent proper +\(k\)-clauses on \(v\) variables. Since \(B\notin\sat\) is contained in +the event on the left and has conditional probability \(1-P_v(j-d)\), +the conditional probability of \eqref{eq:forced-reduction} is at most +\begin{equation}\label{eq:replacement-difference} + \Delta_{j,d}+d\eps,\qquad + \Delta_{j,d}=P_v(j-d)-P_v(j-d+dg)\ge0. +\end{equation} + +To sum this estimate, let +\(p_{j,d}=\PP(\Bin(j,k/n)=d)\). For \(0\le d\le j\le M\), +\[ + p_{j,d}\le\binom jd(k/n)^d\le\frac{(kM/n)^d}{d!}. +\] +For fixed \(d\), monotonicity of \(P_v\) and telescoping give +\begin{equation}\label{eq:telescoping} + \sum_{j=d}^{M}\Delta_{j,d} + =\sum_{t=0}^{M-d}\bigl[P_v(t)-P_v(t+dg)\bigr]\le dg. +\end{equation} +For example, after shifting the second sum by \(dg\), only the first +\(dg\) nonnegative terms can remain; if the shift exceeds the number +of terms, that number is already at most \(dg\). + +Use the envelope \((kM/n)^d/d!\) only for the nonnegative +\(\Delta_{j,d}\) term. The error \(d\eps\) is averaged with its original +binomial weight, whose mean is \(kj/n\). Therefore +\begin{align} + \sum_{j=0}^{M}\EE\frac{b(F_{n,j})}{n} + &\le + \sum_{d=0}^{M}\frac{(kM/n)^d}{d!} + \sum_{j=d}^{M}\Delta_{j,d} + +\eps\sum_{j=0}^{M}\frac{kj}{n}\notag\\ + &\le + g\sum_{d=0}^{\infty}\frac{d(kM/n)^d}{d!} + +\frac{kM(M+1)}{2n}\eps\notag\\ + &=\frac{kM}{n}e^{kM/n}g+\frac{kM(M+1)}{2n}\eps. + \label{eq:forcing-general-cap} +\end{align} +At \(M=M_n=L_kn\), the exponential factor depends only on \(k\). +The last expression is therefore \(O_k(g+n\eps)=O_k(n^{1/k})\), +because \(g=O_k(n^{1/k})\) and \(n\eps=n^{1/k}\). +\end{proof} diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/introduction.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/introduction.tex new file mode 100644 index 0000000000000000000000000000000000000000..3242f011a4513e5e1dac217733af1279270a3228 --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/introduction.tex @@ -0,0 +1,181 @@ +\section{The limiting-threshold problem}\label{sec:intro} + +As independent clauses are added to a random Boolean formula, +satisfiability changes from likely to unlikely. A narrow transition +window answers only part of the threshold question: its location might +still drift as the number of variables grows. We prove that the location +converges for every fixed clause size at least three. + +A Boolean assignment gives each variable \(x_i\) a value in \(\{0,1\}\). +A literal is a variable or its negation; a clause is a disjunction of +literals, and a conjunctive normal form formula is a conjunction of +clauses. A formula is satisfiable if some assignment makes every clause +true. Random \(k\)-SAT asks how this event changes as independent clauses +are added to a formula on \(n\) variables. + +Fix an integer \(k\ge3\). For \(n\ge k\), a \emph{proper \(k\)-clause} +uses \(k\) distinct variables chosen uniformly from \(x_1,\ldots,x_n\), +with independent fair signs. Thus each of the \(2^k\binom nk\) possible +clauses has the same probability. Let \(C_1,C_2,\ldots\) be independent +clauses with this law, and define +\[ + F_{n,m}=\bigwedge_{i=1}^{m}C_i, + \qquad P_n(m)=\PP(F_{n,m}\in\sat),\qquad m=0,1,2,\ldots. +\] +Here \(\sat\) denotes satisfiability, and the empty conjunction is true. +Whole clauses are sampled with replacement: two positions may contain +the same clause, although a variable cannot occur twice within one +proper clause. The prefix coupling makes \(P_n\) nonincreasing and gives +\(P_n(0)=1\). The ratio \(c=m/n\) is the clause density. + +\begin{theorem}\label{thm:main} +For every fixed integer \(k\ge3\), there is a constant +\(\alpha_k\in(0,\infty)\) such that, for independent proper uniformly +signed \(k\)-clauses sampled with replacement, +\[ + \lim_{n\to\infty}P_n(\lfloor cn\rfloor) + = + \begin{cases} + 1,&0\le c<\alpha_k,\\ + 0,&c>\alpha_k. + \end{cases} +\] +\end{theorem} + +The conclusion is a strict-side threshold statement; it makes no +assertion at \(c=\alpha_k\). All estimates below may depend on the fixed +integer \(k\). The proof does not require the centers of the transition +windows to be known in advance. It constructs a finite-size center, +controls the fluctuations about it, and then proves that these centers +converge. + +\subsection{Prior work and the role of the present argument} + +Carenini~\cite[Theorem~1.1 and Corollary~1.2]{Carenini2026Polynomial} +proves an \(O_{k,\eta}(n^{1/2+1/k})\) clause window between probability +levels \(\eta\) and \(1-\eta\), for each fixed \(0<\eta<1/2\), and, using +the Abbe--Montanari criterion, establishes the satisfiability conjecture for +every fixed \(k\ge3\). We credit Carenini with priority for the resolution +of the satisfiability conjecture. The present paper gives an alternative +proof of the limiting-threshold conclusion. + +Chv\'atal and Reed~\cite{CR} explicitly formulated the conjecture that +each fixed clause size greater than one has a limiting satisfiability +density. Friedgut's sharp-threshold theorem, with Bourgain's appendix +\cite[Theorem~1.3]{Friedgut}, established that random \(k\)-SAT has a +sharp transition around a sequence of densities. It left open whether +that sequence converges for each fixed \(k\). The classical two-clause +problem had already been settled by Chv\'atal and Reed +\cite[Theorems~3--4]{CR}, who also credit independent proofs by Goerdt +and Fernandez de la Vega. Goerdt's journal treatment is~\cite{Goerdt}. +The implication-graph mechanism is separate from the proof given here. + +For larger arities, Achlioptas and Peres~\cite{AP} obtained leading-order +bounds \(2^k\log2-O(k)\), using weighted second moments. The +statistical-physics work of M\'ezard, Parisi, and Zecchina~\cite{MPZ} +and of Mertens, M\'ezard, and Zecchina~\cite{MMZ} developed threshold +predictions through the cavity method and one-step replica symmetry +breaking. In particular, the latter work predicted the large-\(k\) +expansion +\[ + 2^k\log2-\frac{1+\log2}{2}+o_k(1), + \qquad o_k(1)\longrightarrow0\quad(k\longrightarrow\infty). +\] +Coja-Oghlan and Panagiotou~\cite[Theorem~1.1]{COP} proved that the +liminf and limsup of the sharp-threshold sequence both lie within an +additive error tending to zero as \(k\to\infty\) of +\(2^k\log2-(1+\log2)/2\). These asymptotic-in-arity estimates are +distinct from convergence in \(n\) at a fixed arity. Ding, Sly, and +Sun~\cite{DSS} proved existence and identified the threshold with the +one-step replica symmetry breaking prediction for all sufficiently +large fixed \(k\). Theorem~\ref{thm:main} establishes existence for every +fixed \(k\ge3\), without identifying the value of \(\alpha_k\). + +The first ingredient is a comparison between shorter clauses and +blocks of ordinary clauses. Friedgut's half-cube replacement lemma +\cite[Lemma~5.7]{Friedgut} gives a qualitative antecedent based on frozen +coordinates and sequential replacement. Carenini +\cite[Lemma~6.1 and Corollaries~6.2, 7.10--7.11]{Carenini} developed an +averaged clause-replacement method. The cited version proves an +\(O_k(n/\log n)\) window between any two fixed central probability +levels, with constants also depending on those levels, and distinguishes +window width from convergence of the location in Section~10.1. +Here the replacement is applied after erasing one variable. Summing the +resulting changes in satisfiability probabilities bounds the forced +fraction along the clause process. A deletion argument then converts +this integrated bound into polynomial concentration. We give the +replacement, forcing, and deletion proofs in full. + +The second ingredient compares a whole system with independent +subsystems. Guerra and Toninelli~\cite{GT} used interpolation to +establish thermodynamic limits for mean-field spin glasses. +Franz and Leone~\cite{FL}, and Franz, Leone, and Toninelli~\cite{FLT}, +developed interpolation for diluted systems. Their pressure and +free-energy arguments, with the stated even-arity restrictions, do not +supply the hard satisfiability-threshold conclusion used here. +Bayati, Gamarnik, and Tetali~\cite[Section~4, Proposition~2]{BGT} +established a frozen-variable satisfiability interpolation between +clauses on a whole variable set and clauses confined to its parts. +Our Poisson comparison is a continuous-parameter form of that method. +Its sign follows from convexity of \(x\mapsto x^k\), applied to the +proportions of globally forced variables in the parts. The comparison +is exact for an auxiliary clause model that permits repeated variables; +we prove the transfer back to proper clauses, including the constant +loss caused by repetitions. + +Finally, errors that are summable over geometrically increasing sizes +cannot produce macroscopic drift. This principle parallels the +approximate-superadditivity analysis of Abbe and Montanari +\cite[arXiv version, Section~4.3, Lemma~8 and Remark~3]{AM}, developed +in their study of solution counts. Our comparison uses the minimum of +two normalized centers. We prove the corresponding deterministic +convergence lemma, in a form that requires the comparison only when +the two sizes are comparable. + +\subsection{How the proof reaches the threshold} + +We cap the last satisfiable index at a fixed multiple of \(n\), and +take its expectation divided by \(n\) as the finite-size center. The +first task is to show that this capped index has sublinear fluctuations. +In a satisfiable formula, a variable is \emph{forced} if every +satisfying assignment gives it the same value. The clauses that avoid +the variable form the untouched background. If the variable is forced, +deleting its literal from each incident clause produces shorter clauses +that eliminate every solution of this background. Replacing each +shortened clause by a block of ordinary clauses turns this event into +a decrease of the satisfiability probability. Summing over prefix +lengths telescopes the decreases. Section~\ref{sec:forcing} thereby +controls the total expected forced fraction along the process. + +Section~\ref{sec:concentration} omits a single clause while keeping the +other time indices. The delay in losing satisfiability counts the +prefixes where that clause is pivotal. Its square counts pairs of such +prefixes. If the punctured formula survives from the earlier prefix to +the later one, every intervening clause must avoid killing the earlier +solution set. This bounds the pair probability in terms of the variables +already forced at the earlier time. The integrated forcing estimate +then yields the required variance bound. Section~\ref{sec:anchors} +places the normalized means in a fixed positive bounded interval, using +a clause-to-variable matching at low density and an assignment first +moment at high density. + +Concentration alone still permits the centers to drift. In the auxiliary +Poisson model, interpolation says that satisfiability at a combined size +is at least the product of the probabilities in two independent parts. +Below either finite-size center, transfer from the proper model gives a +fixed positive probability; above the combined center, it gives a +probability tending to zero. These facts prevent the combined center +from lying much below both smaller centers. A comparison with one extra +variable handles adjacent sizes. Section~\ref{sec:convergence} makes +these steps precise and sums the errors along a balanced tree of nearly +equal blocks. Its concentration-to-convergence theorem is then applied +to the local variance and center bounds. + +Section~\ref{sec:three-clause} uses a first moment at density six to +bound the means of the three-clause indices, and gives exact relations +between their cap conventions. It then specializes the forcing estimate and deduces +concentration at the smaller cap. The improved mean bound permits a +smaller transfer interval for either cap, sharpening the numerical +constants while keeping the roles of the cap and the interval distinct. +Section~\ref{sec:boundaries} explains the lower-arity cases and the +finite-size information supplied by the proof. diff --git a/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/three-clause.tex b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/three-clause.tex new file mode 100644 index 0000000000000000000000000000000000000000..b9d0580e1c7ff3e0b5ad6eacb6d94d06e22f65bf --- /dev/null +++ b/preprints/A-Limiting-Satisfiability-Threshold-for-Every-Fixed-Clause-Size-September-25-2026/build/source/sections/three-clause.tex @@ -0,0 +1,202 @@ +\section{Three-clause refinements}\label{sec:three-clause} + +For three literals per clause, a first moment at density six improves +the center bound enough to use the comparison interval \([0,8]\), +including for the main cap \(16n\). We also compare that statistic with +last-satisfiable and first-unsatisfiable indices capped at \(10n\). +Changing the cap of the last-satisfiable index has an exponentially +small effect on its normalized mean. Comparison with the first +unsatisfiable index also includes a one-step shift. + +Throughout this section the clauses are independent uniformly signed +proper triples, sampled with replacement, and \(n\ge3\). Recall the +first unsatisfiable index \(H_n\), and write +\begin{equation}\label{eq:three-statistics} + W_n=\min\{H_n-1,10n\},\qquad + T_n=\min\{H_n,10n\},\qquad + V_n=\min\{H_n-1,16n\}. +\end{equation} +Thus \(V_n\) is the statistic of the main proof at \(k=3\). Put +\(\nu_n=\EE W_n/n\), while \(\mu_n=\EE V_n/n\) as before. +For integer \(m\), +\begin{equation}\label{eq:three-survival} +\begin{aligned} + P_n(m)&=\PP(W_n\ge m)&&\quad(0\le m\le10n),\\ + P_n(m)&=\PP(T_n>m)&&\quad(0\le m<10n). +\end{aligned} +\end{equation} +Only the last-satisfiable identity includes its capped endpoint. + +\subsection{The density-six bound and changes of cap} + +Each fixed assignment satisfies a proper triple with probability \(7/8\), +so \(P_n(m)\le2^n(7/8)^m\). Set +\[ + \sigma=2(7/8)^6<1,\qquad \rho=2(7/8)^{10}<1. +\] +The survival-sum identity for the positive integer \(H_n\) gives the +cap-independent bound +\begin{equation}\label{eq:three-h-mean} + \EE H_n=\sum_{m\ge0}P_n(m) + \le6n+\sum_{m\ge6n}2^n(7/8)^m + =6n+8\sigma^n. +\end{equation} +In particular, the normalized means of \(W_n,T_n,V_n\) are all at most +seven for large \(n\). Splitting at \(6n\) also gives the direct estimate +\begin{equation}\label{eq:three-center} + \nu_n\le6+4P_n(6n)\le6+4\sigma^n. +\end{equation} +The matching argument in Lemma~\ref{lem:center-bounds} gives +\(P_n(\lfloor c_0n\rfloor)=1-o(1)\) whenever \(c_0>0\) and +\(e^2c_0<1\). These clause counts lie below both caps, so there is +\(a_0>0\) such that +\begin{equation}\label{eq:three-anchors} + a_0\le\nu_n\le\mu_n\le7 + \qquad\text{for all sufficiently large }n. +\end{equation} +The improved upper bound therefore applies to either cap. + +The exact relations explain the distinction between first and last +indices at the capped endpoint. With the common cap \(10n\), +\begin{equation}\label{eq:three-same-cap} + W_n=T_n-1+\ind_{\{H_n>10n\}} + =T_n-1+\ind_{\{F_{n,10n}\in\sat\}}. +\end{equation} +If \(H_n\le10n\), the indices differ by one; otherwise both equal +\(10n\). To compare \(V_n\) with \(T_n-1\), count the extra satisfiable +prefixes: +\begin{equation}\label{eq:three-cross-cap} +\begin{gathered} + V_n=T_n-1+E_n,\qquad + E_n=\sum_{m=10n}^{16n}\ind_{\{H_n>m\}},\\ + 0\le E_n\le(6n+1)\ind_{\{H_n>10n\}}. +\end{gathered} +\end{equation} +The first term is necessary: \(H_n=10n+1\) gives \(E_n=1\). +Since \(P_n(10n)\le\rho^n\), these identities imply +\begin{align} + 0\le\EE V_n-(\EE T_n-1)&\le(6n+1)\rho^n, + \label{eq:three-mean-bridge}\\ + |\sd(V_n)-\sd(T_n)|&\le(6n+1)\rho^{n/2}. + \label{eq:three-sd-bridge} +\end{align} +For the second estimate, center the identity \(V_n=T_n-1+E_n\) and +apply the reverse triangle inequality in \(L^2\), using +\(\sd(E_n)\le(\EE E_n^2)^{1/2}\). Similarly, +\begin{equation}\label{eq:three-last-cap-bridge} + 0\le V_n-W_n\le6n\ind_{\{H_n>10n\}},\qquad + 0\le\mu_n-\nu_n\le6\rho^n. +\end{equation} +Thus \(\nu_n\to\alpha_3\), since the main proof already gives +\(\mu_n\to\alpha_3\). + +\subsection{Numerical forcing bound and concentration} + +The replacement parameters of Lemma~\ref{lem:replacement} become +\(v=n-1\), \(\varepsilon=n^{-2/3}\), and +\(g=\lceil6n^{1/3}\rceil\), for \(n\ge4\). +For a satisfiable background \(B\), put \(b=b(B)\) and +\(x=q_2(B)=b(b-1)/(4v(v-1))\). When \(x>\varepsilon\), the proof of +that lemma gives \(b\ge3\), and the exact killing probabilities read +\begin{equation}\label{eq:three-killing} + q_3(B)=x^{3/2} + \frac{b-2}{\sqrt{b(b-1)}} + \frac{\sqrt{v(v-1)}}{v-2} + \ge\frac13x^{3/2}. +\end{equation} +Here \(b-2\ge b/3\), \(\sqrt{b(b-1)}\le b\), and +\(\sqrt{v(v-1)}\ge v-2\). Thus \(gq_3(B)>2x\), and the lemma's +independent-block estimate is +\(1-(1-q_3(B))^g\ge1-e^{-2x}\ge x\). +Together with the case \(x\le\varepsilon\), this recovers the uniform +replacement loss \(\varepsilon\). + +The numerical forcing bound follows directly from +\eqref{eq:forcing-general-cap} with \(k=3\) and \(M=10n\): +\begin{equation}\label{eq:three-forcing} + \sum_{j=0}^{10n}\EE\frac{b(F_{n,j})}{n} + \le30e^{30}\lceil6n^{1/3}\rceil + +(150n+15)n^{-2/3} + =O(n^{1/3}). +\end{equation} +The constant \(30\) is the maximum mean incidence count \(3M/n\). +The general proof supplies the conditioning and telescoping needed +for this estimate, including the prefix \(j=10n\). + +Concentration at the smaller cap follows even more directly from the +main variance bound: \(W_n=\min\{V_n,10n\}\). If \(V_n'\) is an +independent copy of \(V_n\) and \(W_n'=\min\{V_n',10n\}\), truncation +is \(1\)-Lipschitz, so +\[ + \Var(W_n)=\tfrac12\EE(W_n-W_n')^2 + \le\tfrac12\EE(V_n-V_n')^2=\Var(V_n). +\] +Proposition~\ref{prop:concentration} and Chebyshev's inequality give +\begin{equation}\label{eq:three-concentration} + \Var(W_n)=O(n^{5/3}),\qquad + \PP\bigl(|W_n-n\nu_n|\ge n^{11/12}\bigr)=O(n^{-1/6}). +\end{equation} +The same powers hold for \(V_n\), with its own finite-size mean. + +\subsection{The comparison range is independent of the cap} + +In the auxiliary model, an ordered triple has distinct variable indices +with probability +\[ + \vartheta_n=\frac{(n)_3}{n^3}=1-\frac3n+\frac2{n^2}. +\] +At density \(c\), Poisson thinning separates a proper-clause count +\(J\sim\Pois(cn\vartheta_n)\) from an independent repeated-variable +family with mean count \(c(3-2/n)\). Therefore +Lemma~\ref{lem:proper-transfer} gives, for every fixed \(D\ge0\) and +\(0\le c\le D\), +\begin{equation}\label{eq:three-density-sandwich} + e^{-3D}\EE P_n(J)\le s_n(c)\le\EE P_n(J),\qquad + cn-3D\le\EE J\le cn,\qquad \Var(J)\le Dn. +\end{equation} +The parameter \(D\) controls the density at which probabilities are +compared. The proof of Theorem~\ref{thm:concentration-to-convergence} +requires \(D>b\); it need not equal the cap. + +By \eqref{eq:three-anchors} and \eqref{eq:three-concentration}, both +\((\lambda,x_n^{(\lambda)})=(10,\nu_n)\) and +\((\lambda,x_n^{(\lambda)})=(16,\mu_n)\) satisfy that theorem's inputs +with +\begin{equation}\label{eq:three-engine-parameters} + (a,b,\delta,\eta)=\left(a_0,7,\frac1{12},\frac16\right),\qquad + (D,R,\gamma,\kappa)=\left(8,24,\frac16,\frac{e^{-24}}2\right). +\end{equation} +Here \(b<\lambda\) for either cap, \(D>b\), and +\(\gamma=\min\{\eta,1-2\delta\}=1/6\). +On \([0,8]\), the repetition mean is at most \(24\), so the sandwich is +\begin{equation}\label{eq:three-poisson-sandwich} + e^{-24}\EE P_n(J)\le s_n(c)\le\EE P_n(J),\qquad + cn-24\le\EE J\le cn,\qquad \Var(J)\le8n. +\end{equation} +For either choice \(z_n=\nu_n\) or \(z_n=\mu_n\), there is an absolute +constant \(K_8<\infty\) such that, uniformly on \(0\le c\le8\) for all +sufficiently large \(n\), +\begin{align} + c\le z_n-2n^{-1/12}&\Longrightarrow s_n(c)\ge e^{-24}/2, + \label{eq:three-transfer-low}\\ + c\ge z_n+2n^{-1/12}&\Longrightarrow s_n(c)\le K_8n^{-1/6}. + \label{eq:three-transfer-high} +\end{align} +The theorem also gives the corresponding size comparisons for either +choice of center: +\begin{align} + z_{r+s}&\ge\min\{z_r,z_s\}-4\min\{r,s\}^{-1/12}, + \label{eq:three-center-sum}\\ + z_{s+1}&\ge z_s-4s^{-1/12}, + \label{eq:three-neighbor} +\end{align} +for all sufficiently large relevant sizes, without a restriction on +\(r/s\) in the first inequality. + +If probabilities are instead compared over the wider interval +\([0,16]\), the same calculation gives \(R=48\), lower sandwich factor +\(e^{-48}\), and lower-transfer constant \(e^{-48}/2\). These are the +constants obtained from the generic choices \(\lambda=16\), \(b=9\), +and \(D=16\) in the main proof. The sharper mean bound permits \(D=8\) +for that same cap, while the \(D=16\) calculation covers a larger range +of densities. diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/README.md b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..bde4800b6e6ca3884ace2102d5e401dd797124d2 --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/README.md @@ -0,0 +1,18 @@ +# [A Linear Clock for Random Walk on Tree-Weighted Planar Maps](linear-clock-random-walk-tree-weighted-planar-maps.pdf) + +**Author:** OpenAI + +**Date:** October 5, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026, + author = {{OpenAI}}, + title = {{A Linear Clock for Random Walk on Tree-Weighted Planar Maps}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/linear-clock-random-walk-tree-weighted-planar-maps.pdf}{OAI:A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/bibliography.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/bibliography.tex new file mode 100644 index 0000000000000000000000000000000000000000..a6470bcf252d4b4978642b408e17995115cf6376 --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/bibliography.tex @@ -0,0 +1,152 @@ +\begin{thebibliography}{99} + +\bibitem{Aldous} +D. Aldous, +\emph{Stopping times and tightness}, +Ann. Probab. \textbf{6} (1978), no.~2, 335--340. +\href{https://doi.org/10.1214/aop/1176995579}{doi:10.1214/aop/1176995579}. + +\bibitem{Berestycki} +N. Berestycki, +\emph{Diffusion in planar Liouville quantum gravity}, +Ann. Inst. Henri Poincar\'e Probab. Stat. \textbf{51} (2015), no.~3, +947--964. +\href{https://doi.org/10.1214/14-AIHP605}{doi:10.1214/14-AIHP605}. + +\bibitem{BG} +N. Berestycki and E. Gwynne, +\emph{Random walks on mated-CRT planar maps and Liouville Brownian motion}, +Comm. Math. Phys. \textbf{395} (2022), no.~2, 773--857. +\href{https://doi.org/10.1007/s00220-022-04482-y}{doi:10.1007/s00220-022-04482-y}. +\href{https://arxiv.org/abs/2003.10320v2}{arXiv:2003.10320v2}. + +\bibitem{Chaiken} +S. Chaiken, +\emph{A combinatorial proof of the all minors matrix tree theorem}, +SIAM J. Algebraic Discrete Methods \textbf{3} (1982), no.~3, 319--329. +\href{https://doi.org/10.1137/0603033}{doi:10.1137/0603033}. + +\bibitem{DMS} +B. Duplantier, J. Miller, and S. Sheffield, +\emph{Liouville quantum gravity as a mating of trees}, +Ast\'erisque \textbf{427} (2021), viii+258 pp. +\href{https://doi.org/10.24033/ast.1149}{doi:10.24033/ast.1149}. +\href{https://arxiv.org/abs/1409.7055v4}{arXiv:1409.7055v4}. + +\bibitem{Dykhne} +A. M. Dykhne, +\emph{Conductivity of a two-dimensional two-phase system}, +Soviet Phys. JETP \textbf{32} (1971), no.~1, 63--65; +translated from Zh. Eksp. Teor. Fiz. \textbf{59} (1970), 110--115. + +\bibitem{FOT} +M. Fukushima, Y. Oshima, and M. Takeda, +\emph{Dirichlet Forms and Symmetric Markov Processes}, +second revised and extended edition, +De Gruyter Studies in Mathematics, vol.~19, +Walter de Gruyter, Berlin, 2011. +\href{https://doi.org/10.1515/9783110218091}{doi:10.1515/9783110218091}. + +\bibitem{GRV} +C. Garban, R. Rhodes, and V. Vargas, +\emph{Liouville Brownian motion}, +Ann. Probab. \textbf{44} (2016), no.~4, 3076--3110. +\href{https://doi.org/10.1214/15-AOP1042}{doi:10.1214/15-AOP1042}. + +\bibitem{GRVForm} +C. Garban, R. Rhodes, and V. Vargas, +\emph{On the heat kernel and the Dirichlet form of Liouville Brownian motion}, +Electron. J. Probab. \textbf{19} (2014), Paper No.~96, 1--25. +\href{https://doi.org/10.1214/EJP.v19-2950}{doi:10.1214/EJP.v19-2950}. + +\bibitem{GHS} +E. Gwynne, N. Holden, and X. Sun, +\emph{A mating-of-trees approach for graph distances in random planar maps}, +Probab. Theory Related Fields \textbf{177} (2020), nos.~3--4, 1043--1102. +\href{https://doi.org/10.1007/s00440-020-00969-8}{doi:10.1007/s00440-020-00969-8}. + +\bibitem{GMMetric} +E. Gwynne and J. Miller, +\emph{Existence and uniqueness of the Liouville quantum gravity metric +for $\gamma\in(0,2)$}, +Invent. Math. \textbf{223} (2021), no.~1, 213--333. +\href{https://doi.org/10.1007/s00222-020-00991-6}{doi:10.1007/s00222-020-00991-6}. + +\bibitem{GMConformal} +E. Gwynne and J. Miller, +\emph{Conformal covariance of the Liouville quantum gravity metric +for $\gamma\in(0,2)$}, +Ann. Inst. Henri Poincar\'e Probab. Stat. \textbf{57} (2021), no.~2, +1016--1031. +\href{https://doi.org/10.1214/20-AIHP1105}{doi:10.1214/20-AIHP1105}. + +\bibitem{GM} +E. Gwynne and J. Miller, +\emph{Random walk on random planar maps: spectral dimension, resistance +and displacement}, +Ann. Probab. \textbf{49} (2021), no.~3, 1097--1128. +\href{https://doi.org/10.1214/20-AOP1471}{doi:10.1214/20-AOP1471}. + +\bibitem{GMSHarmonic} +E. Gwynne, J. Miller, and S. Sheffield, +\emph{Harmonic functions on mated-CRT maps}, +Electron. J. Probab. \textbf{24} (2019), Paper No.~58, 1--55. +\href{https://doi.org/10.1214/19-EJP325}{doi:10.1214/19-EJP325}. + +\bibitem{GMS} +E. Gwynne, J. Miller, and S. Sheffield, +\emph{The Tutte embedding of the mated-CRT map converges to Liouville +quantum gravity}, +Ann. Probab. \textbf{49} (2021), no.~4, 1677--1717. +\href{https://doi.org/10.1214/20-AOP1487}{doi:10.1214/20-AOP1487}. + +\bibitem{GMS2} +E. Gwynne, J. Miller, and S. Sheffield, +\emph{An invariance principle for ergodic scale-free random environments}, +Acta Math. \textbf{228} (2022), no.~2, 303--384. +\href{https://doi.org/10.4310/ACTA.2022.v228.n2.a2}{doi:10.4310/ACTA.2022.v228.n2.a2}. + +\bibitem{LP} +R. Lyons and Y. Peres, +\emph{Probability on Trees and Networks}, +Cambridge Series in Statistical and Probabilistic Mathematics, vol.~42, +Cambridge University Press, New York, 2016. +\href{https://doi.org/10.1017/9781316672815}{doi:10.1017/9781316672815}. + +\bibitem{IG4} +J. Miller and S. Sheffield, +\emph{Imaginary geometry IV: interior rays, whole-plane reversibility, +and space-filling trees}, +Probab. Theory Related Fields \textbf{169} (2017), nos.~3--4, 729--869. +\href{https://doi.org/10.1007/s00440-017-0780-2}{doi:10.1007/s00440-017-0780-2}. +\href{https://arxiv.org/abs/1302.4738v2}{arXiv:1302.4738v2}. + +\bibitem{MSSphere} +J. Miller and S. Sheffield, +\emph{Liouville quantum gravity spheres as matings of finite-diameter trees}, +Ann. Inst. Henri Poincar\'e Probab. Stat. \textbf{55} (2019), no.~3, +1712--1750. +\href{https://doi.org/10.1214/18-AIHP932}{doi:10.1214/18-AIHP932}. +\href{https://arxiv.org/abs/1506.03804v4}{arXiv:1506.03804v4}. + +\bibitem{Mullin} +R. C. Mullin, +\emph{On the enumeration of tree-rooted maps}, +Canad. J. Math. \textbf{19} (1967), 174--183. +\href{https://doi.org/10.4153/CJM-1967-010-x}{doi:10.4153/CJM-1967-010-x}. + +\bibitem{ConformalMaps} +OpenAI, +\emph{Canonical conformal limits of subcritical FK planar maps}, +OpenAI Math Release preprint +\href{https://github.com/openai/math/blob/main/preprints/Canonical-conformal-limits-of-subcritical-FK-planar-maps-September-24-2026/main.pdf}{OAI:Canonical-conformal-limits-of-subcritical-FK-planar-maps-September-24-2026}, +2026. + +\bibitem{MetricMaps} +OpenAI, +\emph{Metric-measure limits of subcritical FK and spanning-tree planar maps}, +OpenAI Math Release preprint +\href{https://github.com/openai/math/blob/main/preprints/Metric-measure-limits-of-subcritical-FK-and-spanning-tree-planar-maps-September-24-2026/main.pdf}{OAI:Metric-measure-limits-of-subcritical-FK-and-spanning-tree-planar-maps-September-24-2026}, +2026. + +\end{thebibliography} diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/paper.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/paper.tex new file mode 100644 index 0000000000000000000000000000000000000000..6b3be69358b16bb518731d8444586d29757c72da --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/paper.tex @@ -0,0 +1,80 @@ +\documentclass[11pt]{article} +\usepackage[T1]{fontenc} +\usepackage{lmodern} +\usepackage[margin=1.1in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{microtype} +\usepackage{enumitem} +\usepackage{booktabs,array} +\usepackage{xcolor} +\usepackage{tikz} +\usetikzlibrary{arrows.meta,calc,patterns,positioning} +\usepackage[hyphens]{url} +\usepackage[colorlinks=true,linkcolor=blue!45!black,citecolor=blue!45!black,urlcolor=blue!45!black]{hyperref} +\hypersetup{pdftitle={A Linear Clock for Random Walk on Tree-Weighted Planar Maps},pdfauthor={OpenAI}} + +\newtheorem{theorem}{Theorem}[section] +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{definition} +\newtheorem{definition}[theorem]{Definition} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\numberwithin{equation}{section} + +\newcommand{\R}{\mathbb R} +\newcommand{\C}{\mathbb C} +\newcommand{\Z}{\mathbb Z} +\newcommand{\N}{\mathbb N} +\newcommand{\E}{\mathbb E} +\renewcommand{\P}{\mathbb P} +\newcommand{\dd}{\mathrm d} +\newcommand{\1}{\mathbf 1} +\newcommand{\en}{\mathsf e} +\newcommand{\enstar}{\mathsf e^{*}} +\newcommand{\cE}{\mathcal E} +\newcommand{\cQ}{\mathcal Q} +\DeclareMathOperator{\EL}{EL} +\let\Cap\relax +\DeclareMathOperator{\Cap}{Cap} +\DeclareMathOperator{\supp}{supp} +\DeclareMathOperator{\diam}{diam} +\DeclareMathOperator{\dist}{dist} +\DeclareMathOperator{\vol}{vol} +\DeclareMathOperator{\osc}{osc} +\DeclareMathOperator{\Law}{Law} +\DeclareMathOperator{\Var}{Var} +\DeclareMathOperator{\Area}{Area} +\newcommand{\articleid}[1]{\begingroup\Urlmuskip=0mu plus 2mu\relax\nolinkurl{#1}\endgroup} +\setlist{topsep=4pt,itemsep=3pt,parsep=0pt} +\setlength{\emergencystretch}{2em} + +\title{A Linear Clock for Random Walk\\on Tree-Weighted Planar Maps} +\author{OpenAI} +\date{October 5, 2026} + +\begin{document} +\maketitle +\begin{abstract} +We prove that stationary random walk on a planar map sampled with weight +equal to its number of spanning trees converges to Liouville Brownian +motion on the unit-area $\sqrt2$-Liouville quantum sphere. The convergence +retains the conditional path law jointly with the measured metric space. +The walk chooses uniformly among all incident half-edges and starts from +the stationary degree measure. For total attempt rate one and the +continuum Dirichlet form with factor $1/2$, the time acceleration is exactly +the number of map edges. The result uses the companion contour and metric +limits for this same ensemble. +\end{abstract} + +\tableofcontents +\input{sections/01-introduction} +\input{sections/02-inputs} +\input{sections/03-nondegeneration} +\input{sections/04-energy} +\input{sections/05-sphere} +\input{sections/06-green} +\input{sections/07-dynamics} +\input{bibliography} +\end{document} diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/01-history.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/01-history.tex new file mode 100644 index 0000000000000000000000000000000000000000..1d4ff44dd4c2e55936e0dfa1d076c0c4b07cf507 --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/01-history.tex @@ -0,0 +1,55 @@ +Mullin's enumeration of tree-rooted maps \cite{Mullin} gives the +combinatorial starting point: the selected spanning tree and its +complementary dual tree encode a map by a two-coordinate walk. The +continuum counterpart is the mating-of-trees construction of +Duplantier, Miller, and Sheffield \cite{DMS}. At $\gamma=\sqrt2$ its +boundary-length coordinates are independent Brownian motions. Miller +and Sheffield \cite{MSSphere} give the corresponding finite-area +sphere description, and their imaginary-geometry construction +\cite{IG4} supplies the space-filling $\mathrm{SLE}_8$ between the two +continuum trees. Couplings of discrete and continuum encodings have +also been used to compare graph distances across random-map models +\cite{GHS}. The continuum metric itself is characterized in +\cite{GMMetric}, with conformal covariance established in +\cite{GMConformal}. + +Liouville Brownian motion was constructed by Garban, Rhodes, and Vargas +\cite{GRV} and independently by Berestycki \cite{Berestycki} through a +change of Brownian time determined by quantum area. Its Dirichlet-form +description \cite{GRVForm} separates two structures: the energy is +conformally invariant, while the speed measure is quantum area. This +distinction explains why the clock is a separate part of a random-map +scaling limit. + +Several works establish important parts of the discrete picture. +Gwynne, Miller, and Sheffield prove convergence of the Tutte embedding +of mated-CRT maps, including conditional walk-law convergence modulo +time parameterization \cite{GMS}. Their estimates for harmonic +functions compare discrete and continuum energies up to constants and control +oscillation \cite{GMSHarmonic}; their invariance principle for ergodic +scale-free environments develops a broader framework for embedded +networks \cite{GMS2}. Gwynne and Miller obtain resistance, +return-probability, and displacement estimates for several infinite +random planar maps, including spanning-tree-weighted maps \cite{GM}. + +Berestycki and Gwynne prove parameterized, quenched convergence to +Liouville Brownian motion for mated-CRT maps \cite{BG}. Their +deterministic time scale is an annealed exit-time median, comparable +to the inverse quantum area of a cell. Whether its ratio to that +inverse area converges is left open in \cite[Remark~1.3]{BG}. +Theorem~\ref{thm:main} concerns +the finite combinatorial tree-weighted map and its stationary +half-edge walk. It retains the conditional path law together with +metric and area, and identifies the acceleration as exactly $n$ +for \eqref{eq:continuum-form}. + +Our geometric inputs are the companion results in \cite{MetricMaps}. +The nondegeneration argument adapts the local-flow method in +\cite[Section~``The canonical conformal structure'']{ConformalMaps} +to a primal and a dual electrical network. The use of planar duality +to determine an effective conductivity has classical precedents, +including Dykhne's exact-conductivity argument \cite{Dykhne}. Here +we must first construct the energy limit without regularity +assumptions on the shapes of discrete faces. A separate Green +estimate in the original finite-map law then controls sources of +small stationary mass and supplies the missing clock information. diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/01-introduction.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/01-introduction.tex new file mode 100644 index 0000000000000000000000000000000000000000..b1ed7b8350412af684ec023fb752a47716345c7a --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/01-introduction.tex @@ -0,0 +1,199 @@ +\section{Introduction}\label{sec:introduction} + +A scaling limit for the metric and area of a random surface does not by +itself determine the motion of a particle on that surface. The electrical +conductances of the approximating graphs can change the limiting +diffusion, even when their measured metric spaces converge. A further +question is whether the time needed to see the continuum motion has a +single deterministic normalization. + +We resolve this question for planar maps weighted by their numbers of +spanning trees. The geometric input is the metric-measure limit and the +contour reconstruction theory of \cite{MetricMaps}. We prove the additional +convergence of the conditional walk laws, with an exact linear clock. +The proof separates the identification of the electrical energy from the +control of the speed measure. This separation is useful because neither +part follows from metric-measure convergence alone. + +\subsection{The model and the continuum process} + +A rooted planar map is a finite connected graph embedded in the oriented +sphere, up to orientation-preserving homeomorphism, with a distinguished +oriented edge. Loops and multiple edges are allowed. For $n\ge1$, let +$(M_n,T_n)$ be uniform among rooted maps with $n$ edges decorated by one +of their spanning trees. Thus the marginal weight of $M_n$ is proportional +to its number of spanning trees; conditional on $M_n$, the tree $T_n$ is +uniform. Write $V_n$ for the vertex set and $d_n$ for graph distance using +all map edges, each of length one. Set +\begin{equation}\label{eq:degree-measure} + \mu_n=\sum_{v\in V_n}\frac{\deg(v)}{2n}\,\delta_v, +\end{equation} +where each loop contributes two to the degree. + +Conditional on the map, let $X^n$ start from $\mu_n$. At the times of an +independent rate-one Poisson process it chooses an incident half-edge +uniformly and moves to its other endpoint. Choosing a loop makes no +displacement. Its generator is +\begin{equation}\label{eq:walk-generator} + (L_nf)(v)=\frac1{\deg(v)} + \sum_{e\text{ a half-edge at }v} + \bigl(f(\operatorname{other}(e))-f(v)\bigr). +\end{equation} +The measure $\mu_n$ is stationary and reversible for this walk. + +Let $(S,h)$ be an ordinary unit-area $\sqrt2$-Liouville quantum sphere, +with its distinguished points forgotten. We use the ordinary fixed-area +sphere law of Duplantier, Miller, and Sheffield \cite{DMS}. Its quantum +area measure $\mu_h$ has total mass one. Write $D_h$ for its Liouville +quantum gravity metric in a fixed deterministic normalization. Identify +the underlying conformal sphere with the round sphere. The continuum +process $B^h$ is the conservative $\mu_h$-symmetric diffusion associated +with the closure on $L^2(\mu_h)$ of +\begin{equation}\label{eq:continuum-form} + \cE_h(f,g)=\frac12\int_{S^2} + \langle\nabla f,\nabla g\rangle_{\mathrm{round}} + \,\dd\vol_{\mathrm{round}}, + \qquad f,g\in C^\infty(S^2). +\end{equation} +The closed form uses quasi-continuous representatives. This is Liouville +Brownian motion, started with conditional law $\mu_h$; see +\cite{GRV,Berestycki} and the Dirichlet-form framework in \cite{FOT}. +Conformal invariance of the two-dimensional Dirichlet integral makes +\eqref{eq:continuum-form} independent of the conformal coordinate. Its +factor $1/2$ fixes the continuum clock. + +For precision we fix the spatial normalization used throughout. For a +finite real random variable $Y$, let $m(Y)$ be the unique real solution +of $\E[\arctan(Y-m(Y))]=0$. Put +\begin{equation}\label{eq:spatial-normalization} + \Delta_n=\max\{1,\diam(V_n,d_n)\},\qquad + \Delta=\diam(S,D_h),\qquad + a_n=\exp\{m(\log\Delta)-m(\log\Delta_n)\}. +\end{equation} +Both centers use unconditional laws, so $a_n$ is deterministic. We use +the geometric limit of \cite{MetricMaps} in the form +\begin{equation}\label{eq:metric-premise} + a_n\longrightarrow0, + \qquad (V_n,a_nd_n,\mu_n) + \xrightarrow{\ d\ }(S,D_h,\mu_h) + \quad\text{in Gromov--Hausdorff--Prokhorov topology}. +\end{equation} +The contour and topological results from that work needed in addition +to \eqref{eq:metric-premise} are stated in Section~\ref{sec:inputs}. + +\subsection{Retaining the conditional path law} + +Fix $T>0$. If $(K,d,\mu)$ is a compact metric probability space, let +$Q$ be a Borel probability measure on $D([0,T],K)$. We regard +$(K,d,\mu,Q)$ up to isometries transporting both measures. For two such +quadruples, define $\delta_T$ as the infimum over isometric embeddings +$i:K\to Z$ and $j:K'\to Z$ into a common complete separable metric space +of +\begin{equation}\label{eq:delta} + \max\left\{ + d_H^Z(iK,jK'),\ d_P^Z(i_*\mu,j_*\mu'),\ + d_P^{D([0,T],Z)}(i_*Q,j_*Q')\right\}. +\end{equation} +Here $d_H$ and $d_P$ denote Hausdorff and Prokhorov distances. The last +term uses the Skorokhod $J_1$ topology: time changes are increasing +continuous bijections of $[0,T]$, and both their uniform time displacement +and the uniform spatial discrepancy tend to zero. Each of the three +distances may be truncated at one. An embedding acts on a path at every +time. + +\begin{samepage} +\begin{theorem}[Linear clock and conditional laws]\label{thm:main} +For every finite $T>0$, define +\[ + Q_n^T=\Law\bigl((X^n_{nt})_{0\le t\le T}\mid M_n,T_n\bigr), + \qquad + Q_h^T=\Law\bigl((B^h_t)_{0\le t\le T}\mid h\bigr). +\] +With the spatial normalization \eqref{eq:spatial-normalization}, +\[ + (V_n,a_nd_n,\mu_n,Q_n^T) + \xrightarrow{\ d\ }(S,D_h,\mu_h,Q_h^T) + \qquad\text{for }\delta_T, +\] +through all positive integers $n$. Thus the deterministic clock +multiplier for \eqref{eq:walk-generator} and \eqref{eq:continuum-form} +is $c=1$. +\end{theorem} +\end{samepage} + +The random probability law is part of the state in Theorem~\ref{thm:main}. +For example, the same argument gives joint convergence of any fixed +number of conditionally independent stationary walks on the same map: +in a common embedding, the associated conditional joint laws are the +finite products of $Q_n^T$. Their weak convergence follows from that of +$Q_n^T$. This preserves information about the shared environment. + +\subsection{Context and related work} +\input{sections/01-history} + +\subsection{Proof strategy and reusable estimates} + +For a finite graph embedded in the sphere, write +\begin{equation}\label{eq:network-energy} + \en(u)=\sum_{ab\in E}(u(a)-u(b))^2, +\end{equation} +with one term for each unoriented edge, including multiplicities. Loops +contribute zero. The same convention defines $\enstar$ on the dual graph. +The two main tasks are to identify the limit of these unnormalized +energies and to pass from that limit to motion in actual time. + +The contour description of the map gives local finite graph pieces in +conformal coordinates. Section~\ref{sec:inputs} explains why the local +reconstruction and conditional-kernel calculations of \cite{MetricMaps} +also apply to extremal lengths and constrained energy minima on these +pieces. Exact edge incidences matter here: approximation of graph +distances alone would not identify an energy. The extension retains +compact numerical outputs before extracting a subsequence, and uses a +change of measure depending only on the contour inputs. + +Section~\ref{sec:nondegeneration} proves bounded-energy cutoff estimates +without geometric control of individual faces. Its central argument is +a planar obstruction to simultaneous degeneracy of the primal and dual +networks. If annular extremal lengths could vanish, low-energy flows +would have a nonzero limiting average length measure. Locality and +triviality of field point germs produce transverse primal and dual +crossing flows at a typical point. Every such pair crosses an edge and +its dual, contradicting the vanishing traffic norms. The cutoffs then +yield harmonic compactness. + +Section~\ref{sec:energy} identifies every local variational limit as +$\lambda\int|\nabla u|^2$, with the same positive deterministic $\lambda$ +for the primal and dual. To determine $\lambda$, we compare a condenser +on an annulus with the period of its rotated current. The comparison in +one direction gives $\lambda\le1$; recovery of an angular cochain and +the signed primal--dual pairing give $\lambda\ge1$. Thus the coefficient +is exactly one in every subsequence. Section~\ref{sec:sphere} transfers +the result to fixed-area spheres using interior excursion densities and +removes the single omitted contour endpoint by zero Sobolev capacity. + +The remaining speed-measure issue is addressed by the following estimate, +proved in Section~\ref{sec:green}. Let $H_n$ be the positive unweighted +graph Laplacian. For $\mu_n(f)=0$, define $G_nf$ by +$H_nG_nf=\mu_nf$ and $\mu_n(G_nf)=0$, where the product $\mu_nf$ on the +right denotes its vector of vertex masses. For every $0<\rho<1/2$ there +are map-measurable random variables $A_n$ with +$\sup_n\E A_n<\infty$ such that, simultaneously for $\|f\|_\infty\le1$, +\begin{equation}\label{eq:intro-green} + \|G_nf\|_\infty\le A_n\,\mu_n(|f|)^\rho. +\end{equation} +Its proof is entirely in the fixed-size map law. A spanning-forest +identity expresses the centered inverse Laplacian through tree cuts; +the contour bijection expresses each cut size as one plus a dual-tree +distance. Dyck-excursion estimates then control the interval sums. +This estimate can be used independently of the energy identification. + +Finally, Section~\ref{sec:dynamics} uses \eqref{eq:intro-green} to obtain +uniform resolvent convergence and a stopping-time tightness estimate. +The resolvents identify the conditional path laws by their integrated +finite-dimensional distributions. The normalization is visible already +at the discrete level: +\[ + -\langle f,nL_nf\rangle_{L^2(\mu_n)}=\tfrac12\en(f). +\] +Combining this identity with the coefficient $\lambda=1$ gives the clock +in Theorem~\ref{thm:main}. diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/02-inputs.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/02-inputs.tex new file mode 100644 index 0000000000000000000000000000000000000000..a3a31beeffaaac750fdf8a9f8f69055c0a70a2ca --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/02-inputs.tex @@ -0,0 +1,1091 @@ +\section{Sewing and local electrical observations} +\label{sec:inputs} + +Electrical energy depends on every edge, including parallel edges. +Consequently, a description that approximates graph distances does not +by itself suffice for our purpose. This section explains how the local +sewing construction of \cite{MetricMaps} retains exact graph pieces and +gives conditional laws for numerical observations on those pieces. +The observations may be extremal lengths or constrained energy minima; +we do not yet assert that they are bounded or identify their limits. +The construction has three parts. We recover complete finite graph +pieces from contour cells, pass their numerical observations to +conditional limiting laws, and then read those laws from the fields +in the corresponding spatial regions. + +Throughout this section, +\[ + \gamma=\sqrt2,\qquad Q=\frac2\gamma+\frac\gamma2=\frac3{\sqrt2}, + \qquad \chi=\frac1{\sqrt2}. +\] +All quantum surfaces use the field and boundary-length normalizations of +\cite{MetricMaps}. A compact containment $K\Subset U$ means that $K$ is +compact and contained in the open coordinate domain $U$. A buffer for +$K$ is an open neighborhood whose closure is compactly contained in $U$. + +\subsection{The discrete graph and its continuum background} + +Let $Z^{\mathrm d}=(L^{\mathrm d},R^{\mathrm d})$ be a bilateral walk +whose increments are independent and uniform on the four axial unit +vectors. For integer times $i\le j$, set +\begin{equation}\label{inp:vertex-equivalence} + i\sim_L j + \quad\Longleftrightarrow\quad + L^{\mathrm d}_i=L^{\mathrm d}_j + =\min_{i\le k\le j}L^{\mathrm d}_k. +\end{equation} +The equivalence classes are the primal vertices. Horizontal steps give +tree edges between consecutive classes, with the two traversals of a +tree edge counted as one edge. A vertical up-step ending at $u$ and +the vertical down-step ending at $v>u$ are matched when +\begin{equation}\label{inp:step-match} + R^{\mathrm d}_{u-1}=R^{\mathrm d}_v + <\min_{u\le k=Stealth, + every node/.style={font=\small}] + \fill[blue!7] (-0.15,2.1) rectangle (6.15,2.55); + \fill[blue!7] (-0.15,0.4) rectangle (6.15,0.85); + \draw[->,gray] (-1.7,0) -- (-1.7,3.1) node[above] {height}; + \draw[thick] (0,0.15) -- (0,2.95) node[above] {$b$}; + \draw[thick] (3,1.5) -- (3,2.95) node[above] {$w$}; + \draw[thick] (6,0.15) -- (6,2.95) node[above] {$d$}; + \draw[->,blue!65!black,thick] (0.08,2.3) -- (2.92,2.3); + \draw[->,blue!65!black,thick] (3.08,2.3) -- (5.92,2.3); + \draw[->,blue!65!black,thick] (0.08,0.62) -- (5.92,0.62); + \node[above] at (1.5,2.3) {$b\to w$}; + \node[above] at (4.5,2.3) {$w\to d$}; + \node[below] at (3,0.62) {$b\to d$}; + \draw[densely dashed] (-1.9,1.5) -- (6.4,1.5); + \node[left] at (-1.9,1.5) {$H$}; + \fill (3,1.5) circle (2pt); + \node[anchor=west,fill=white,inner sep=2pt] at (3.25,1.73) + {$s_w^a+m_w^a$}; + \draw[red!65!black,very thick] (-0.65,0.45) -- (-0.65,2.5); + \draw[red!65!black] (-0.85,0.45) -- (-0.45,0.45); + \draw[red!65!black] (-0.85,2.5) -- (-0.45,2.5); + \node[anchor=east,rotate=90,red!65!black] at (-0.93,2.45) + {uncapped band}; +\end{tikzpicture} +\caption{A triple contact in height coordinates. The shaded strips +indicate positive intervals of shared quantum-boundary heights; +they are not drawings of Euclidean seams. The outer pair is linked +below $H$, while above $H$ each outer run is linked to the middle +run. The middle run's exact discrete minimum caps the outer-pair +band.} +\label{inp:triple-figure} +\end{figure} + +We use bands lying inside these shared height intervals with positive +margins at their effective endpoints, with two exceptions prescribed +by the record data. At a natural lower record minimum the rational +band starts below the minimum and is clipped by the exact record +condition. At an upper endpoint with the three-seam configuration, +the band is clipped by the exact selected minimum +\eqref{inp:exact-cap}. These are the admissible band choices in +the proof of Lemma ``Finite-band reconstruction'' of +\cite{MetricMaps}. All their tests use the local tagged frontiers, +relative increments, and quantum lengths just described. + +\begin{samepage} +\begin{lemma}[Complete graph pieces in a buffer]\label{inp:complete-core} +Fix $K\Subset U$ in a coordinate chart. Almost surely, there is a +finite prescription, selectable from the local cells in $U$ and their +frontier data, with the following property. In a neighborhood of $K$, +its instruction graph agrees with the actual discrete graph, including +vertex equalities and all edge incidences, for all sufficiently large +resolutions in the coupling. The same prescription can retain both +the primal and the dual graph. One can require any fixed smaller +collar of this neighborhood before restricting the tests to it. + +The prescriptions can be taken from the countable instruction scheme +above and chosen measurably using the fields and spatial cut marks +in $U$, with an arbitrarily small open buffer. The assertion also +holds in the interior of a fixed interval cell, using only its +internal increment string. +\end{lemma} +\end{samepage} + +\begin{proof} +We use the exact-incidence part of the proof of Lemma ``Finite-band +reconstruction'' in \cite{MetricMaps}. We give the argument because +exactness, rather than an approximation of path costs, is essential +for energy tests. + +Choose $r>0$ so that the closed $3r$-neighborhood of $K$ lies in $U$. +Properness bounds all its visit times in a finite window. Refine the +Poisson cuts until every cell meeting this neighborhood has diameter +less than $r$. Select all cells meeting the closed $2r$-neighborhood +of $K$ and merge consecutive selected cells into maximal runs. These +runs are disjoint intervals; all visits sufficiently near $K$ lie in +them. Their endpoints stay away from $K$, since otherwise the +neighboring cell would also have been selected. Local traversal +data identify the selection: first inspect a slightly larger buffer +and require the portions around every visit to the smaller compact +to be flanked by marks while they remain in that buffer. Properness, +continuity, and refinement make this condition hold eventually. +No global index for the retained runs is part of this inspection. + +Consider one coordinate and two selected runs $b0$ the intervening durations. +Complete the union of the package forests to a tree $T$ on these +blocks. Give its extra offsets independent positive densities. +If the density on an edge $e$ is $\rho_e$, use lattice mass +\[ + r_{m,e}(a)=\int_{a-\epsilon_m/2}^{a+\epsilon_m/2} + \rho_e(u)\,\dd u, + \qquad a\in\epsilon_m\mathbb Z. +\] +Let $p_t(j)$ be the transition mass of one coordinate of the +unscaled rate-one axial Poisson walk, so its variance rate is +$\sigma^2=1/2$. The exact density of the actual relative starts +with respect to these reference offsets is +\begin{equation}\label{inp:density} + W_m^a= + \frac{\displaystyle\prod_{i=1}^{k-1} + p_{mg_i}\bigl(\epsilon_m^{-1}(s_{i+1}-s_i-e_i)\bigr)} + {\displaystyle\prod_{e\in T}r_{m,e}(a_e)}. +\end{equation} +Indeed, tree differences and consecutive differences are related +by an integer linear map with integer inverse, obtained by summing +along paths in $T$. Its determinant is $\pm1$, so there is no +lattice multiplicity. Multiply \eqref{inp:density} for the two +coordinates and include the density ratio for the durations and +cuts to obtain $W_m$. + +On compact input sets with all gaps bounded below by a positive +constant, the local central limit theorem gives +\[ + \epsilon_m^{-1}p_{mt}(j) + \longrightarrow + (2\pi\sigma^2t)^{-1/2} + \exp\{-x^2/(2\sigma^2t)\}, + \qquad x=\epsilon_m j,\quad \sigma^2=\tfrac12, +\] +uniformly in bounded $x$ and in such $t$. The numerator and +denominator of \eqref{inp:density} have the same number of lattice +factors. They cancel, leaving uniform convergence $W_m\to W$ to +a continuous finite function on these compact sets. + +Conditional on the selected inputs, the omitted strings are +independent bridges and are independent of the numerical outputs. +Their rescaled laws converge uniformly on these input sets to +Brownian bridge laws. For completeness, their finite-dimensional +densities are ratios of transition masses, so the preceding local +limit theorem applies. On the first half of a bridge the density +relative to the free walk is bounded by +\[ + \frac{\sup_j p_{m(t-u)}(j)}{p_{mt}(j_0)}\le C, + \qquad u\le t/2, +\] +when $t$ and $\epsilon_mj_0$ range in the chosen compact sets. +The numerator is at most $C\epsilon_m$ and the denominator at +least $c\epsilon_m$. Free-walk tightness and the reversed argument +on the other half prove uniform bridge tightness. The same applies +to a finite list of gaps and to exterior contour portions on a +bounded window. + +The full independent reference experiments converge jointly to the +product of their limits, because their output spaces are compact +and their input marginals converge. Let $a$ denote the completion +offsets and $z$ the omitted bridges. Integrating bounded continuous +bridge tests first, the preceding uniform convergence gives the +limiting actual law +\begin{equation}\label{inp:weighted-law} + W(x,a)\,\nu(\dd x,\dd a)\, + \mathcal B(x,a;\dd z)\prod_rK_r(x_r,\dd y_r). +\end{equation} +The weight and the bridge law depend only on contour inputs. +The complete contour and cuts recover $(x,a,z)$, so disintegration +of \eqref{inp:weighted-law} gives \eqref{inp:conditional-product}. + +To remove the compact restrictions, first keep all finitely many +limiting gaps positive, then bound endpoints and offsets, and +finally restrict the block paths to compact sets. Under the actual +law the excluded probability tends to zero by finite-window contour +tightness. If $P_m$ is the actual law and $Q_m$ the reference law, +the exact identity +\[ + \E_{Q_m}[W_m\1_{A^c}]=P_m(A^c) +\] +controls the omitted density mass. No global bound on $W_m$ is +required. Exhaustion, followed by a monotone-class argument, gives +the assertion for bounded measurable tests and for the entire +bilateral contour. + +A change of reference density adds another input-only density +ratio, continuous in the limit on compact sets, and thus leaves +$K_r$ unchanged. Forest bases are related by unimodular integer +maps. The pushed-forward lattice cells and the directly discretized +cells have the same volume and vanishing diameter. Their mass +ratios converge to one on compact sets; tightness makes the two +lattice laws converge in total variation. This comparison remains +valid after applying a discontinuous graph-output map. Absolute +time labels and the order of unrelated blocks occur only in +$W_m$, and disappear from the conditional output law. + +For merged tests one must also check the old output. Begin with +the old independent blocks, their offsets, and their old numerical +outputs. Insert the formerly omitted positive-duration gaps by +the exact density and bridge construction. The resulting string +has the new master-block law. Recompute the old graph from its +unchanged active windows and bands, and compute the new union graph +as a separate output on that same string. Formula +\eqref{inp:weighted-law}, applied before conditioning on the new +master string, proves the old conditional marginal. It never +evaluates a previously chosen kernel on a forced-offset diagonal. +Windows with a common endpoint were already within one maximal +run, so no positive-density argument is applied to a zero-length +gap. Jointly retaining finite vectors proves consistency for all +refinements and unions, and then for the countable library. + +Every step used only compactness of the output coordinates and +their measurability from their own package. Thus it applies to +the energy and extremal-length tests, with any deterministic +normalization. It does not require continuity of those outputs +or preservation of conditional independence under arbitrary weak +limits. Finally, after conditioning the identities hold for all +countably retained templates on one event; contour- and +cut-measurable selection from them is therefore permitted. +\end{proof} + +\subsection{Spatial locality and changes of quantum units} + +The preceding kernels are indexed by contour blocks. To use them +in disjoint spatial regions, their inputs must be readable from +the fields in those regions. This is where oriented cells and +relative frontier heights enter. + +\begin{proposition}[Local numerical-array kernels]\label{inp:local-kernels} +On each open coordinate domain, take the limits of the numerical +tests on complete buffered prescriptions, with relative labels +localized to their cells. Conditional on $(h,\widehat h)$, the +resulting local arrays admit kernels depending only on the fields +in an arbitrarily small open enlargement of the testing region. +Arrays using disjoint such enlargements are conditionally +independent given the complete fields. + +One may retain the local Poisson marks. Their conditional laws are +the corresponding Poisson processes with intensity proportional +to $\mu_h$, and their restrictions to disjoint domains are +independent. The kernels are consistent under restriction, +common refinements, and compact exhaustion. +\end{proposition} + +\begin{proof} +Proposition ``Background locality'' in \cite{MetricMaps} +states that $\widehat h$ in a buffer determines the oriented curve +segments through the testing region. The restriction of $h$ +gives their area parameterizations and their directed frontier +lengths. These data determine the locally retained marked cells. +For a segment from time $s$ to time $t$, its coordinate increment +is the outgoing frontier length minus the incoming frontier +length of that coordinate, with tagged multiplicities retained: +\begin{equation}\label{inp:frontier-increments} + Z^q_t-Z^q_s + =\nu_h(\partial_q^{\mathrm{out}}\eta([s,t])) + -\nu_h(\partial_q^{\mathrm{in}}\eta([s,t])), + \qquad q\in\{L,R\}. +\end{equation} +Formula \eqref{inp:frontier-increments} reads +the increments without an absolute contour height. Positive +shared seams read the forest offsets, and the three-seam +configuration in Lemma~\ref{inp:complete-core} reads the offsets +needed at a minimum cap. Durations and relative cuts are local +area data. Thus all four types of input in +Lemma~\ref{inp:kernel-transfer} are local. + +For finitely many prescriptions in disjoint spatial domains, +merge within each domain. Different domains use disjoint cells; +two runs from different domains cannot share a cut, since its +image would belong to both compactly contained cells. Their +intervening chronological gaps are therefore positive even if +the runs interleave in time. Lemma~\ref{inp:kernel-transfer} +gives their product law conditional on the contour and cuts. +Its invariance under labels and forest bases lets us enumerate +the cells locally without retaining a global cut index. + +Adjoin the continuum background by the conditional sampling +convention above. The product formula remains valid upon +conditioning additionally on the fields. Its factors are now +measurable functions of the local fields and spatial marks, +by the preceding input reconstruction. Conditional expectation +therefore gives the same product formula given the complete +fields and spatial marks. This is exactly the argument of +Proposition ``Spatial product kernels'' in \cite{MetricMaps}, applied to the +enlarged output vector of Lemma~\ref{inp:kernel-transfer}. + +The time cuts are independent of the continuum background. +Area parameterization and the Poisson +mapping theorem give their spatial conditional intensity +$\rho\mu_h$ for a layer of time intensity $\rho$. +Write $\Pi_i$ for the marks in the $i$th domain and +$K_i^{\mathrm{marks}}(h,\widehat h,\Pi_i;\cdot)$ for the +conditional output kernel already obtained. Given the fields, +the marks have independent Poisson laws, and hence the output +law after removing them is +\[ + \bigotimes_i\int K_i^{\mathrm{marks}} + (h,\widehat h,\pi_i;\cdot)\, + \operatorname{Pois}_{\rho\mu_h|_{U_i}}(\dd\pi_i). +\] +This proves the fields-only assertion. It uses no independence +between the marks and the numerical arrays, whose tests may +depend on those marks. Alternatively, retain each $\Pi_i$ +together with its array as the local output. +Finite joint consistency and the countable prescription library +then give the kernel on all tests. Lemmas +\ref{inp:complete-core} and~\ref{inp:sandwich} identify its +buffered exhaustion with the corresponding observations from +the actual graph. No additional conditioning on exterior +numerical outputs is used. +\end{proof} + +\begin{proposition}[Coordinate and unit transport]\label{inp:transport} +The kernels in Proposition~\ref{inp:local-kernels} can be retained +jointly with the following transformations. +\begin{enumerate} +\item For a fixed conformal coordinate map $\phi$, pull back the +fields by +\[ + g\longmapsto g\circ\phi+Q\log|\phi'|, + \qquad + \widehat g\longmapsto\widehat g\circ\phi-\chi\arg\phi'. +\] +The numerical-array law is transported by the corresponding +spatial relabeling of its tests. +\item Fix $v=2^k$, $k\in\mathbb Z$, and put +$c_v=\gamma^{-1}\log v$. Expressing the surface in the field +$g-c_v$ replaces area time by time divided by $v$ and replaces +rate $m$ by rate $mv$. Electrical energies and extremal lengths +are unchanged by this relabeling. If a numerical output is +divided by $b_m$, retain this same factor $b_m$ in the $mv$ +experiment of the joint extraction. +\item Write $K_{(1)}$ for the original local law, including the +mark kernel, and $K_{(v)}$ for the law of the corresponding +transformed rate experiment. Then +\begin{equation}\label{inp:unit-kernel} + K_{(v)}(g,\widehat g) + =\operatorname{Relabel}_v K_{(1)}(g+c_v,\widehat g). +\end{equation} +All fixed dyadic indices, their transformed templates, and the +required Poisson layers may be retained in one joint extraction. +\end{enumerate} +\end{proposition} + +\begin{proof} +This is the finite-experiment identity underlying Proposition ``Intrinsic +transport and fixed quantum units'' in \cite{MetricMaps}. +A conformal change leaves quantum areas, frontier lengths, +directed seam roles, and their relative heights unchanged. +Hence it leaves the finite instruction graph unchanged and +only changes the projection of its labels. + +Adding $c_v$ multiplies areas by $v$ and boundary lengths by +$\sqrt v$. Thus the block inputs transform as +\begin{equation}\label{inp:block-units} + \ell\longmapsto v\ell, + \qquad z(t)\longmapsto\sqrt v\,z(t/v), + \qquad o\longmapsto\sqrt v\,o. +\end{equation} +Cuts transform with time; band endpoints, their anchors, and +selected minima transform with height. A rate-$m$ Poisson +string of duration $v\ell$ is, after this time change, a +rate-$mv$ string of duration $\ell$. The height lattices agree +because $\sqrt v\,(mv)^{-1/2}=m^{-1/2}$. Matching strips and +minimum comparisons are exactly the same integer tests. +Therefore the numerical costs on the resulting graph are +identical. Smooth sampling densities may change, but +Lemma~\ref{inp:kernel-transfer} leaves the conditional kernels +unchanged. + +The cuts must be transformed too. At field $g+c_v$, the layer +corresponding to a fixed layer at field $g$ has time intensity +divided by $v$. Its spatial intensity is then unchanged. +Choose a countable family of layers closed under these changes, +with independent layers and nested refinements as required. +Their joint input and output identities give +\eqref{inp:unit-kernel}. A fixed field translation is locally +equivalent to the Gaussian reference law, as specified below; +this makes the identity valid under that fixed reference +marginal as well. No estimate uniform in unbounded $v$ is +asserted or needed. +\end{proof} + +For exhaustion of the plane we retain the joint cone normalization, +not only the deterministic-coordinate kernel identity. In the +circle-average embedding define +\begin{equation}\label{inp:joint-zoom} +\begin{split} + r_v&=\sup\{r>0:h_r(0)+Q\log r=c_v\},\\ + h^{(v)}&=h(r_v\,\cdot)+Q\log r_v-c_v, + \qquad \widehat h^{(v)}=\widehat h(r_v\,\cdot),\\ + \eta^{(v)}(t)&=r_v^{-1}\eta(vt), + \qquad Z^{(v)}(t)=v^{-1/2}Z(vt). +\end{split} +\end{equation} +The complete marginal has the original cone peanosphere law, by +the joint zoom in \cite{MetricMaps} and +\cite[Proposition~4.13(i)]{DMS}. The positive dilation preserves +the independent stationary-phase imaginary-field law. These +transformations are applied to the contour, raw arrays, and full +background together, before disintegration. Thus field-dependent +reembedding does not require substituting a random map into +separately chosen versions of deterministic-coordinate kernels. +Moreover $r_{2^k}\to\infty$ as $k\to\infty$: the level $c_{2^k}$ +diverges, whereas $h_r(0)+Q\log r$ is bounded above on compact +sets of radii and tends to $-\infty$ as $r\downarrow0$. +Ordinary patches inside these normalized disks therefore exhaust +the plane away from the cone point. + +\begin{lemma}[Ordinary Gaussian reference patches]\label{inp:gaussian} +On a buffered patch compactly inside the cone's normalization +disk and away from its marked point, the actual real and +imaginary fields are locally equivalent to Gaussian reference +restrictions. The real-field pinning circle can be fixed outside +all testing buffers. This comparison preserves the actual +additive constant and can be made after any fixed affine change +of coordinates. + +Adjoining any of the local kernels above preserves the same +field-only Radon--Nikodym derivative. Consequently one fixed +density truncation transfers high-probability events uniformly +over all kernels attached to that reference marginal. Fixed +additive real-field shifts and the fixed coordinate transforms +used in Proposition~\ref{inp:transport} preserve the corresponding +local null sets. +\end{lemma} + +\begin{proof} +This is Lemma ``Ordinary cone patches and exterior Gaussian pins'' +in \cite{MetricMaps}. Inside the unit disk the circle-average +cone field has the law of the circle-average-zero whole-plane +GFF minus $\gamma\log|z|$. On the patch, this deterministic +term has a smooth extension supported away from the marked +point and the pinning circle. The Cameron--Martin theorem +and Gaussian domain comparison give local equivalence, with +the actual constant retained. The same argument applies to +a fixed additive shift on the patch. The imaginary field is +independent and is interpreted modulo its angular period; +its local restrictions have the corresponding Gaussian +equivalence and stationary-phase coordinate invariance. + +If $Z=\dd\nu/\dd\mu$ is a field density and $K_i$ any of the +conditional kernels, then for every event $A$ and every $R>0$, +\begin{equation}\label{inp:density-truncation} + (\nu\otimes K_i)(A) + \le R(\mu\otimes K_i)(A) + +\E_\mu[Z\1_{\{Z>R\}}]. +\end{equation} +The last term does not depend on $i$. This proves the uniform +probability comparison; local equivalence gives both directions +for probability-one events. A test domain containing the full +pinning circle is excluded by the stated buffer condition. +\end{proof} + +\begin{lemma}[Primal--dual reflection]\label{inp:reflection} +The joint local-array laws are invariant under exchanging the +primal and dual graphs and reflecting their coordinate tests. +They are also covariant under fixed rigid motions, with the +natural transformations of the two fields. +\end{lemma} + +\begin{proof} +The discrete assertion follows by exchanging the two independent +coordinate strings and their forests. In the continuum, +spatial reflection combined with negation of the reflected +imaginary field exchanges the two angle trees and the two +sides of the curve. The space-filling ordering is preserved: +it can be read either from the $+\pi/2$ tree with right merges +or from the $-\pi/2$ tree with left merges, as in +\cite[Section~1.2.3, Figure~1.16]{IG4}. Both descriptions are +exchanged by this operation, so no reversal of area time is +involved. The cone field and the independent stationary-phase +imaginary field have the required reflected law. Boundary +lengths exchange $L$ and $R$, and conditional sampling of the +background therefore gives the same operation on the joint +raw-array limit. The intrinsic kernels and the selector +construction then transport the spatial tests. Fixed rotations +and translations follow from coordinate covariance and local +field equivalence on buffered ordinary patches. A countable +group of such transformations can be retained simultaneously. +\end{proof} + +\begin{proposition}[Local-array interface]\label{inp:array-interface} +From every sequence of resolutions tending to infinity one can +extract, jointly with the continuum peanosphere background, +all compactified numerical tests described above, on both +graphs and at every fixed dyadic area offset. Prescribed +deterministic normalizing factors may be retained even when +they tend to zero. In this extraction: +\begin{enumerate} +\item complete buffered graph pieces and the selector sandwich +of Lemmas~\ref{inp:complete-core} and~\ref{inp:sandwich} identify +local tests with actual graph observations; +\item Proposition~\ref{inp:local-kernels} supplies buffer-local +conditional kernels and product laws in disjoint domains; +\item Proposition~\ref{inp:transport} and +Lemmas~\ref{inp:gaussian}--\ref{inp:reflection} supply their +coordinate, unit, Gaussian-reference, and primal--dual +comparisons; +\item these properties persist under further joint extraction +and under countable exhaustion with strict margins. +\end{enumerate} +\end{proposition} + +\begin{proof} +All numerical coordinates belong to compact spaces, and the +input contours are tight on bounded windows. Include the +countable transformed instruction lists and mark layers before +the diagonal extraction. The preceding results apply to +every finite collection. Their exact density and bridge +calculation passes to any further limit by compact truncation; +the continuum background passes by the $L^1$ conditional +sampling argument. Countable intersection and the selector +exhaustions give the stated simultaneous version. +\end{proof} + +The interface provides laws and exact local observability. +The bounds which prevent degeneration of the electrical tests, +and the identification of their variational limits, are proved +next. diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/03-nondegeneration.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/03-nondegeneration.tex new file mode 100644 index 0000000000000000000000000000000000000000..93f5de6b9d80f30eac6a5b8e228cc80d8699681d --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/03-nondegeneration.tex @@ -0,0 +1,606 @@ +\section{Nondegeneration of the electrical networks} +\label{sec:nondegeneration} + +We first prove that a fixed conformal annulus admits cutoffs of bounded +electrical energy on both sewn graphs. The bound will depend on the +annulus aspect and the coordinate patch, but not on its radius or the +discrete resolution. This is the coercivity input for the variational +argument in the next section. Throughout this section we work with +the bilateral sewing, at rates $m\to\infty$, and use the coupled +extractions and projections $\pi_m$ of +Proposition~\ref{inp:array-interface}. + +The proof combines two uses of extremal length. A lower bound supplies +densities that charge every crossing of an annulus. If lower bounds +failed, a suitable quantile would instead supply probability measures +on crossing paths with very small squared traffic. Annular densities +make their projected limits rectifiable. Locality then forces a +transverse crossing witness on the other graph, contradicting the +small traffic. The annular-density, rectifiable-flow, and local-germ +strategy is developed for flag extremal length in +\cite[Section ``The canonical conformal structure'']{ConformalMaps}. +We adapt it to edge energies on paired primal and dual graphs. + +\subsection{Extremal length and local germs} + +Let $\mathcal P$ be a nonempty family of paths in a finite graph, with +no path of length zero. Edge occurrences are counted with +multiplicity. Its edge extremal length is +\begin{equation}\label{nd:el-definition} + \EL(\mathcal P) + =\sup_{a:E\to[0,\infty)} + \frac{\bigl(\inf_{P\in\mathcal P}\sum_{e\in P}a(e)\bigr)^2} + {\sum_{e\in E}a(e)^2}, +\end{equation} +where the zero density is omitted. For a probability measure $\nu$ +on paths, write +$j_\nu(e)=\int \#\{\text{occurrences of }e\text{ in }P\}\,\nu(\dd P)$ +for its unsigned edge traffic. + +\begin{lemma}[Densities and traffic]\label{nd:el-traffic} +For a finite family of simple paths, +\begin{equation}\label{nd:traffic-identity} + \EL(\mathcal P)=\min_{\nu}\sum_e j_\nu(e)^2. +\end{equation} +If $\mathcal P$ consists of all paths between two disjoint wired sets +in a finite subgraph, then $\EL(\mathcal P)$ is the reciprocal of +the minimum energy $\en(u)$ subject to the values zero and one on +the two sets. In particular, $\EL(\mathcal P)\ge b>0$ supplies a +density charging each path by one with squared norm at most $1/b$. +\end{lemma} + +\begin{proof} +The traffic vectors form the convex hull of the path-incidence +vectors. Let $j$ be its point nearest to the origin. The supporting +inequality $\langle j,j_P\rangle\ge\|j\|_2^2$ for every path $P$ +shows that the density $j$ gives a value at least $\|j\|_2^2$ in +\eqref{nd:el-definition}. Conversely, averaging path length under +any $\nu$ and applying Cauchy--Schwarz gives +$\EL(\mathcal P)\le\|j_\nu\|_2^2$. This proves +\eqref{nd:traffic-identity}. In the wired-set case loops may be +removed from paths. Absolute potential increments give a charging +density, while the distance from the first set in any charging +density, clipped at one, gives an admissible potential whose energy +is at most the squared density norm. These two constructions prove +the reciprocal identity. +\end{proof} + +We will also use a consequence of the local conditional kernels from +Section~\ref{sec:inputs}. A \emph{point-germ readout} is a jointly +measurable random function $Y(z)$ whose value at $z$ can be read from +the fields and extracted arrays in every neighborhood of $z$. The +readout may use countably many tests with strictly positive domain +margins. In particular, an assertion that specified tests succeed +at every sufficiently small scale is a point-germ readout. + +\begin{lemma}[Determinism of point germs]\label{nd:germs} +In an ordinary field chart, every bounded real point-germ readout +of the extracted local arrays is, almost surely, equal at +Lebesgue-almost every point to a deterministic measurable function +of the point. The same conclusion holds for readouts with values +in a separable metric space, using a countable family of bounded +coordinates that separates its points. +\end{lemma} + +\begin{proof} +Let $\mathcal H$ denote the pair of fields. By +Proposition~\ref{inp:local-kernels}, +$\E[Y(z)\mid\mathcal H]$ is measurable with respect to the field +restrictions to every neighborhood of $z$. This field germ is +trivial. Indeed, for a zero-boundary Gaussian free field, the +intersection of the Gaussian subspaces generated by restrictions +to shrinking disks is orthogonal to the Gaussian variables +associated with Dirichlet functions vanishing near $z$. Such +functions are dense in the Dirichlet space: logarithmic cutoffs +express the zero capacity of a point. The intersection is thus +zero, and the Gaussian chaos decomposition gives triviality of +the corresponding sigma-field. Apply this to both independent +fields. Local equivalence in Lemma~\ref{inp:gaussian} +transfers the conclusion to the ordinary chart, including the +imaginary field modulo its period. Consequently +$\E[Y(z)\mid\mathcal H]=y(z)$ for a deterministic $y$. + +For distinct $z,w$, disjoint sufficiently small neighborhoods and +the product-kernel assertion give conditional independence of +$Y(z)$ and $Y(w)$ given $\mathcal H$. Hence, for every rational +disk $D$ compactly in the chart, +\[ + \E\left[\left(\int_D(Y(z)-y(z))\,\dd z\right)^2\right]=0. +\] +The diagonal in $D\times D$ has Lebesgue measure zero. Countably +many disks and differentiation of integrals prove the assertion. +Applying the argument to bounded separating coordinates proves +the final statement. +\end{proof} + +\begin{remark}[Coordinate and dual symmetries]\label{nd:germ-symmetries} +For a readout defined intrinsically from local tests, its deterministic +values respect the coordinate transports of +Proposition~\ref{inp:transport}. More explicitly, let $\mathcal A$ +be the extracted local array and let $T\mathcal A$ denote its +relabeling by a fixed translation or rotation $T$. A covariant +readout satisfies +\[ + Y_{T\mathcal A}(Tz)=T\cdot Y_{\mathcal A}(z), +\] +where $T\cdot$ is the natural action on its values or direction +labels. The transport proposition identifies the law of +$T\mathcal A$ with the same extracted kernel attached to the +transformed fields. Local equivalence of these field laws and +Lemma~\ref{nd:germs} therefore give +$y(Tz)=T\cdot y(z)$ almost everywhere. This uses a relabeling in +the joint extraction, rather than a newly chosen subsequential +kernel. For translation-covariant scalar readouts it implies +constancy: first use rational translations, then continuity of +translations in local $L^1$. Rotations act on direction or matrix +readouts in the stated natural way, and a countable dense rotation +group suffices. Finally, Lemma~\ref{inp:reflection} exchanges the +two graphs and reflects the tests. These observations apply on +overlapping ordinary charts and identify their deterministic values. +The definition through strict margins is important here: a transported +test is still an admissible test after an arbitrarily small reduction +of its clearance, by Lemma~\ref{inp:sandwich}. +\end{remark} + +\subsection{Annular barriers at absolute quantum scales} + +Choose once and for all an ordinary cone patch, strictly inside +the normalization disk and away from the cone point. After a +fixed affine coordinate change, it contains the annulus +$\{1/16<|z|<4\}$ and the buffers needed below. +For each graph take paths between the vertex sets selected by visits +in the bands +\[ + A_1=\{.9<|z|<1.1\},\qquad + A_2=\{1.9<|z|<2.1\}, +\] +confined to the actual subgraph selected in +$A_0=\{.7<|z|<2.3\}$. Denote the extremal lengths of these primal +and dual path families by $Z_m^{\mathrm p}$ and $Z_m^{\mathrm d}$. +Here selection uses the continuum visit labels +in the coupling, with a fixed step-endpoint convention. This defines +a comparison variable; it need not itself be a local instruction +test. Properness makes the selected labels finite. All their +incidences and adjoining star layers are protected in larger bounded +contour windows. The projection and tube properties of +Proposition~\ref{inp:topology} therefore apply. If the ports overlap +or there is no crossing, give the comparison the value one. The +probability of these exceptions tends to zero. + +Let $Z_m=\min\{Z_m^{\mathrm p},Z_m^{\mathrm d}\}$. Fix +$\varepsilon>0$, to be chosen below, and choose deterministic +$q_m>0$ such that +\begin{equation}\label{nd:quantiles} + \P[Z_m\le 2q_m]\ge\varepsilon/2, + \qquad + \P[Z_m\ge q_m/2]\ge1-2\varepsilon. +\end{equation} +We use rates in a countable set closed under dyadic multiplication +and division, for example the positive dyadic rationals. The +quantiles can be chosen bounded below on every bounded rate interval +in $[1,\infty)$. To see this, first bound the continuum preimage +window with high probability, then bound the Poisson step count +and the degrees of the finitely many encountered vertices. Local +finiteness of the bilateral sewing makes these bounds uniform at +bounded rates. A nonexceptional finite graph with at most $L$ +edges has positive crossing extremal length at least $1/L$. + +The comparison in \eqref{nd:quantiles} produces genuinely local +barrier events. For example, select ports near radii $.96$ and +$2.04$, and confinement between $.94$ and $2.06$, with strictly +positive slack. Every path from $\{|z|<.6\}$ to +$\{|z|>2.5\}$ contains such a crossing portion. A complete local +prescription covering this intermediate shell exists by +Lemma~\ref{inp:complete-core}; Lemma~\ref{inp:sandwich} selects the +ports and confinement. Its path family is a subfamily of the +comparison family, so its EL is no smaller. + +The selection can depend on the limiting fields without changing +this probability comparison. To see the quantifiers, let $j$ +enumerate pairs of primal and dual prescription templates. Let +$\mathsf A_j$ be the local event that both templates' seam, cap, and +positive-margin conditions cover the required shell and implement +the selector sandwich. +These conditions are read from the local fields and marks; +their proved consequence is eventual completeness on the actual +graph. They do not test completeness by inspecting exterior +numerical arrays. For any deterministic units $b_m>0$ retained +in the extraction, write $\xi_j$ for the minimum of the two +retained limits of $\EL/b_m$. Thus success supplies barriers on +both graphs. If a comparison event asserts +$Z_m/b_m\ge a>0$, retain its indicator in a further coupling. +On the event $E$ where the limiting indicator is one, choose +an applicable $j$ from the limiting local cell data, keeping it +fixed as $m\to\infty$. Its eventual domination of the comparison +gives $\xi_j\ge a$. Consequently +\[ + E\subseteq\bigcup_j\bigl(\mathsf A_j\cap\{\xi_j>a/4\}\bigr). +\] +The union on the right is a local event with at least the +limiting comparison probability. Simultaneous convergence of +the countably retained tests justifies the random choice of +$j$; no deterministic bound on that index is required. This +argument uses the comparison for its probability and the local +union for its conditional kernel, without conditioning that +kernel on $E$. + +We recall precisely the annulus input that spreads these barriers +through a chart. It is Lemma ``All-point absolute quantum-scale +annuli'' in \cite[Section ``Annuli at absolute quantum scales'']{MetricMaps}. +Write $v_i=2^{-i}$ for the backward quantum-area offsets. By +Proposition~\ref{inp:transport}, graph costs are unchanged at these +offsets; any deterministic denominator $b_m$ is kept the same +across the offset experiments in one extraction. + +\begin{lemma}[Aligned annular barriers]\label{nd:coverage} +Fix an ordinary chart and a compact subset of its interior. Suppose +that, at every fixed backward index $i$, a local unit-annulus event +has probability at least $1-\varepsilon_*$ in the reference law and +supplies, on both graphs, a crossing density of charge one and +squared norm at most $C/b_m$. Here $b_m>0$ is deterministic and +the events belong to the common extracted offset kernels. +For a sufficiently small reference threshold $\varepsilon_*>0$, +there are constants $00$ such that the following holds +almost surely for all sufficiently large integers $N$. +Every point in the compact set belongs to the central holes of at +least $cN$ pairwise disjoint buffered annuli whose local barrier +events hold. Their radii belong to one fixed geometric sequence +in $[e^{-BN},e^{-aN}]$, their centers lie on deterministic meshes +of spacing comparable to their radii, and their assigned indices +belong to $\{N,\ldots,2N\}$. +For each fixed such finite configuration, its density conclusions +hold on the discrete graphs for all sufficiently large $m$. +\end{lemma} + +\begin{proof} +Apply the cited lemma to the kernels of +Proposition~\ref{inp:local-kernels}, with the intrinsic transport +of Proposition~\ref{inp:transport}. Its hypotheses are the local +product rule, the actual-field coordinate rule, and a common +fixed-index change of quantum unit; all are supplied by +Proposition~\ref{inp:array-interface}. The real-field parameter +$Q=2/\gamma+\gamma/2$ is greater than two. The cost-index factor +in the stated annulus lemma is undone in our numerical tests; +the proof of that lemma uses the factor only in the indexed +observation rule. Thus it applies equally to the present +unchanged network costs. Local Poisson marks are included in +the kernels with their corresponding intensities. + +For completeness, the probability transfer needed here is a fixed +one. Work first with the zero-boundary Gaussian reference patch +of that lemma. Local equivalence, retaining the actual additive +constant of the real field, gives a single absolute-continuity +modulus from our chosen ordinary cone patch to this reference +patch. Choose $\varepsilon$ in \eqref{nd:quantiles} sufficiently +small that a barrier event of probability $1-2\varepsilon$, +with a strict threshold as above, has reference probability at +least $1-\varepsilon_*$. The annulus lemma gives an exponentially +small failure probability at scale $N$. Borel--Cantelli gives +the eventual assertion. A fixed local change of field law +transfers this probability-one assertion to any ordinary chart. +No likelihood bound uniform over those charts is needed. +Finally, success of an annulus is the existence of a retained +EL coordinate strictly above a fixed threshold. No density or +path is retained as an additional output. All centers, radii, +indices, and prescription templates belong to countable +libraries. On their simultaneous convergence event, the +successful local prescription on each realized annulus gives +an eventual discrete EL lower bound. Lemma~\ref{nd:el-traffic} +then constructs a density on that finite graph. For fixed $N$ +only finitely many annuli are used, so their thresholds in $m$ +can be met simultaneously, even though the successful annuli +and prescriptions were selected from the fields and arrays. +Thus $N$ is fixed before $m$ is sent to infinity. +\end{proof} + +The geometric content of these many annuli is an area bound for a +density that charges macroscopic displacement. For a set $U\subset\C$ +write $U^{+r}=\{z:\dist(z,U)0. +\end{equation} +The conclusion holds along all rates in the chosen countable set. +\end{proposition} + +\begin{proof} +Suppose otherwise. Choose approximate record lows $m\to\infty$ +such that $b_m:=q_m\to0$ and +\[ + q_s\ge c b_m\qquad(1\le s\le m,\ s\text{ in the chosen rate set}) +\] +for a fixed $c>0$. The bounded-rate lower bounds ensure $m\to\infty$. +For each fixed $i$, the quantile at $m2^{-i}$ therefore gives the +high-probability barrier event in units $b_m$. Extract jointly +with all these backward offsets. Lemmas~\ref{nd:coverage} and +\ref{nd:densities} apply in the comparison region. + +The first inequality of \eqref{nd:quantiles} and +Lemma~\ref{nd:el-traffic}, on the other hand, supply with positive +probability one graph's probability flow $\nu_m$ between the two +macroscopically separated ports, confined in a fixed compact set, +with +\begin{equation}\label{nd:small-traffic} + \sum_e j_{\nu_m}(e)^2\le Cb_m. +\end{equation} +Retain the event indicator, choose a graph on a positive-probability +subevent, and work pathwise in a further coupling. We establish +two properties of the projected flows before using locality. + +\emph{Compactness of the flows.} +For a path $P$, let $J_h(P)$ be the maximum number of disjoint +subintervals making a projected advance of at least $h$. Choose +$N$ large enough that $CR_N0$, consider the tube +\begin{equation}\label{nd:tube} + T(z,w,s)=\{z+tw+lw^\perp: |t|<2s,\ |l|1$. Along a coupled further extraction from any rate sequence, +there is a constant $C$, depending only on the chart and $\tau$, +with the following property. For every fixed disk +$\overline{B(z,\tau r)}$ contained with a margin in that subpatch, +both graphs eventually admit functions $\chi_m$ valued in $[0,1]$ +such that +\[ + \chi_m=1\quad\text{on every lift of }\overline{B(z,r)}, + \qquad + \chi_m=0\quad\text{on every lift outside }B(z,\tau r), + \qquad + \en(\chi_m)\le C +\] +on the primal graph, with $\enstar(\chi_m)\le C$ on the dual. +Their energy is supported in the indicated ring, up to vanishing +projected mesh. The constant is independent of $z,r,m$; the +threshold in $m$ may depend on the fixed disk. These assertions +hold simultaneously for the countable buffered disk tests, and +extend to arbitrary fixed disks by strict inner and outer margins. +\end{proposition} + +\begin{proof} +Proposition~\ref{nd:nondegeneration} and the second quantile bound +in \eqref{nd:quantiles} give the barrier hypotheses with +deterministic units equal to one, at every fixed backward offset. +Choose an intermediate closed ring whose two radii lie strictly +between $r$ and $\tau r$, with all three resulting radial widths +comparable to $(\tau-1)r$. Cover it by a finite union $U$ of open +boxes with closure strictly inside the target ring and area +$O_\tau(r^2)$. Apply Lemma~\ref{nd:densities} to this $U$. +First choose $N$ so large that $R_N$ is small compared with the +intermediate width and both collars, and then take $m$ large. +The density is supported in the target ring. Every full ring +crossing has a subcrossing through the intermediate ring, +confined to $U$, with advance comparable to $(\tau-1)r$. +The density therefore charges it by a fixed multiple of this +width. After division by the width, the squared density norm +is bounded by $C(\tau)$ times the chart constant. +The clipped-distance construction of +Lemma~\ref{nd:el-traffic} gives the cutoff, with exact constants +on all inner and outer lifts. One may carry out the construction +on a protected capped sphere and extend by constants beyond the +chart. Only the ring density changes the function. + +Countable buffered comparisons make all the fixed tests available +in one extraction. A disk outside the chosen countable library +is handled by choosing a nearby library center, an inner library +disk containing $\overline{B(z,r)}$, and a concentric outer library +disk contained in $B(z,\tau r)$. Their radii can be chosen +comparable to $r$, with constants depending only on $\tau$, and +their radial separation at least $c(\tau-1)r$. The preceding +density estimate bounds the cutoff energy by a chart constant +times the squared ratio of outer radius to radial separation. +It therefore gives a uniform $C(\tau)$ for these library tests, +with the required constants on the original inner and outer +sets. This use does not require a resolution threshold uniform +over all disk radii. +\end{proof} + +All these conclusions are local in the actual conformal coordinate. +They therefore also hold in each fixed forward quantum-area offset +of Proposition~\ref{inp:transport}. The joint cone zoom and +ordinary-patch exhaustion of \cite[Lemma ``From indexed Gaussian charts +to the whole cone'']{MetricMaps} let these patches exhaust the plane +away from its marked cone point. Only probability-one conclusions +are transferred in this exhaustion. The marked point will be +handled by removability when the variational limits are assembled. diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/04-energy.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/04-energy.tex new file mode 100644 index 0000000000000000000000000000000000000000..6e0031e25b6fea9ef17432b56cf7e5fee1994aa5 --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/04-energy.tex @@ -0,0 +1,779 @@ +\section{The limiting electrical energy}\label{sec:energy} + +We now identify the unnormalized energies of the primal and dual graphs. +The cutoffs of Proposition~\ref{nd:cutoffs} first give compactness for +harmonic functions and coercivity for arbitrary continuous limits. The +locality of the extracted arrays then makes the limiting energy a +deterministic scalar multiple of the conformal Dirichlet integral. +An annular current--period argument will show that this scalar is exactly +one. Thus the normalization is obtained from the network itself. + +Throughout this section we work in an ordinary conformal chart, in a +coupled extraction with the conclusions of +Proposition~\ref{inp:array-interface} and Proposition~\ref{nd:cutoffs}. +Write $G_m,G_m^*$ for the primal and dual graphs and $\pi_m$ for their +surface projections. All sets used below have fixed positive clearance +inside the chart before $m$ tends to infinity. The energy +$\en_m(v;U)$ is the sum of $|v(y)-v(x)|^2$ over edges with both projected +endpoints in $U$; we use the same convention for compact sets. Replacing +this convention by edge-location membership does not change an inner +limit, because the projected mesh tends to zero. Uniform convergence +on a compact set always means convergence at every vertex over that set, +including every lift of a point. + +\subsection{Circuits and harmonic compactness} + +A cutoff on one graph gives a short level circuit on the other, where +``short'' is measured by the increments of the function under study. +This elementary coarea observation is the bridge between the cutoffs +and the analysis of functions. + +\begin{lemma}[A separating circuit]\label{en:circuit} +Fix concentric disks with radii $0t$. The oriented boundary of the colored faces +splits into simple circuits. A face appearing on both sides of an edge +contributes no boundary occurrence; other edge occurrences have their +usual multiplicities. + +The boundary chain has winding difference one between an inner dual +vertex and an outer dual vertex, because their face colors are one and +zero. After splitting the chain into simple circuits, at least one +circuit separates these two vertices. The inner dual well is connected +through dual edges on which the cutoff is one; such a path cannot cross +any boundary edge, including at a primal articulation vertex. Hence +every vertex of this inner well is on the same side of the chosen +circuit. The connected outer well has the analogous property. The +collars and vanishing overlay mesh put all primal inner lifts on the +inner side as well, and all lifts beyond the larger well on the outer +side. This uses the all-lift joining statement of +Proposition~\ref{inp:topology} and remains valid when the full boundary +chain touches itself. The selected circuit lies in the change annulus +and has variation at most that of the entire boundary. +The coarea identity and Cauchy--Schwarz give +\[ + \int_0^1\sum_{e\in\partial\{b_m>t\}}|\dd v_m(e)|\,\dd t + =\sum_e |\dd v_m(e)|\,|\dd b_m(e^*)| + \le \en_m(v_m;A^+)^{1/2}\en_m^*(b_m)^{1/2}. +\] +Choose a level at most this average. This proves +\eqref{en:circuit-bound}, with an arbitrarily small slack if necessary. +The same argument applies after exchanging the graphs. +\end{proof} + +\begin{lemma}[Harmonic compactness]\label{en:harmonic-compactness} +Let $U$ be a connected open subset of an ordinary chart. Suppose that +$v_m$ is graph-harmonic at every vertex whose star projects into $U$, +and that its energies are bounded on compactly contained neighborhoods. +Then $v_m$ is macroscopically equicontinuous on every compact subset of +$U$: for $K\Subset U$, +\[ + \lim_{\delta\downarrow0}\limsup_{m\to\infty} + \sup_{\substack{\pi_m x,\pi_m y\in K\\ + |\pi_m x-\pi_m y|<\delta}} + |v_m(x)-v_m(y)|=0. +\] +If $x_m$ is a vertex sequence with $\pi_mx_m\to z_0\in U$ and +$v_m(x_m)$ is bounded, the functions have locally uniformly convergent +subsequences. The assertions hold for both graphs and for local +branches of potentials, with a normalization on each initial branch. +\end{lemma} + +\begin{proof} +Fix a disk with clearance inside $U$ and an energy bound $E$ on a larger +disk. Around its center place $J$ disjoint annuli of one fixed aspect, +all inside a prescribed small neighborhood. Choose all radii before +taking $m$ large. Their energy sum is at most $E$, so +Lemma~\ref{en:circuit} supplies a surrounding circuit on which the +oscillation is at most $(CE/J)^{1/2}$. The discrete maximum principle +bounds the oscillation everywhere inside by the same quantity. Taking +$J$ large, and then using finitely many such neighborhoods, proves +equicontinuity. No assertion is needed at a radius depending on $m$. + +The same construction at a fixed, nonvanishing scale bounds oscillation +on compact balls. Overlapping chains of balls propagate an additive +normalization throughout a connected compact subset. Vertex density +and the small-image joining property identify the limits on overlaps. +The usual finite-net proof of Arzel\`a--Ascoli now gives local uniform +compactness. A local potential branch is an ordinary harmonic function +on each of its branch disks, so the proof also applies to branches. +\end{proof} + +\subsection{The uniform relaxation and its energy measures} + +The extracted variational tests let us define a single limiting energy +for every continuous target. This definition does not assume a +continuum Dirichlet form. + +For $u\in C(U)$, $K\Subset U$ compact, and $\delta>0$, let +\[ + M_m(u,K,\delta)= + \inf\left\{\en_m(v;K): + |v(x)-u(\pi_m x)|\le\delta + \text{ for every vertex }x\text{ over }K\right\}. +\] +Define the \emph{inner relaxed energy} by +\begin{equation}\label{en:relaxation} + F(u,U)=\sup_{K\Subset U}\sup_{\delta>0} + \liminf_{m\to\infty}M_m(u,K,\delta). +\end{equation} +One may use a countable exhaustion of compact finite unions of boxes +and let $\delta$ decrease through positive rationals. Define $F^*$ by +the same formula on the dual graph. + +\begin{lemma}[Uniform variational limits]\label{en:envelope} +The value in \eqref{en:relaxation} is unchanged if $\liminf$ is replaced +by $\limsup$. It is lower semicontinuous for locally uniform convergence +and inner regular in $U$. Moreover: +\begin{enumerate}[label=\textup{(\roman*)}] +\item Every locally uniformly convergent sequence $v_m\to u$ has local +energy lower bounds given by $F(u,\cdot)$, also along further +subsequences. +\item If $F(u,U)<\infty$, there are compact sets $K_m$ exhausting $U$ +and functions $v_m$ on their graph neighborhoods such that $v_m\to u$ +locally uniformly and +$\en_m(v_m;K_m)\le F(u,U)+o(1)$. +\end{enumerate} +These statements hold simultaneously for all continuous targets. The +values $F(u,U)$ are locally readable from the arrays with arbitrarily +small open buffers. +\end{lemma} + +\begin{proof} +Given $K\Subset K'\Subset U$ and $0<\delta'<\delta$, insert between the +two tests a finite selector test from Lemma~\ref{inp:sandwich}. Cover +the relevant visit labels by finitely many selectors on which the target +varies by less than a fixed fraction of $\delta-\delta'$, and use +intermediate rational value constraints. Completeness of the selected +graph preserves every edge incidence. Restriction of an admissible +function for the larger test is admissible for the intermediate one; +restriction from the intermediate test is admissible for the smaller +one. The intermediate infimum has a retained limit. Consequently, +\[ + \limsup_m M_m(u,K,\delta) + \le \liminf_m M_m(u,K',\delta'). +\] +Taking the two inner suprema proves the assertion about $\liminf$ and +$\limsup$, including infinite values. + +The same comparison proves the lower bound in (i). For (ii), choose +almost minimizers on increasing compact sets with decreasing +tolerances, and take a diagonal sequence using the $\limsup$ formula. +Tolerance slack also proves lower semicontinuity, directly from +\eqref{en:relaxation}. Exhausting $U$ proves inner regularity. The +selector library is countable; approximation of a continuous target +uses its modulus of continuity on each compact, rather than a new +exceptional event. This gives the simultaneous assertion. The +locality and measurability claims follow from the same selector +sandwich, with its spatial buffers. +\end{proof} + +We call the sequences in Lemma~\ref{en:envelope}(ii) recovery sequences. +The next estimate explains why such sequences can be joined on overlaps. +For an oriented edge $xy$, put +$\overline v(xy)=(v(x)+v(y))/2$. + +\begin{lemma}[Gluing estimate]\label{en:fundamental} +Let $v_m,w_m$ converge uniformly to the same continuous function on a +fixed transition region. Suppose $0\le b_m\le1$ has bounded energy, +is supported where $v_m$ is defined, and equals one wherever $w_m$ is +not used. Then $z_m=b_mv_m+(1-b_m)w_m$ has, on the gluing region, +\begin{align}\label{en:gluing-estimate} + \en_m(z_m) + &\le(1+\varepsilon)\sum_e + \left(\overline b_m(e)|\dd v_m(e)|^2 + +(1-\overline b_m(e))|\dd w_m(e)|^2\right)\notag\\ + &\quad +(1+\varepsilon^{-1}) + \|v_m-w_m\|_{\infty,\mathrm{tr}}^2\en_m(b_m), + \qquad \varepsilon>0. +\end{align} +Finite partitions of unity have the corresponding estimate, with an +error tending to zero when the local approximations agree uniformly on +overlaps. Bounded-energy gluing weights exist for every fixed finite +open cover of a compact set. +\end{lemma} + +\begin{proof} +The exact difference identity is +\[ + \dd z_m=\overline b_m\,\dd v_m + +(1-\overline b_m)\,\dd w_m + +\overline{v_m-w_m}\,\dd b_m. +\] +Apply convexity of the square to the first two terms, followed by +$|a+c|^2\le(1+\varepsilon)|a|^2+ +(1+\varepsilon^{-1})|c|^2$. Only the transition region contributes to +the last term. For finitely many weights the same identity follows by +summing and using $\sum_i\dd b_{i,m}=0$. + +To construct weights, choose finitely many disks whose smaller disks +cover the compact set and whose larger disks stay in the prescribed +members of the cover. Use Proposition~\ref{nd:cutoffs}, sum the +resulting cutoffs, and normalize where their sum is at least one. +Clipping and division on this fixed range preserve bounded energy. +Extra cutoffs with collars extend the construction to a neighborhood +of the compact set. All these choices precede the limit in $m$. +\end{proof} + +\begin{proposition}[Quadratic energy measures]\label{en:measure} +For each open $U$, the functional $F(\cdot,U)$ is quadratic on its +finite-energy space and vanishes on constants. If $u$ has locally +finite relaxed energy, then +\[ + U\longmapsto F(u,U) +\] +is the restriction to open sets of a Radon measure. For smooth $u$, +on a smaller ordinary chart, +\begin{equation}\label{en:smooth-upper} + F(u,U)\le C\int_U|\nabla u|^2\,\dd z. +\end{equation} +The same statements hold for $F^*$. +\end{proposition} + +\begin{proof} +Recovery sequences for $u$ and $v$, the discrete parallelogram identity, +and the energy lower bound give +\[ + F(u+v,U)+F(u-v,U)\le2F(u,U)+2F(v,U). +\] +Applying this inequality to $u+v$ and $u-v$ gives the reverse inequality. +Homogeneity follows directly from the tolerance definition. Constant +addition leaves every edge increment unchanged. + +For fixed $u$, restriction gives monotonicity and superadditivity on +disjoint open sets. To prove subadditivity on $U\cup V$, first fix a +compact subset of this union. Recover $u$ in $U$ and $V$, and join the +recoveries with Lemma~\ref{en:fundamental}; the transition is compactly +contained in $U\cap V$. Let $m\to\infty$ and then +$\varepsilon\downarrow0$ in \eqref{en:gluing-estimate}. Exhausting the +compact gives +\[ + F(u,U\cup V)\le F(u,U)+F(u,V). +\] +Finite subcovers and inner regularity imply countable subadditivity. +For completeness, these properties give the required measure criterion +as follows. Define +$\nu(A)=\inf\{F(u,O):A\subset O,\ O\text{ open}\}$. +This is an outer measure by countable subadditivity. If two sets have +positive distance, they have disjoint open neighborhoods; disjoint-open +superadditivity shows that $\nu$ is additive on such sets. Thus it is a +metric outer measure and all Borel sets are measurable. On an open set +$O$, monotonicity gives $\nu(O)=F(u,O)$. Local finiteness and inner +regularity make this Borel measure Radon. + +It remains to prove \eqref{en:smooth-upper}; this will also establish +local finiteness for smooth targets. On a compact set inside $U$, use a +square grid of spacing $r$ and a bounded-overlap family of disk cutoffs +with radii comparable to $r$. Normalize these cutoffs to weights +$b_{z,m}$ which sum to one near the compact, and set +\[ + v_m=\sum_z b_{z,m}u(z). +\] +For fixed $r$ this approximates $u$ within its modulus of continuity at +scale $Cr$. On each edge the weight increments sum to zero. Subtracting +one nearby node value and using bounded overlap bounds the energy by +\[ + C\sum_z r^2\sup_{B(z,C'r)}|\nabla u|^2. +\] +Indeed each unnormalized cutoff has bounded energy, and normalization +has the same bound because the denominator is bounded below and only +boundedly many supports meet an edge. First take $m$ large for this +finite collection, and then let $r\downarrow0$. The displayed sum +converges to at most a constant times the gradient integral over the +chosen region. Exhaustion inside $U$ proves +\eqref{en:smooth-upper}. The arguments are unchanged on the dual. +\end{proof} + +\subsection{Integral representation and coercivity} + +The energy measures of the two coordinate functions determine the +whole functional. Coercivity is a separate step: it follows from +intersecting level circuits and does not assume geometric regularity of +the mesh. + +\begin{proposition}[Integral representation]\label{en:representation} +In every ordinary chart there is a measurable symmetric matrix field +$A$, locally bounded and uniformly positive definite on smaller charts, +such that, for every open $U$ and every $u\in C(U)$, +\begin{equation}\label{en:matrix-form} + F(u,U)= + \begin{cases} + \displaystyle\int_U\nabla u^{\mathsf T}A\nabla u\,\dd z, + &u\in W^{1,2}_{\mathrm{loc}}(U),\\[4pt] + +\infty, &u\notin W^{1,2}_{\mathrm{loc}}(U). + \end{cases} +\end{equation} +The integral is allowed to be infinite. There is an analogous field +$A^*$ for the dual functional. +\end{proposition} + +\begin{proof} +We first identify the energy of smooth functions. Polarize the Radon +measures from Proposition~\ref{en:measure}. The measures of the linear +functions $\ell_1(z)=\Re z$, $\ell_2(z)=\Im z$ and their sums are +absolutely continuous by \eqref{en:smooth-upper}. Define the entries of +$A$ by their densities: +\[ + A_{ii}\,\dd z=F(\ell_i,\dd z),\qquad + 2A_{12}\,\dd z= + F(\ell_1+\ell_2,\dd z)-F(\ell_1,\dd z)-F(\ell_2,\dd z). +\] +Quadraticity and the upper bound imply that $A$ is symmetric, +nonnegative, and locally bounded. At a Lebesgue point $z$ of these +densities, compare a smooth $u$ with its affine first-order Taylor +polynomial $p_z$. The seminorm inequality and +\eqref{en:smooth-upper} give +\[ + \left|F(u,B(z,r))^{1/2}-F(p_z,B(z,r))^{1/2}\right| + \le C^{1/2}|B(z,r)|^{1/2} + \sup_{B(z,r)}|\nabla u-\nabla u(z)|. +\] +Divide by $|B(z,r)|^{1/2}$ and let $r\downarrow0$. Differentiation of +Radon measures yields \eqref{en:matrix-form} for smooth $u$. + +We next prove the converse bound, including weak differentiability: +\begin{equation}\label{en:coercivity} + \int_U|\nabla u|^2\,\dd z\le C F(u,U). +\end{equation} +Suppose the right side is finite. Put a square grid of fixed small +spacing $r$ in a compactly contained region of $U$. At every grid node +$x$, apply Lemma~\ref{en:circuit} to a recovery sequence, using an +annulus with inner and outer radii $0.7r$ and $0.8r$, and choose a value +$a_{x,m}$ at a vertex on the resulting circuit. Buffers are small fixed +fractions of $r$. + +Circuits at neighboring grid nodes share a vertex. Here is the +necessary topological verification. A point near the midpoint of the +two centers is inside both inner disks. Points on the two opposite +sides belong to exactly one inner disk and lie beyond the other outer +disk; a distant point lies outside both. The all-lift separation rule +therefore gives a common interior lift, a common exterior lift, and +lifts with each of the two opposite memberships. Two disjoint simple +circuits on the sphere with these memberships could be neither nested +nor disjoint in their interiors, a contradiction. Since both circuits +belong to the primal graph, their intersection contains a vertex. +Consequently, +\[ + |a_{x,m}-a_{y,m}|^2 + \le 2\left(\sum_{e\in C_{x,m}}|\dd v_m(e)|\right)^2 + +2\left(\sum_{e\in C_{y,m}}|\dd v_m(e)|\right)^2 +\] +for neighbors $x,y$. Write $B_r$ for the union of the buffered grid +annuli. Bounded overlap and \eqref{en:circuit-bound} give +\[ + \sum_{x\sim y}|a_{x,m}-a_{y,m}|^2 + \le C\en_m(v_m;B_r) + \le C\bigl(F(u,U)+o(1)\bigr). +\] +For the last inequality, this fixed finite union lies in the recovery +set $K_m$ for all sufficiently large $m$. +The piecewise affine interpolation of the $a_{x,m}$ on grid triangles +has Dirichlet energy bounded by this sum times an absolute constant. +Take $m$ large after fixing the grid, and then let $r\downarrow0$. +Continuity of $u$ and uniform recovery imply that these interpolations +converge locally uniformly to $u$. Weak Sobolev compactness proves +\eqref{en:coercivity} on the compact region; exhaustion proves it on +$U$. Applying it to smooth affine functions on arbitrary disks gives +$A\ge cI$ locally. + +Finally, let $u\in C(U)\cap W^{1,2}_{\mathrm{loc}}(U)$. On smaller +regions, smoothing approximates $u$ both uniformly and in $W^{1,2}$. +Lower semicontinuity and the smooth upper bound first extend that upper +bound to such continuous Sobolev functions. Apply the extended bound +to the difference between $u$ and its smooth approximations. Their +$F$-seminorm difference tends to zero, so the smooth formula passes to +$u$. Exhaustion gives \eqref{en:matrix-form}, including infinite +integrals. If local Sobolev regularity fails, \eqref{en:coercivity} +forces infinite energy. All steps apply equally to $F^*$. +\end{proof} + +\begin{lemma}[The deterministic scalar]\label{en:scalar} +In each coupled extraction there is a deterministic +$\lambda\in(0,\infty)$ such that +\begin{equation}\label{en:scalar-form} + A=A^*=\lambda I +\end{equation} +almost everywhere in all ordinary charts. At this stage $\lambda$ +may depend on the extracted rate sequence. +\end{lemma} + +\begin{proof} +The derivatives of the energy measures of linear functions are point +germs of the arrays: use the tolerance definition on successively +smaller disks, with arbitrarily small open buffers. Choose measurable +$\limsup$ versions and a fixed default on the null set where +Lebesgue differentiation fails. Lemma~\ref{nd:germs} applies to these +matrix-valued readouts (or to a bounded injective encoding of their +entries), so $A$ and $A^*$ are deterministic almost everywhere. +Translation covariance makes each field a constant matrix on overlapping +ordinary charts. Under a rotation, the matrix transforms by +$A\mapsto RAR^{\mathsf T}$. Rotation covariance, in particular a +quarter-turn, therefore makes each symmetric matrix scalar. These +uses of covariance are precisely those in +Remark~\ref{nd:germ-symmetries}, and compare local laws with their actual +field transformations. Primal--dual reflection +(Lemma~\ref{inp:reflection}) equates the two scalar values. The upper +bound and coercivity give $0<\lambda<\infty$. +\end{proof} + +\subsection{Annular reciprocity fixes the scalar} + +We have proved existence and isotropy of the limiting energy. To +identify its normalization, compare a condenser potential with a +potential whose value increases by one on going around an annulus. +The first comparison rotates a discrete current to a dual potential; +the reverse comparison recovers an angular potential with its period +\emph{exactly} preserved. Both comparisons use only interior graph +pieces with collars. The current--potential correspondence is the +standard planar-network duality; see \cite[Section~9.2]{LP}. +Its use to determine a scalar effective conductivity has a classical +precedent in Dykhne's planar self-duality argument \cite{Dykhne}. +Here we give both inequalities, including the recovery needed on our +irregular graph pieces. + +Let +\[ + A(r,R)=\{z:r<|z|=Stealth] + \fill[gray!10,even odd rule] (0,0) circle (1.45) (0,0) circle (.55); + \draw (0,0) circle (1.45); + \draw (0,0) circle (.55); + \node[font=\small] at (0,0) {$u_m=0$}; + \node[anchor=east] at (-1.52,0) {$u_m=1$}; + \foreach \a in {40,140,220,320}{ + \draw[blue!65!black,->,thick] + (\a:.64) -- (\a:1.29); + } + \draw[red!65!black,->,thick] (18:1.04) + arc[start angle=18,end angle=153,radius=1.04]; + \node[red!65!black,anchor=south] at (0,1.54) + {dual period $C_m$}; + \node[blue!65!black,anchor=north] at (0,-1.6) + {primal current $\dd u_m$}; + \draw[->,thick] (1.9,.6) -- (3.1,.6); + \node[align=center] at (2.5,.05) {unit-period\\recovery}; + \begin{scope}[xshift=5cm] + \fill[gray!10,even odd rule] (0,0) circle (1.45) (0,0) circle (.55); + \draw (0,0) circle (1.45); + \draw (0,0) circle (.55); + \draw[red!65!black,->,thick] (18:1.04) + arc[start angle=18,end angle=330,radius=1.04]; + \node at (0,0) {$\alpha_m$}; + \node[red!65!black,anchor=south] at (0,1.54) + {exact period $1$}; + \node[anchor=north] at (0,-1.6) + {$|\langle\dd u_m,\alpha_m\rangle|=1$}; + \end{scope} +\end{tikzpicture} +\caption{The two annular comparisons. Rotating the condenser current +gives a dual potential with period $C_m$ and hence $\lambda\le1$. +An exact unit-period dual recovery pairs with the unit condenser jump +to give $\lambda\ge1$. This is a schematic of the test annulus; +the projected discrete graph need not resemble a regular mesh.} +\label{en:fig-reciprocity} +\end{figure} + +\begin{lemma}[Rotation of a current]\label{en:current-period} +Rotate the primal current $\dd u_m$ from +Lemma~\ref{en:condenser} to the dual edges, with one consistent crossing +orientation. In the annulus this is a closed dual cochain with harmonic +local potential branches and period $\pm C_m$. The branches have +subsequential locally uniform limits with period $\pm\lambda C_0$ and +with total dual relaxed energy at most $\lambda C_0$ over one turn. +\end{lemma} + +\begin{proof} +Closedness around a dual face is the primal harmonic equation. +Harmonicity of a potential branch at a dual vertex is the telescoping +sum of $\dd u_m$ around the corresponding primal face. These identities +count all incidences and are valid also for loops and repeated edges. +The squared dual increments sum to at most $C_m$ on every interior +annular piece. + +We justify the existence of branches without assuming regular discrete +annular boundaries. In a disk with clearance inside the annulus, +arbitrary dual lifts in a smaller disk are connected within the larger +one. Loops used to integrate the cochain can be filled inside a further +buffer, by Proposition~\ref{inp:topology}; every primal vertex there is +harmonic. Cellular closedness therefore makes the integral independent +of the chosen path. On connected overlaps the resulting potentials +differ by constants. + +A dual loop with projected winding one can be built along fixed tubes +and closed using small-image joining. The integer-winding statement of +Proposition~\ref{inp:topology} makes its winding upstairs one, up to the +fixed orientation sign. Its current integral is the total current +entering one plate, since all intervening primal vertices are harmonic. +Discrete summation by parts gives total current $C_m$: the potential +difference is one and its energy is $C_m$. Hence the period is +$\pm C_m$. + +Normalize branches on a finite overlapping disk cover of any compact +subannulus, propagating constants through chosen overlaps. +In particular, fix a cyclic chain of disks around one positively +oriented circle. Continue a normalized branch along this chain, +matching on each connected overlap; on returning to the first disk, +the continued branch differs from the original by $\pm C_m$. +Lemma~\ref{en:harmonic-compactness} gives local uniform subsequential +limits. Their transition constants converge, so their period is +$\pm\lambda C_0$. Exhausting the annulus yields branches everywhere. +For the energy bound, use disjoint boxes lying in branch disks. Their +discrete edge energies do not overlap, and their sum is at most $C_m$. +Apply the local lower bound and then exhaust the annulus up to sets of +Lebesgue measure zero. This gives the asserted bound over one turn. +\end{proof} + +Combining Lemmas~\ref{en:scalar} and \ref{en:current-period} with +\eqref{en:period-bound} gives +\begin{equation}\label{en:lambda-upper} + \lambda C_0\ge + \lambda\frac{(\lambda C_0)^2}{C_0}, + \qquad\text{hence }\lambda\le1. +\end{equation} +For the reverse inequality, angular recovery must retain its period +before taking any limit. We record first the measure observation that +makes the gluing sharp. + +\begin{lemma}[Energy measures of recovery sequences]\label{en:recovery-measures} +Let $V$ be a bounded patch and let $p$ be smooth on a neighborhood of its +closure. Choose a recovery sequence on compact sets exhausting $V$ +whose total energy tends to $F^*(p,V)$. Count only edges with both +endpoints in these recovery sets, and put their squared increments +at any of the corresponding projected edge locations. These measures +converge vaguely in $V$ to $\lambda|\nabla p|^2\,\dd z$. In particular, +energies weighted by a compactly supported continuous function converge +to the corresponding weighted integral. +\end{lemma} + +\begin{proof} +The total masses are bounded. Let $\nu$ be a subsequential vague limit. +To check its local lower bound, take open sets $W\Subset O\Subset V$ +and a compact set $K\subset O$ containing $W$ with a collar. The energy +tests inside $W$ are eventually counted by the edge measure $\nu_m(K)$. +Lemma~\ref{en:envelope} and compact-set Portmanteau give +\[ + F^*(p,W)\le\liminf_m\nu_m(K) + \le\limsup_m\nu_m(K)\le\nu(K)\le\nu(O). +\] +Exhaust $O$ by such $W$. Thus $\nu$ dominates +$\lambda|\nabla p|^2\,\dd z$. Its total mass is at most the limiting +total recovery energy, which is the total mass of that same measure. +Equality follows. Every subsequential vague limit is consequently the +stated measure, proving the claim. +\end{proof} + +\begin{lemma}[Recovery with exact unit period]\label{en:angular-recovery} +For every sufficiently small $\eta>0$, let +$A_\eta=A(r-\eta,R+\eta)$. On the dual edges in a neighborhood of the +closed annulus there are closed cochains $\alpha_m$ with exact period +one and +\begin{equation}\label{en:angular-energy} + \limsup_{m\to\infty}\sum_{e^*\subset A_\eta}|\alpha_m(e^*)|^2 + \le\lambda\left(\frac1{C_0}+o_\eta(1)\right), + \qquad o_\eta(1)\longrightarrow0. +\end{equation} +The cochains are closed at every cell whose star lies in this +neighborhood; the region can be chosen to contain every edge where +$\dd u_m\ne0$ for all large $m$. +\end{lemma} + +\begin{proof} +Take finitely many disks covering a slightly larger closed annulus, +each avoiding the origin, with angle branches +$p_i=\theta_i/(2\pi)$. Recover $p_i$ uniformly on larger branch disks. +Lemma~\ref{en:recovery-measures} applies to these recoveries, denoted +$v_{i,m}$. Take a smooth partition of unity $b_i$ with supports compactly +inside the branch disks. Recover its weights, clip them to be +nonnegative, cut them off in fixed support collars, and normalize their +sum. This gives $b_{i,m}\to b_i$ uniformly, bounded energies, supports +inside the branch disks, and $\sum_i b_{i,m}=1$ near the annulus. + +There is a useful canonical cochain even though its own energy need +not be bounded. On an oriented dual edge, let +\[ + a_m(e^*)=\frac1{2\pi}\int_{\pi_m(e^*)}\dd\arg z. +\] +Here the integral means the endpoint increment of a continuous argument +lift along the projected edge. Every sufficiently small edge image +lies in a branch disk, so this is well defined. Vanishing face mesh +makes $a_m$ closed around every cell under consideration, and its +period around a loop is that loop's projected integer winding. + +On the support of $b_{i,m}$ the error +$v_{i,m}-p_i\circ\pi_m$ is a single-valued function tending uniformly +to zero. Define the globally single-valued error and cochain by +\begin{equation}\label{en:angular-error} + q_m=\sum_i b_{i,m}(v_{i,m}-p_i\circ\pi_m), + \qquad \alpha_m=a_m+\dd q_m. +\end{equation} +The support collars make this definition independent of how terms are +extended by zero. Since a gradient has zero periods, $\alpha_m$ is +closed and has period exactly one, in the projected orientation. +This conclusion is an identity at each finite resolution. + +To bound its energy, apply the discrete product identity on each edge. +On a branch disk, $\dd(p_i\circ\pi_m)=a_m$. Since the weights sum to +one, the terms containing $a_m$ cancel to give +\[ + \alpha_m(e^*)= + \sum_i\overline b_{i,m}(e^*)\,\dd v_{i,m}(e^*) + +\sum_i + \overline{v_{i,m}-p_i\circ\pi_m}(e^*)\,\dd b_{i,m}(e^*). +\] +The second sum tends to zero in edge $\ell^2$, by uniform convergence +of the errors and bounded energy of the finitely many weights. +Convexity bounds the squared norm of the first sum by the weighted sum +of local recovery energies. Lemma~\ref{en:recovery-measures} and +$b_{i,m}\to b_i$ turn its limit into +\[ + \lambda\sum_i\int_{A_\eta} b_i|\nabla p_i|^2\,\dd z + =\lambda\int_{A_\eta}\left|\nabla\frac{\theta}{2\pi}\right|^2\,\dd z + =\frac{\lambda}{2\pi}\log\frac{R+\eta}{r-\eta}. +\] +One may compute first on a slightly larger closed annulus inside the +cover; its boundary circles have zero limiting energy measure. +The edge averages $\overline b_{i,m}$ converge uniformly to $b_i$ at +the chosen edge locations, by vanishing mesh. This justifies both +the weighted passage to the limit and restriction to the annulus. +This proves \eqref{en:angular-energy}. Finally, $u_m$ is constant on +each plate, so its nonzero increments lie in $A_\eta$ eventually by +vanishing edge mesh. Choosing additional fixed collars gives the +assertion about stars. +\end{proof} + +\begin{proposition}[Exact conductance normalization]\label{en:reciprocity} +The scalar in Lemma~\ref{en:scalar} equals one. +\end{proposition} + +\begin{proof} +Only $\lambda\ge1$ remains after \eqref{en:lambda-upper}. +Pair $\dd u_m$ with the cochain $\alpha_m$ of +Lemma~\ref{en:angular-recovery}, matching each primal edge with its +crossing dual edge and using the consistent crossing sign. Then +\begin{equation}\label{en:pairing} + \left|\sum_e\dd u_m(e)\alpha_m(e^*)\right|=1. +\end{equation} +To see this at the discrete level, replace $u_m$ by the indicator of the +outer side of an intermediate circle. Their difference is supported +strictly inside the region of closedness of $\alpha_m$. Cellular +summation by parts therefore leaves the pairing unchanged. The +indicator's gradient pairs with $\alpha_m$ along the oriented dual +boundary chain separating the two wells. This chain has total winding +one up to sign by Proposition~\ref{inp:topology}; the cochain has exact +unit period by \eqref{en:angular-error}. This proves +\eqref{en:pairing}. The argument uses the boundary chain with its +multiplicities and does not require a simple discrete plate boundary. + +Cauchy--Schwarz, \eqref{en:condenser-limit}, and +\eqref{en:angular-energy} now give +\[ + 1\le C_m\sum_{e^*\subset A_\eta}|\alpha_m(e^*)|^2 + \quad\Longrightarrow\quad + 1\le\lambda C_0\,\lambda\left(C_0^{-1}+o_\eta(1)\right). +\] +Let $\eta\downarrow0$. Thus $1\le\lambda^2$, and +\eqref{en:lambda-upper} proves $\lambda=1$. +\end{proof} + +\begin{theorem}[Uniform conformal energy limit]\label{en:variational} +In every coupled extraction and every ordinary chart, both unnormalized +network energies have the same inner relaxed limit: +\begin{equation}\label{en:final-energy} + F(u,U)=F^*(u,U)=\int_U|\nabla u|^2\,\dd z +\end{equation} +for every $u\in C(U)\cap W^{1,2}_{\mathrm{loc}}(U)$, with infinite value +when the integral diverges or local Sobolev regularity fails. The local +uniform lower bounds and recovery conclusions of +Lemma~\ref{en:envelope}, the gluing estimate, and harmonic compactness +hold simultaneously. In particular, the limiting energy has no +subsequence-dependent multiplicative constant. +\end{theorem} + +\begin{proof} +Combine Proposition~\ref{en:representation}, Lemma~\ref{en:scalar}, and +Proposition~\ref{en:reciprocity}. The preceding construction used the +same countable buffered tests throughout, so its simultaneous and +locality assertions persist. All arguments apply in every fixed +quantum-unit offset of the extraction. Their compatibility is the +transport statement of Proposition~\ref{inp:array-interface}. +\end{proof} diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/05-sphere.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/05-sphere.tex new file mode 100644 index 0000000000000000000000000000000000000000..10840441ecd202474118c36eaaab25ce7d6a3899 --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/05-sphere.tex @@ -0,0 +1,420 @@ +\section{From local plane energies to the sphere}\label{sec:sphere} + +The energy identification of Section~\ref{sec:energy} was obtained in +ordinary patches of a quantum cone. We now transfer it to the fixed-area +sphere and include the point at which the contour begins and ends. The +output is a global variational statement in the same coupling as the +metric-measure convergence. This common coupling will later allow us to +compare the walks and their metric spaces simultaneously. + +Write $\dd A$ for round area on the conformal sphere, and set +\[ + \mathcal D(u)=\int_{S^2}|\nabla u|^2\,\dd A + \quad\text{for }u\in C(S^2)\cap W^{1,2}(S^2), +\] +with $\mathcal D(u)=+\infty$ for other continuous functions. The same +notation on an open coordinate domain means the integral over that +domain, with local weak differentiability required. Conformal +invariance makes these definitions independent of the chosen chart. + +\subsection{Transfer on the interior of a contour interval} + +First extend the plane conclusion beyond a single ordinary patch. +Retain all forward dyadic unit changes $v=2^k$ from +Proposition~\ref{inp:transport}. For each fixed $k$, the transformed +rate still tends to infinity, so Theorem~\ref{en:variational} applies +on the ordinary patches inside that cone's normalization disk. +Under the joint zoom \eqref{inp:joint-zoom}, these disks exhaust the +plane away from the cone point. Pulling the countably many +probability-one conclusions back to the original coordinate proves +the local energy identity everywhere off that point. Both the +network costs and the two-dimensional Dirichlet integral are unchanged +by these transformations. + +For $00$. Consequently +Proposition~\ref{sph:transfer} gives the local energy identity at every +point other than $p$. + +\subsection{Removing the tour endpoint} + +There are two different issues at $p$. A limit of bounded-energy +functions must have no extra Sobolev singularity there, and recovery +sequences must incur no extra discrete energy there. The following +elementary fact handles both. + +\begin{lemma}[Continuous Sobolev removability]\label{sph:removability} +Let $p$ be a point of a smooth two-dimensional surface. +If $u$ is continuous near $p$, is locally $W^{1,2}$ off $p$, and has +finite Dirichlet integral near $p$, then $u$ is $W^{1,2}$ across $p$. +Moreover, if $u$ is continuous and Sobolev on a compact surface, there +are continuous Sobolev functions $u_r$, constant on a neighborhood of +$p$ and equal to $u$ outside a shrinking disk, such that +\[ + \|u_r-u\|_\infty\longrightarrow0, + \qquad + \|u_r-u\|_{W^{1,2}}\longrightarrow0. +\] +\end{lemma} + +\begin{proof} +Work in a coordinate disk centered at $p$. A point has zero +two-dimensional Sobolev capacity: radial logarithmic cutoffs equal to +one on a shrinking inner disk and zero outside a fixed disk have +Dirichlet energies tending to zero. Testing the weak-derivative +identity off $p$ with the complementary cutoffs proves the identity +across $p$. More explicitly, the additional term containing the +cutoff gradient tends to zero by Cauchy--Schwarz, since $u$ is bounded +on the support of a fixed smooth test function, while the term +containing $\nabla u$ converges by its local square integrability. + +For the approximation choose a smooth cutoff $\chi_r$ equal to one +on $B(p,r)$, zero outside $B(p,2r)$, taking values in $[0,1]$, and +with $\int|\nabla\chi_r|^2\,\dd A\le C$ independently of $r$. +Set +\[ + u_r=u(p)+(1-\chi_r)(u-u(p)). +\] +The uniform error is bounded by the oscillation of $u$ on $B(p,2r)$. +For the gradient error, +\[ + \int|\nabla(u_r-u)|^2\,\dd A + \le 2\int_{B(p,2r)}|\nabla u|^2\,\dd A + +2C\sup_{B(p,2r)}|u-u(p)|^2, +\] +and both terms tend to zero. The ordinary $L^2$ error follows from +uniform convergence. +\end{proof} + +In a coupled extraction, choose a location $\pi_n(v)\in S^2$ for each +primal vertex from one of its contour visits; different choices have +uniformly vanishing discrepancy. Use $\pi_n^*$ on the dual. +For functions on the varying vertex sets, uniform convergence to $u$ +means +\[ + \max_{v\in V_n}|u_n(v)-u(\pi_n(v))|\longrightarrow0. +\] +The small-image joining and mesh assertions in the input guarantee that +this convention agrees with the local comparisons already used. +Harmonicity on an open set $U$ means that the graph Laplacian vanishes +at every vertex whose location is in $U$. For a compact subset of +$U$, all adjoining stars also lie in $U$ once $n$ is large; thus +this convention permits the buffered uses of +Lemma~\ref{en:harmonic-compactness}. + +\begin{theorem}[Global sphere energies]\label{sph:energy} +From any subsequence of the tree-decorated sphere maps, one can take a +further joint extraction and a coupling with the limiting ordinary +quantum sphere such that the following statements hold almost surely. +\begin{enumerate} +\item If $u_n$ converges uniformly to $u\in C(S^2)$, then +\[ + \liminf_{n\to\infty}\en_n(u_n)\ge\mathcal D(u). +\] +\item For each $u\in C(S^2)\cap W^{1,2}(S^2)$ there are uniformly +convergent approximations $u_n$ for which +\[ + \en_n(u_n)\longrightarrow\mathcal D(u). +\] +Both assertions hold on the dual with $\en_n^*$ and $\pi_n^*$. +\item On every open set, graph-harmonic functions with bounded energy +and bounded absolute value are locally equicontinuous under these +locations and have locally uniformly convergent subsequences. This +holds also on the dual and at the tour endpoint. +\end{enumerate} +All these conclusions may be required in the same extraction as the +metric and measure comparison below. +\end{theorem} + +\begin{proof} +Retain the internal tests of Proposition~\ref{sph:transfer} and also +the whole-sphere tests defining uniform relaxed energy. The latter +are countable compactified arrays; they need no local conditional +kernel. The selector sandwich applies to them in the same way. + +Suppose first that $\liminf_n\en_n(u_n)<\infty$ and pass to a subsequence +realizing this liminf. On disjoint compact-interior patches away from +$p$, Proposition~\ref{sph:transfer} bounds their limiting Dirichlet +integrals by the discrete energies in those patches. Exhausting the +complement of $p$ gives +\[ + \int_{S^2\setminus\{p\}}|\nabla u|^2\,\dd A + \le\liminf_n\en_n(u_n). +\] +Lemma~\ref{sph:removability} supplies the weak derivative at $p$. +This proves the first assertion, including its infinite-value case. + +For the upper bound, first take a continuous Sobolev target that is +constant near $p$. Cover the complement of a smaller constant disk +by finitely many patches from Proposition~\ref{sph:transfer}. +Subdivide it into finitely many smaller coordinate regions with +piecewise smooth boundaries, each contained in one patch, and thicken +these regions slightly. The boundaries have zero round area, so +their collars can be chosen with arbitrarily small total integral +of $|\nabla u|^2$. Local recovery on the thickened regions and +successive applications of Lemma~\ref{en:fundamental} now give +recovery on the compact complement: the main energy is bounded by +the sum of the target energies on those regions, and only the +chosen small collars are counted more than once. The error terms +from gluing tend to zero by uniform agreement on each fixed +collar. This proves recovery with arbitrarily small energy slack. +Extend by the constant on the +smaller disk. To make the extension exact, use a cutoff whose +transition lies in a fixed annulus where the target is constant. +Apply the finite-cover recovery just proved to a slightly larger +annular neighborhood and a smooth cutoff $b$ that is constant on +its two collars. If $b_n$ is its recovery and +$\delta_n>\|b_n-b\|_\infty$ tends to zero, replace $b_n$ by +\[ + \left(\frac{b_n-\delta_n}{1-2\delta_n}\right)\vee0\wedge1. +\] +This is exactly zero and one on the respective flat collars, and +its energy is at most $(1-2\delta_n)^{-2}\en_n(b_n)$. +The functions being joined differ by $o(1)$ +on the transition, so the extra term in the gluing estimate is $o(1)$. +The mesh tends to zero, hence every edge crossing either gluing +boundary is contained in the fixed collar for all sufficiently large +$n$. + +For a general continuous Sobolev $u$, apply the approximation +$u_r$ of Lemma~\ref{sph:removability}. Recover each fixed $u_r$ first, +then use a diagonal choice of $r\downarrow0$. Uniform convergence and +convergence of $\mathcal D(u_r)$ give the desired upper bound; the +first assertion makes it an equality. The proof for the dual is +identical. + +Away from $p$, harmonic compactness follows from +Lemma~\ref{en:harmonic-compactness}. To include $p$, take any fixed +finite stack of disjoint annuli centered at $p$, each of the same +aspect ratio, in a domain of harmonicity. Every transition annulus +avoids $p$. By the preceding local recovery, its dual cutoff can +be taken with energy bounded by a constant depending only on the +aspect ratio, with exact constant values on its two sides. Fill +the inner side by the constant; this uses only a flat collar in the +annulus. Lemma~\ref{en:circuit} gives a primal circuit in each annulus +whose oscillation squared is bounded by that constant times the +primal energy in the annulus. Among $k$ disjoint annuli, one +therefore has oscillation at most $C k^{-1/2}$ when the total energy +is bounded. The maximum principle transfers this oscillation to +all vertices inside its circuit. First choose $k$, and then take +large $n$; no annulus radius depends on $n$. Finite covers give +equicontinuity, and bounded values give compactness. Exchanging +primal and dual proves the remaining assertion. +\end{proof} + +\subsection{Keeping the metric and the quantum area in the same coupling} + +The coordinate used for energy convergence must also describe the +metric-measure limit. The contour correspondence makes this precise. + +\begin{proposition}[Joint spatial comparison]\label{sph:comparison} +The extraction in Theorem~\ref{sph:energy} can be chosen so that its +limiting sphere is the one in the metric-measure limit and, almost +surely, +\begin{align} + \sup_{v,w\in V_n} + \big|a_n d_n(v,w)-D_h(\pi_n(v),\pi_n(w))\big|&\longrightarrow0, + \label{sph:distortion}\\ + \sup_{x\in S^2}\dist_{D_h}(x,\pi_n(V_n))&\longrightarrow0, + \label{sph:dense}\\ + (\pi_n)_*\mu_n&\Longrightarrow\mu_h. + \label{sph:measure} +\end{align} +The maximum round diameter of a projected edge tends to zero. +The measure $\mu_h$ is nonatomic and has full support, and $D_h$ +induces the round topology. +\end{proposition} + +\begin{proof} +The sphere-identification proposition and the final normalization +argument for spanning-tree maps in \cite{MetricMaps} give, jointly +with the excursion, the contour correspondence +\[ + \bigl\{(v_{\lfloor2nt\rfloor},\eta(t)):0\le t\le1\bigr\} +\] +with distortion tending to zero. Here $v_j$ is the primal vertex +at the start of tour step $j$ and $\eta$ is the sphere contour. +Those results identify the metric of this very peanosphere limit; +they do not introduce an independent quantum sphere. Their +deterministic diameter normalization is the $a_n$ in +Theorem~\ref{thm:main}. Choosing one visit for each vertex changes +the correspondence by a uniformly vanishing discrepancy, which +gives \eqref{sph:distortion} and \eqref{sph:dense}. + +There are $2n$ tour step starts. Their vertex occupation measure is +$\mu_n$: horizontal tree traversals are counted at their starting +vertices, and vertical steps count the non-tree half-edges at their +incident vertices. Every half-edge is counted once, including both +half-edges of a loop. The area parameterization of $\eta$ therefore +gives \eqref{sph:measure}. Mesh convergence is the sphere +projection construction preceding Proposition~\ref{inp:topology}. +Nonatomicity, full support, and agreement of the metric and conformal +topologies are the quantum-area and metric properties in the same +repository input. + +All these variables may be retained together with the compactified +energy arrays before extraction. The metric identification is +unchanged upon a further extraction, so it holds in the coupling of +Theorem~\ref{sph:energy}. +\end{proof} diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/06-green.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/06-green.tex new file mode 100644 index 0000000000000000000000000000000000000000..ee77f3bd3e41f55fe74b6a9b0ab78819bf2733ed --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/06-green.tex @@ -0,0 +1,488 @@ +\section{A Green estimate in the finite map law} +\label{sec:green} + +Uniform approximation of energies concerns continuous functions. To +control the walk clock, we also need to show that bounded sources of +small stationary mass have small potentials. We prove this directly +under the finite map law. The argument combines a spanning-forest +formula for the inverse Laplacian with the two tree contours in +Mullin's encoding. + +Write $N=2n$. Let $H_n$ be the positive graph Laplacian on $V_n$, +using counting measure and unit conductances, so that +\[ + \langle u,H_nu\rangle=\en_n(u) + =\sum_{ab\in E(M_n)}(u(a)-u(b))^2. +\] +There is one term for each unoriented edge, and loops contribute zero. +For a real function $f$ with $\mu_n(f)=0$, define $G_nf$ by +\begin{equation}\label{gr:green-definition} + H_nG_nf=\mu_n f, + \qquad \mu_n(G_nf)=0. +\end{equation} +Here $\mu_nf$ on the right denotes the vector with entry +$\mu_n(v)f(v)$ at $v$. Connectedness gives existence and uniqueness. + +\begin{proposition}[Small-mass Green estimate] +\label{gr:green-bound} +For each fixed $\rho\in(0,1/2)$ there are nonnegative random variables +$A_n$, measurable functions of $M_n$, such that +\begin{equation}\label{gr:green-main} + \sup_{n\geq1}\E A_n<\infty, + \qquad + \|G_nf\|_\infty\leq A_n\,\mu_n(|f|)^\rho +\end{equation} +simultaneously for all real functions $f:V_n\to\R$ satisfying +$\|f\|_\infty\leq1$ and $\mu_n(f)=0$. +The expectation is under the map marginal of the uniform rooted +map--spanning-tree pair law. In particular, $(A_n)$ is tight. +\end{proposition} + +We first identify the exact inverse formula. We then estimate its +terms by grouping tree cuts according to the amount of tour time on +their smaller side. + +\subsection{The inverse Laplacian as a sum over cuts} + +The next identity is a consequence of the matrix-tree theorem and +its forest expansions; see the all-minors theorem of \cite{Chaiken} +and \cite[Chapter~4]{LP} for electrical networks and spanning trees. +We give the determinant argument to specify the multiplicities and +centering used here. + +\begin{lemma}[Forest representation] +\label{gr:forest} +Let $\mathcal G$ be a finite connected multigraph, with positive +probability measure $\mu$ on its vertex set $V$, and let $H$ be its +unit-conductance graph Laplacian. Suppose $q:V\to\R$ satisfies +$\sum_{v\in V}q(v)=0$, and let $u$ solve +$Hu=q$, $\mu(u)=0$. For a uniform spanning tree $T$ of $\mathcal G$ +and an edge $e\in T$, choose either component $S_e$ of $T\setminus e$, +and let $b_e$ be the number of graph edges between $S_e$ and +$V\setminus S_e$, with multiplicity. Then +\begin{equation}\label{gr:forest-identity} + u(x)=\E_T\sum_{e\in T} + \frac{q(S_e)\bigl(\1_{\{x\in S_e\}}-\mu(S_e)\bigr)}{b_e}, + \qquad x\in V, +\end{equation} +where $q(S)=\sum_{v\in S}q(v)$. The value does not depend on the +choice of component for any $e$. +\end{lemma} + +\begin{proof} +The one-vertex case is immediate, so suppose $m:=|V|\geq2$. +Orient the non-loop edges arbitrarily and delete the row of a fixed +vertex $o$ from the incidence matrix. Denote the resulting matrix by +$B$, and write $\widehat q$ for $q$ with its $o$-coordinate deleted. +The reduced Laplacian is $\widehat H=BB^{\mathsf T}$. If $\tau$ is +the number of spanning trees, the matrix-tree theorem and the +determinant lemma give +\begin{equation}\label{gr:rank-one} + \det(\widehat H+z\widehat q\widehat q^{\mathsf T}) + =\tau\bigl(1+z\widehat q^{\mathsf T} + \widehat H^{-1}\widehat q\bigr). +\end{equation} +For $z\geq0$, apply Cauchy--Binet to the matrix obtained by appending +$\sqrt z\widehat q$ to $B$. A term contributing to the coefficient +of $z$ selects $m-2$ incidence columns and the source column. +The incidence columns are independent exactly when their edges form +a spanning forest with two components. Indeed, a cycle gives a +linear dependence, whereas an acyclic graph with $m-2$ edges has +exactly two components, counting isolated vertices. + +For such a forest $F$, let $S_F$ be its component not containing $o$. +Its corresponding determinant has absolute value $|q(S_F)|$. +To see this, successively eliminate leaf rows and their incident +forest columns. Eliminating a leaf adds its source entry to its +neighbor's entry. The component containing $o$ disappears into the +deleted row, and the last entry in the other component is +$\sum_{v\in S_F}q(v)$. Consequently, comparison of the coefficients +of $z$ in \eqref{gr:rank-one} yields +\begin{equation}\label{gr:two-forest-quadratic} + \widehat q^{\mathsf T}\widehat H^{-1}\widehat q + =\frac1\tau\sum_F q(S_F)^2. +\end{equation} + +Let $H^+$ be the inverse of $H$ on counting-mean-zero vectors, +extended by zero on constants. Solving the equation with value zero +at $o$ shows that the left side of +\eqref{gr:two-forest-quadratic} equals $q^{\mathsf T}H^+q$. +Polarization therefore gives, for any two vectors $q,r$ of total +sum zero, +\begin{equation}\label{gr:two-forest-bilinear} + q^{\mathsf T}H^+r=\frac1\tau\sum_F q(S_F)r(S_F). +\end{equation} +Replacing $S_F$ by its complement changes the sign of each factor, +so the product is independent of this choice. + +Every two-component forest $F$ has exactly $b(F)$ extensions to a +spanning tree: add any one of the graph edges across its cut. +Thus, when all pairs $(T,e)$ are counted, $F=T\setminus e$ occurs +exactly $b(F)$ times. This explains the denominator in +\eqref{gr:forest-identity}. Apply \eqref{gr:two-forest-bilinear} +with $r=\delta_x-\mu$. Its left side is +\[ + (H^+q)(x)-\mu(H^+q)=u(x), +\] +and its right side, regrouped by $(T,e)$, is the asserted expression. +Loops enter neither the reduced incidence matrix nor a cut; parallel +edges are counted separately throughout. +\end{proof} + +\subsection{What a tree cut records in the tour} + +We use the finite form of Mullin's correspondence \cite{Mullin}, with +the incidence conventions of \cite[Section~``Independent-walk encoding +and local quantum surfaces'']{MetricMaps}. The $N$ steps form a +quadrant excursion whose horizontal and vertical coordinates are +denoted by $L$ and $R$. Horizontal steps traverse the selected +primal tree $T$; vertical steps traverse the complementary dual tree +$T^*$. In each coordinate an up-step is matched with the down-step +that first returns to its initial height. A matched horizontal pair +represents a tree edge. A matched vertical pair represents a +non-tree map edge between the primal vertices at its two step starts. +Let $v_i$ be the primal vertex at step start $i$, with all indices +read cyclically modulo $N$. + +\begin{lemma}[Tour mass and cut size] +\label{gr:tour-cut} +For each $v\in V_n$, +\begin{equation}\label{gr:tour-degree} + \#\{0\leq i0$ such that +\begin{equation}\label{gr:count-tail} + \P\{J\notin[N/4,3N/4]\}\leq C(N+1)^3e^{-cN}. +\end{equation} +The same schedule calculation is recorded in the excursion discussion +of \cite[Section~``From tree excursions to the measured quantum +sphere'']{MetricMaps}. It is an exact calculation in the fixed-size +law. + +\subsection{Distances in a uniform contour tree} + +The cut denominator in \eqref{gr:tour-cut-identities} is a dual-tree +distance. The next estimates quantify its typical size and also +control how many primal cuts can surround a given tour time. + +\begin{lemma}[Contour distance estimates] +\label{gr:dyck} +Let $\mathcal T_s$ be a uniform rooted plane tree with $s/2$ edges, +where $s\geq2$ is even, and write $w_i$, $i\in\Z/s\Z$, for its +cyclic contour vertices. If $i,j$ are deterministic with +$0\leq j\leq s$, set +\[ + D=\dist_{\mathcal T_s}(w_i,w_{i+j}), + \qquad d=1+\min(j,s-j). +\] +There are absolute constants $C,c>0$ such that, for every integer +$a\geq0$, +\begin{equation}\label{gr:dyck-density} + \P(D=a)\leq C(a+1)^2d^{-3/2}e^{-ca^2/d}. +\end{equation} +Consequently, for every fixed $p>0$, +\begin{equation}\label{gr:dyck-moments} + \|(1+D)^{-1}\|_{L^2}\leq C d^{-1/2}, + \qquad \|D\|_{L^p}\leq C_p\sqrt d. +\end{equation} +For every deterministic cyclic segment $K$ from corner $i$ through +corner $i+L$, where $1\leq L\leq s$, +\begin{equation}\label{gr:contour-diameter} + \bigl\|\diam_{\mathcal T_s}\{w_{i+r}:0\leq r\leq L\}\bigr\|_{L^4} + \leq C\sqrt L. +\end{equation} +\end{lemma} + +\begin{proof} +Rerooting a plane tree at its $i$th contour corner is a bijection on +rooted plane trees with $s/2$ edges. Its inverse reroots by $s-i$ +corners. Thus the rerooted tree is uniform, and $D$ has the law of +the height at time $j$ of a uniform Dyck excursion of length $s$. + +Let $p_l(a)$ be the probability that a simple symmetric walk started +at zero stays nonnegative for $l$ steps and finishes at $a$. +Reflection and the binomial estimate give +\begin{align} + p_l(a) + &=2^{-l}\left[ + \binom{l}{(l+a)/2}-\binom{l}{(l+a+2)/2}\right], + \label{gr:killed-kernel}\\ + p_l(a)&\leq C(a+1)(l+1)^{-3/2} + e^{-ca^2/(l+1)},\nonumber +\end{align} +with inadmissible binomial coefficients interpreted as zero. +For even $s$, $p_s(0)$ is comparable to $(s+1)^{-3/2}$. +The Markov property and time reversal of the second segment give +\[ + \P(D=a)=\frac{p_j(a)p_{s-j}(a)}{p_s(0)}. +\] +Inserting \eqref{gr:killed-kernel} proves +\eqref{gr:dyck-density}. Summing it after multiplication by +$(a+1)^{-2}$ or by $a^p$ proves +\eqref{gr:dyck-moments}. In the first case the remaining Gaussian +sum is at most $C\sqrt d$, so the second moment is at most $C/d$. + +For completeness, the diameter estimate follows by dyadic chaining. +Reroot at the deterministic first corner of $K$ and parametrize its +steps by the integers in $[0,L]$. At refinement level $l$, use the +times $\lfloor kL/2^l\rfloor$, $0\leq k\leq2^l$, and stop at +$l=\lceil\log_2L\rceil$. These grids are nested and the last one +contains every integer in $[0,L]$. Include the initial increment +from $0$ to $L$. For $l\geq1$, there are $O(2^l)$ new-to-parent +increments at level $l$, each spanning at most $C L2^{-l}$ steps. +By the fourth-moment estimate and +$\|\max_k Z_k\|_{L^4}^4\leq\sum_k\|Z_k\|_{L^4}^4$, the maximum +tree distance across these increments has $L^4$ norm at most +\[ + C2^{l/4}\sqrt{L2^{-l}}=C\sqrt L\,2^{-l/4}. +\] +Every contour vertex can be joined to the first vertex through its +ancestors in the dyadic grids. The triangle inequality and the +summability of $2^{-l/4}$ bound the maximum distance from that first +vertex by $C\sqrt L$ in $L^4$. The diameter is at most twice this +maximum. For $L=1$ the bound follows directly from the single edge. +\end{proof} + +\subsection{The sum of reciprocal cut sizes at one scale} + +For a dyadic integer $M$ with $1\leq M\leq N/2$, let +\[ + \mathcal E_M=\{e\in T:M\leq\ell_e<2M\}, + \qquad + U_{M,t}=\sum_{\substack{e\in\mathcal E_M\\t\in I_e}}\frac1{b_e}, + \qquad t\in\Z/N\Z. +\] +The intervals in this sum come from the horizontal tree. Their +denominators are governed by the independent vertical tree once the +schedule and the horizontal tree have been fixed. + +\begin{lemma}[One-scale estimate] +\label{gr:one-scale} +There is an absolute constant $C$ such that, for every $n$, every +dyadic $M\leq N/2$, and every deterministic tour time $t$, +\begin{equation}\label{gr:Ut} + \E U_{M,t}^2\leq C. +\end{equation} +\end{lemma} + +\begin{proof} +First condition on a count $J\in[N/4,3N/4]$. Consider all cyclic +intervals containing $t$ whose lengths lie in $[M,2M)$ and are at +most $N/2$. There are at most $C(M+1)^2$ such intervals. For each +one, a uniform schedule puts at least $c_0M$ vertical steps in both +the interval and its complement, except with probability +$Ce^{-cM}$, for suitable absolute $c_0,c>0$. Indeed, the vertical +density is at least $1/4$, both sets have at least $M$ slots, and +the hypergeometric lower-tail bound applies. Taking a union bound, +let $\mathcal B_{M,t}$ be the event that this property fails for +some interval. Uniformly over the balanced counts, +\begin{equation}\label{gr:schedule-tail} + \P(\mathcal B_{M,t}\mid J) + \leq C(M+1)^2e^{-cM}. +\end{equation} + +Fix a schedule outside $\mathcal B_{M,t}$ and then condition on the +horizontal Dyck excursion. This fixes all intervals in $U_{M,t}$. +For each one, its dual endpoints are separated in the vertical +contour by the number $j$ of vertical steps in that interval. +Both $j$ and $(N-J)-j$ are at least $c_0M$. Lemmas +\ref{gr:tour-cut} and \ref{gr:dyck}, followed by the triangle +inequality in $L^2$ of the remaining vertical excursion, imply +\begin{equation}\label{gr:vertical-bound} + \|U_{M,t}\|_{L^2(R\mid\text{schedule},L)} + \leq\frac{C}{\sqrt M}\,K_{M,t}, + \qquad + K_{M,t}:=\#\{e\in\mathcal E_M:t\in I_e\}. +\end{equation} + +We next bound this number of horizontal cuts. Any two components +$S_e,S_{e'}$ containing $v_t$ are nested unless their union is all +of $V_n$. This elementary tree property follows by considering +the components cut off from $v_t$: they are either nested or +disjoint. The union alternative cannot occur for the chosen +smaller sides, since +\[ + \mu_n(S_e\cup S_{e'}) + =\mu_n(S_e)+\mu_n(S_{e'})-\mu_n(S_e\cap S_{e'})<1. +\] +Here each of the first two terms is at most $1/2$, and the +intersection contains $v_t$, whose mass is positive. +Thus all components counted by $K_{M,t}$ are nested. + +If the family is nonempty, let $S$ be its largest component and +choose a contour vertex immediately outside its interval. It has +a representative at cyclic distance at most $2M+2$ from $t$. +The tree path from $v_t$ to that vertex crosses all $K_{M,t}$ cut +edges. Hence $K_{M,t}$ is at most the diameter of the horizontal +contour image of the deterministic window of tour times within +$2M+2$ of $t$. After the schedule has been fixed and holds deleted, +this is a deterministic contour segment with at most $4M+4$ +horizontal steps. If the window covers the entire tour, the full +horizontal contour instead has length $J\leq N\leq4M+4$. +A segment with no horizontal steps has diameter zero; otherwise +Lemma~\ref{gr:dyck} applies. Uniformly in the schedule, we obtain +\begin{equation}\label{gr:horizontal-count} + \E\bigl[K_{M,t}^2\mid\text{schedule}\bigr]\leq CM. +\end{equation} +Combining \eqref{gr:vertical-bound} and +\eqref{gr:horizontal-count} proves the required bound on schedules +outside $\mathcal B_{M,t}$ with balanced counts. + +For the exceptional schedules, use a deterministic bound. +Every interval counted by $K_{M,t}$ has its two delimiting tree +traversals within cyclic distance $2M+2$ of $t$. Distinct tree +edges have distinct traversal occurrences, so +$K_{M,t}\leq C(M+1)$. Since $b_e\geq1$, the same bound holds +for $U_{M,t}$. By \eqref{gr:schedule-tail}, the contribution of +these schedules to its second moment is at most +$C(M+1)^4e^{-cM}$, uniformly bounded in $M$. +Finally, $U_{M,t}\leq N$ always. The unbalanced counts contribute +at most $CN^2(N+1)^3e^{-cN}$ by \eqref{gr:count-tail}, also +uniformly bounded. This proves \eqref{gr:Ut} under the full law. +\end{proof} + +\subsection{Summing the scales} + +We now return to the inverse formula. Lemma~\ref{gr:one-scale} +controls the cut sum at a fixed time; a grid converts this into a +uniform bound over vertices. + +\begin{proof}[Proof of Proposition~\ref{gr:green-bound}] +The one-vertex case has $G_nf=0$, so set $A_n=0$ there. Otherwise, +for each dyadic $M\leq N/2$, choose a deterministic cyclic grid +$\Gamma_M$. For $M\geq8$, take its gaps at most $M/4$, its +cardinality at most $CN/M$, and its distinct points separated by +at least $cM$. For $M<8$, use all step indices; the same +cardinality and separation bounds hold with absolute constants. + +An interval of length in $[M,2M)$ containing a fixed time $t$ +contains a grid point within cyclic distance $2M$ of $t$. There +are only a bounded number of grid points in this neighborhood. +Consequently, +\begin{equation}\label{gr:grid-comparison} + \sup_t U_{M,t}\leq C\max_{t\in\Gamma_M}U_{M,t}. +\end{equation} +Every visit to a given vertex belongs to the same side of a tree +cut. Also, counting the visits in each interval gives +\[ + \sum_{e\in\mathcal E_M}\frac{\mu_n(S_e)}{b_e} + =\frac1N\sum_{t=0}^{N-1}U_{M,t}. +\] +It follows that +\begin{align} + W_M&:=\sup_{x\in V_n}\sum_{e\in\mathcal E_M} + \frac{\1_{\{x\in S_e\}}+\mu_n(S_e)}{b_e} + \leq C\max_{t\in\Gamma_M}U_{M,t}, + \label{gr:WM}\\ + \E W_M&\leq C\left(\sum_{t\in\Gamma_M} + \E U_{M,t}^2\right)^{1/2} + \leq C\sqrt{N/M}.\label{gr:WM-mean} +\end{align} +No independence among the grid variables is needed here. + +Fix $f$ as in the proposition and write $m_f=\mu_n(|f|)$. +For $e\in\mathcal E_M$, the source mass obeys +\begin{equation}\label{gr:source-interpolation} + \left|\sum_{v\in S_e}\mu_n(v)f(v)\right| + \leq\min(2M/N,m_f) + \leq(2M/N)^{1-\rho}m_f^\rho. +\end{equation} +Define, for the realized pair $(M_n,T)$, +\[ + Y_n(M_n,T)=\sum_{\substack{M\leq N/2\\M\text{ dyadic}}} + (2M/N)^{1-\rho}W_M. +\] +By \eqref{gr:WM-mean}, +\begin{equation}\label{gr:Y-mean} + \E Y_n\leq C_\rho + \sum_{\substack{M\leq N/2\\M\text{ dyadic}}} + (M/N)^{1/2-\rho} + \leq C_\rho. +\end{equation} +The last bound is a geometric sum, using $\rho<1/2$. + +Conditional on $M_n$, the selected tree is uniform. Define +\begin{equation}\label{gr:An} + A_n(M_n)=\E\bigl[Y_n(M_n,T)\mid M_n\bigr]. +\end{equation} +Apply Lemma~\ref{gr:forest} with $q=\mu_nf$. Taking absolute +values, grouping by $M$, and using +\eqref{gr:source-interpolation} proves +\[ + \|G_nf\|_\infty\leq A_n(M_n)m_f^\rho. +\] +The variable in \eqref{gr:An} is independent of the choice of $f$, +so this bound holds simultaneously for all admissible functions. +The tower property and \eqref{gr:Y-mean} give +$\sup_n\E A_n<\infty$, and Markov's inequality gives tightness. +\end{proof} + +The estimate depends only on the finite map law and its spanning +trees. In particular, it controls the full potential of a small +source, including any behavior on vertex sets that uniform +approximation of continuous functions might fail to detect. diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/07-dynamics.tex b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/07-dynamics.tex new file mode 100644 index 0000000000000000000000000000000000000000..09fe5a0c2a51ae5cbe623f880c65c0e055b9aad0 --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/build/sections/07-dynamics.tex @@ -0,0 +1,512 @@ +\section{Resolvents and conditional path laws}\label{sec:dynamics} + +Uniform convergence of energies concerns continuous functions, whereas +the speed measure may be singular with respect to round area. The +Green estimate bridges this difference: it makes a bounded source on +a set of small quantum mass produce a uniformly small potential. +After removing that potential, a resolvent is locally harmonic, so +the compactness theorem for harmonic functions applies. We first +give this argument for a deterministic sequence of graphs. The last +subsection applies it in the coupled random environments and proves +Theorem~\ref{thm:main}. + +\subsection{A deterministic convergence criterion} + +Let $S^2$ carry its round distance $d_0$ and area $\dd A$. Let $\mu$ +be a nonatomic probability measure with full support. Suppose the +quadratic form +\begin{equation}\label{dyn:continuum-form} + \cE(u,u)=\frac12\int_{S^2}|\nabla u|^2\,\dd A, + \qquad u\in C^\infty(S^2), +\end{equation} +is closable in $L^2(\mu)$, and its closure $(\cE,\mathcal F)$ is a +regular conservative Dirichlet form with an associated continuous-path +diffusion $B$. We always start $B$ with law $\mu$. These hypotheses +hold for the Liouville area measures used here; the time-change and +Dirichlet-form constructions are treated in +\cite{GRV,Berestycki}, with general form theory in \cite{FOT}. +Our normalization is the explicit factor $1/2$ in +\eqref{dyn:continuum-form}. + +For each $n$, let $\mathcal G_n$ be a finite connected graph, allowing loops and +multiple edges, with vertex set $V_n$ and a strictly positive +probability measure $\mu_n$ on $V_n$. Write +\[ + (H_nu)(v)=\sum_{vw}\bigl(u(v)-u(w)\bigr), + \qquad + \en_n(u)=\sum_{\{v,w\}}(u(v)-u(w))^2. +\] +The first sum counts incidences at $v$, and the second counts +unoriented edges with multiplicity. Loop summands vanish. +Let $Y^n$ be the chain with generator +\begin{equation}\label{dyn:abstract-generator} + (\mathcal L_nu)(v)=-\frac{(H_nu)(v)}{2\mu_n(v)}. +\end{equation} +It is reversible with respect to $\mu_n$, and its form is +$\cE_n(u,u)=\en_n(u)/2$. Choose maps $\pi_n:V_n\to S^2$. +Uniform comparison of functions always means +\[ + \|u_n-u\circ\pi_n\|_{\infty,V_n}\longrightarrow0. +\] +No injectivity of $\pi_n$ is required. + +\begin{theorem}[From energies and Green bounds to path laws] +\label{dyn:conditional} +In the deterministic setting just defined, assume the following. +\begin{enumerate}[label=\textup{(\roman*)}] +\item $(\pi_n)_*\mu_n\Rightarrow\mu$, and the maximum projected +edge length tends to zero: +\[ + \max_{\{v,w\}\in E(\mathcal G_n)}d_0(\pi_n(v),\pi_n(w))\longrightarrow0. +\] +\item Every uniformly convergent sequence with continuous limit $u$ +satisfies +\[ + \liminf_n\en_n(u_n)\ge\int|\nabla u|^2\,\dd A, +\] +where the right side is $+\infty$ unless $u\in W^{1,2}(S^2)$. +Every smooth $u$ has a uniformly convergent recovery sequence with +energy tending to that integral. +\item For every open $U\subset S^2$, sequences that are graph-harmonic +at all vertices in $\pi_n^{-1}(U)$ and have uniformly bounded +supremum and total energy are locally equicontinuous in $U$ under +$\pi_n$, and locally uniformly precompact there. +Here equicontinuity means that, for every compact $K\subset U$, +\[ + \lim_{\delta\downarrow0}\limsup_n + \sup_{\substack{\pi_n(v),\pi_n(w)\in K\\ + d_0(\pi_n(v),\pi_n(w))\le\delta}} + |u_n(v)-u_n(w)|=0, +\] +and precompactness means uniform comparison with a continuous +function on each compact subset after a common subsequence. +\item For the centered solution operator +\[ + H_nG_ng=\mu_n g,\qquad \mu_n(G_ng)=0, + \qquad \mu_n(g)=0, +\] +there are constants $C<\infty$ and $\rho>0$, independent of $n$, such +that +\begin{equation}\label{dyn:green-assumption} + \|G_ng\|_\infty\le C\,\mu_n(|g|)^\rho + \quad\text{if }\|g\|_\infty\le1\text{ and }\mu_n(g)=0. +\end{equation} +\end{enumerate} +Then the laws of $(\pi_n(Y^n_t))_{0\le t\le T}$, with initial law +$\mu_n$, converge in $D([0,T],S^2)$ to the law of +$(B_t)_{0\le t\le T}$, for every finite $T$. The limit has continuous +paths. In addition, for every $\alpha>0$ and $f\in C(S^2)$, the +resolvents converge uniformly under $\pi_n$. +\end{theorem} + +We prove the theorem through four lemmas. Their hypotheses throughout +are those of Theorem~\ref{dyn:conditional}. Notice that full support +and weak convergence of the measures already imply that $\pi_n(V_n)$ +becomes dense: otherwise a fixed open ball of positive $\mu$-mass +would be missed along a subsequence. + +\begin{lemma}[Continuous Sobolev functions in the closed form] +\label{dyn:smooth-core} +If $u\in C(S^2)\cap W^{1,2}(S^2)$, then $u\in\mathcal F$ and its +closed-form energy is the right side of +\eqref{dyn:continuum-form}. It has smooth approximations converging +both uniformly and in the form norm. Two continuous versions of +the same element of $L^2(\mu)$ are equal everywhere. +\end{lemma} + +\begin{proof} +In coordinate disks, mollification of a continuous Sobolev function +converges both uniformly on smaller disks and in Sobolev norm. +A smooth partition of unity gives smooth functions $u_j$ on the +sphere with these two convergences globally. Since $\mu$ is finite, +uniform convergence also gives $L^2(\mu)$ convergence. Thus $(u_j)$ +is Cauchy for $\cE(\cdot,\cdot)+\|\cdot\|_{L^2(\mu)}^2$ and has +limit $u$ in the stipulated closure. The gradient convergence +identifies its energy. Polarization gives the same identity for +the bilinear form on continuous Sobolev functions. Finally a +nonzero continuous difference is bounded away from zero on some +open set, which has positive $\mu$-mass by full support. +\end{proof} + +Let $R^n_\alpha=(\alpha-\mathcal L_n)^{-1}$, and let $R_\alpha$ be the +$L^2(\mu)$ resolvent of $(\cE,\mathcal F)$. + +\begin{lemma}[Uniform resolvent convergence]\label{dyn:resolvent} +For every $\alpha>0$ and $f\in C(S^2)$, $R_\alpha f$ has a unique +continuous version, which belongs to round $W^{1,2}$, and +\begin{equation}\label{dyn:resolvent-limit} + \bigl\|R^n_\alpha(f\circ\pi_n) + -(R_\alpha f)\circ\pi_n\bigr\|_\infty + \longrightarrow0. +\end{equation} +The same conclusion holds with right-hand sides $f_n$ converging +uniformly under $\pi_n$ to $f$. +\end{lemma} + +\begin{proof} +Put $u_n=R^n_\alpha(f\circ\pi_n)$. The maximum principle and the +resolvent equation give +\begin{equation}\label{dyn:resolvent-bounds} + \|u_n\|_\infty\le\frac{\|f\|_\infty}{\alpha}, + \qquad + H_nu_n=\mu_n g_n, + \qquad + g_n=2(f\circ\pi_n-\alpha u_n). +\end{equation} +In particular $g_n$ is uniformly bounded, and multiplying the equation +by $u_n$ shows that $\en_n(u_n)$ is uniformly bounded. + +We first prove equicontinuity. Fix a point $x\in S^2$, and choose +disjoint open neighborhoods $U$ of $x$ and $V$ of a different point. +Take $\mu$-null boundaries, with $\mu(V)>0$. The neighborhood $U$ +may be made arbitrarily small in $\mu$-mass because $\mu$ has no +atoms. Write $U_n=\pi_n^{-1}(U)$ and $V_n'=\pi_n^{-1}(V)$, and set +\[ + q_n=g_n\1_{U_n} + -\frac{\mu_n(g_n\1_{U_n})}{\mu_n(V_n')}\1_{V_n'}. +\] +For large $n$, the denominator is bounded below. Hence $q_n$ has +mean zero, bounded supremum, and +$\mu_n(|q_n|)\le C_1\mu_n(U_n)$. Scaling +\eqref{dyn:green-assumption} yields +\[ + \|G_nq_n\|_\infty\le C_2\mu_n(U_n)^\rho. +\] +Also +\[ + \en_n(G_nq_n)=\mu_n((G_nq_n)q_n) + \le\|G_nq_n\|_\infty\mu_n(|q_n|). +\] +Thus $u_n-G_nq_n$ has bounded energy and supremum and is harmonic +on $U_n$. Hypothesis~(iii) makes this difference equicontinuous on +compact subsets of $U$. Given an oscillation tolerance, first +choose $U$ so that $G_nq_n$ has smaller supremum, and then use +harmonic equicontinuity inside $U$. A finite cover of $S^2$ proves +equicontinuity of the original sequence. Boundedness and density of +$\pi_n(V_n)$ now give uniformly convergent subsequences. + +Let $u$ be one such limit. Hypothesis~(ii) and +Lemma~\ref{dyn:smooth-core} show that $u\in\mathcal F\cap C(S^2)$. +The discrete resolvent minimizes +\[ + J_n(v)=\frac12\en_n(v)+\alpha\mu_n(v^2) + -2\mu_n((f\circ\pi_n)v). +\] +The energy lower bound, uniform convergence, and weak convergence of +the measures imply +\[ + \cE(u,u)+\alpha\mu(u^2)-2\mu(fu) + \le\liminf_n J_n(u_n). +\] +For any smooth $v$, take its uniform recovery sequence $v_n$. +Minimality gives $J_n(u_n)\le J_n(v_n)$, and the latter converges to +$\cE(v,v)+\alpha\mu(v^2)-2\mu(fv)$. Smooth functions are a core +of the closed form by its definition, so $u$ minimizes this +functional over all of $\mathcal F$. Strict convexity for $\alpha>0$ +identifies $u=R_\alpha f$ in $L^2(\mu)$. Full support makes its +continuous version unique. Every subsequence has the same limit, +which proves \eqref{dyn:resolvent-limit}. + +Finally, $\|R^n_\alpha a-R^n_\alpha b\|_\infty +\le\alpha^{-1}\|a-b\|_\infty$. This contraction bound proves the +claim for varying right-hand sides. +\end{proof} + +\subsection{Controlling small time intervals} + +Resolvent convergence integrates the walk over time. To recover +the actual clock, we next construct functions that separate spatial +sets and whose discrete generators are bounded. The needed continuum +approximation is uniform, rather than merely in $L^2(\mu)$. + +\begin{lemma}[Uniform resolvent approximation]\label{dyn:feller} +For every $f\in C(S^2)$, +\begin{equation}\label{dyn:approximate-identity} + \|\alpha R_\alpha f-f\|_\infty\longrightarrow0 + \qquad\text{as }\alpha\longrightarrow\infty. +\end{equation} +\end{lemma} + +\begin{proof} +First suppose $f$ is smooth, and put $w_\alpha=\alpha R_\alpha f$. +The spectral theorem for the nonnegative self-adjoint form operator +gives $w_\alpha\to f$ in the form norm. Indeed the spectral +multiplier $\alpha/(\alpha+\lambda)$ tends to one and is bounded by +one, so dominated convergence applies with spectral weight +$1+\lambda$. By Lemma~\ref{dyn:smooth-core}, +\[ + \|\nabla(w_\alpha-f)\|_{L^2(\dd A)}\longrightarrow0. +\] +The maximum principle, or its discrete version followed by +Lemma~\ref{dyn:resolvent}, gives +\begin{equation}\label{dyn:range} + \min f\le w_\alpha\le\max f. +\end{equation} + +We also need convergence in round $L^2$, which does not follow by +changing the measure in the form norm. Let $c_\alpha$ be the round +average of $w_\alpha-f$. Round Poincare gives +\[ + \|w_\alpha-f-c_\alpha\|_{L^2(\dd A)}\longrightarrow0. +\] +The constants $c_\alpha$ are bounded by \eqref{dyn:range}. If a +subsequence has limit $c$, then $w_\alpha\to f+c$ in round $L^2$ +on that subsequence, and therefore along a further subsequence almost +everywhere. Consequently +$\min f\le f+c\le\max f$ almost everywhere for round area. +Continuity of $f$ makes its essential extrema equal to its extrema: +every neighborhood of a minimizer or maximizer has positive round +area. The two inequalities force $c\ge0$ and $c\le0$. +Thus $c=0$, and $w_\alpha-f\to0$ in round $W^{1,2}$. + +Fix a small coordinate disk about a point $x$, and a fixed annulus +inside that disk surrounding a smaller neighborhood of $x$. +Radial averaging of the round $W^{1,2}$ error supplies, for each +large $\alpha$, a circle in this annulus on which the trace of +$w_\alpha-f$ tends to zero in one-dimensional $H^1$. The radii stay +in a fixed compact subinterval of $(0,\infty)$, so the +one-dimensional Sobolev inequality gives uniform convergence on +these circles. Almost every radius has the Sobolev trace of the +continuous representative, which is the trace we choose. + +Let $D_\alpha$ be the disk inside the chosen circle. The resolvent +equation is +\begin{equation}\label{dyn:weak-resolvent} + \cE(w_\alpha,v)+\alpha\int(w_\alpha-f)v\,\dd\mu=0, + \qquad v\in\mathcal F. +\end{equation} +Choose a constant $K$ strictly above the boundary values of +$w_\alpha$ and at least $\sup_{D_\alpha} f$. +The positive part $(w_\alpha-K)^+$ on $D_\alpha$, extended by zero, +vanishes in a collar of the circle and is continuous Sobolev. +Lemma~\ref{dyn:smooth-core} makes it an admissible test in +\eqref{dyn:weak-resolvent}. The two terms are nonnegative; the +second is at least $\alpha\int ((w_\alpha-K)^+)^2\,\dd\mu$. +Thus $w_\alpha\le K$ on the disk, first $\mu$-almost everywhere and +then everywhere by continuity and full support. The negative-part +test gives the lower bound. Letting the strict slack tend to zero +shows that the values inside the circle are bounded by its boundary +values and the extrema of $f$ in the disk. + +The oscillation of $f$ on sufficiently small disks is arbitrarily +small. The boundary convergence and this comparison therefore +give uniform convergence on a neighborhood of $x$. A finite cover +proves \eqref{dyn:approximate-identity} for smooth $f$. +For continuous $f$, approximate it uniformly by a smooth function +and use the contraction $\|\alpha R_\alpha\|_{\infty\to\infty}\le1$. +\end{proof} + +\begin{lemma}[An exit estimate uniform over starting vertices] +\label{dyn:tightness} +For $d>0$ and $v\in V_n$, let +\[ + \tau^n_d(v)=\inf\{t\ge0: + d_0(\pi_n(Y^n_t),\pi_n(v))\ge d\}. +\] +Then +\begin{equation}\label{dyn:exit} + \lim_{s\downarrow0}\limsup_{n\to\infty} + \sup_{v\in V_n}\P_v[\tau^n_d(v)\le s]=0. +\end{equation} +The stationary projected path laws are tight in $D([0,T],S^2)$, +and all their limits are supported on continuous paths. +\end{lemma} + +\begin{proof} +Cover the sphere by finitely many round disks of radius less than +$d/8$. For each choose a smooth function $f$ in $[0,1]$, zero on +that disk, and one outside the concentric disk of radius $d/2$. +If $\pi_n(v)$ is in the smaller disk and displacement from +$\pi_n(v)$ reaches $d$, the value of $f$ at the new location is one. + +Fix $b>0$. Lemmas~\ref{dyn:feller} and \ref{dyn:resolvent}, first +with a sufficiently large fixed $\alpha$ and then with sufficiently +large $n$, give for each of this finite family a function +\[ + v_n=\alpha R^n_\alpha(f\circ\pi_n),\qquad + \|v_n-f\circ\pi_n\|_\infty\le b. +\] +Its generator satisfies +\[ + \mathcal L_nv_n=\alpha(v_n-f\circ\pi_n), + \qquad \|\mathcal L_nv_n\|_\infty\le C_b, +\] +with a common $C_b$ for the finite family and all sufficiently large +$n$. Start the chain at $v$ in the corresponding small disk and +stop at $\sigma=\tau^n_d(v)\wedge s$. If +$p=\P_v[\tau^n_d(v)\le s]$, then +\[ + \E_v[v_n(Y^n_\sigma)]\ge p-b, + \qquad + \E_v[v_n(Y^n_\sigma)] + =v_n(v)+\E_v\int_0^\sigma \mathcal L_nv_n(Y^n_t)\,\dd t + \le b+C_bs. +\] +Hence $p\le2b+C_bs$, uniformly over all starting vertices. +First let $s\downarrow0$ and then $b\downarrow0$ to obtain +\eqref{dyn:exit}. + +Apply the strong Markov property to the chain $Y^n$ after any +stopping time. Since \eqref{dyn:exit} is uniform over its current +vertex, it gives the usual stopping-time increment condition for +the projected paths. The projection itself need not be Markov. +Apply Aldous's stopping-time criterion \cite{Aldous} to the three +coordinate functions of the round sphere in $\R^3$; their values +are bounded. This gives tightness of each coordinate path law. +The largest coordinate jump is bounded by the maximum projected +edge length, which tends to zero. Under $J_1$ convergence any jump +of a limit is approximated by jumps of the approximating paths, +so every coordinate limit is continuous. Coordinate tightness +with continuous limits gives joint tightness with continuous +limits in $\R^3$: on continuous limits, $J_1$ convergence agrees +with uniform convergence, allowing a common time comparison for +the three coordinates. The limits remain in the closed set +$S^2$, proving the assertion. +\end{proof} + +\subsection{Identifying the entire conditional law} + +\begin{proof}[Completion of the proof of Theorem~\ref{dyn:conditional}] +Take a subsequence of the stationary projected path laws with a weak +limit. By Lemma~\ref{dyn:tightness}, diagonal extraction on the +horizons $1,2,\ldots$ gives a consistent continuous-path law on +$[0,\infty)$, denoted by $Q$. Restrictions are consistent because +the limits are continuous at the restriction times. + +Let $f_0,\ldots,f_k\in C(S^2)$ and $\alpha_1,\ldots,\alpha_k>0$. +Integrate the stationary finite-dimensional expectation at times +$0,t_1,t_1+t_2,\ldots,t_1+\cdots+t_k$ against +$\prod_{j=1}^k e^{-\alpha_jt_j}\,\dd t_j$. The Markov property +and the resolvent identity give exactly +\begin{equation}\label{dyn:laplace} + \mu_n\!\left[ + (f_0\circ\pi_n)R^n_{\alpha_1} + \left((f_1\circ\pi_n)R^n_{\alpha_2} + \left(\cdots(f_{k-1}\circ\pi_n) + R^n_{\alpha_k}(f_k\circ\pi_n)\cdots\right)\right) + \right]. +\end{equation} +Successive applications of Lemma~\ref{dyn:resolvent}, including its +varying-data assertion, and weak convergence of the measures show +that \eqref{dyn:laplace} converges to +\[ + \mu\!\left[f_0R_{\alpha_1} + \left(f_1R_{\alpha_2} + \left(\cdots f_{k-1}R_{\alpha_k}f_k\cdots\right)\right) + \right]. +\] +By the semigroup-resolvent relation for the closed form, this is the +same integrated expectation for the stationary diffusion $B$. + +It is also the integrated expectation for $Q$. On bounded time +boxes this follows from weak path convergence, since evaluation at +fixed times is continuous at continuous paths. Dominated +convergence then integrates over the gaps. The contribution of +the complement of a large time box is bounded uniformly by the +tails of the product of exponentials, times +$\prod_j\|f_j\|_\infty$. + +The product expectations under $Q$ and under $B$ are bounded +continuous functions of $(t_1,\ldots,t_k)$, including zero gaps. +Uniqueness of multivariate Laplace transforms makes these +functions equal: one may apply one-dimensional uniqueness +successively in each coordinate, and then use continuity to +remove almost-everywhere qualifications. Product tests determine +probability measures on the compact product $(S^2)^{k+1}$. +Thus $Q$ and the law of $B$ have the same finite-dimensional +distributions, and hence the same law on continuous paths. +Every subsequential limit is the same, proving the theorem. +\end{proof} + +\subsection{The clock and the metric-space conclusion} + +We now return to the random maps. The exact relation between the +graph energy and the prescribed walk fixes the clock without any +subsequence-dependent factor. + +\begin{lemma}[Exact energy of the accelerated walk]\label{dyn:energy-clock} +For the half-edge walk of Theorem~\ref{thm:main}, +\[ + -\langle u,nL_nu\rangle_{L^2(\mu_n)}=\frac12\en_n(u). +\] +Equivalently, $nL_n=-\tfrac12\mu_n^{-1}H_n$, where +$\mu_n^{-1}$ denotes division by vertex mass. +\end{lemma} + +\begin{proof} +The generator convention gives $H_n=-\deg\,L_n$. Since +$\mu_n(v)=\deg(v)/(2n)$, +\[ + -\sum_v\mu_n(v)u(v)nL_nu(v) + =\frac12\sum_vu(v)H_nu(v) + =\frac12\sum_{\{v,w\}}(u(v)-u(w))^2. +\] +Loops contribute zero to both sides. Their degree contributions +are already included in the first identity, so no holding-time +correction is needed. +\end{proof} + +\begin{proof}[Proof of Theorem~\ref{thm:main}]\label{dyn:main-proof} +Start with any subsequence. Retain the random variable $A_n$ of +Proposition~\ref{gr:green-bound} together with all the contour, +spatial, and local and whole-sphere array variables used in +Theorem~\ref{sph:energy} and Proposition~\ref{sph:comparison}. +Its uniform first-moment bound gives tightness, so these variables +admit a joint further extraction. Apply the sphere results to this +enlarged extraction and use a Skorokhod representation. On the +resulting probability-one event, their conclusions hold and $A_n$ +converges to a finite random variable. In particular +$\sup_n A_n<\infty$ after discarding finitely many initial terms. + +Fix a realization in this probability-one event. Its limiting +quantum sphere is now a fixed measured conformal sphere. The +projections $\pi_n$, measures, edge mesh, uniform energy bounds and +recovery, and harmonic compactness satisfy hypotheses~(i)--(iii) +of Theorem~\ref{dyn:conditional}. The realized bounded $A_n$ gives +hypothesis~(iv). The Liouville form is exactly +\eqref{dyn:continuum-form} with $\mu=\mu_h$. By +Lemma~\ref{dyn:energy-clock}, the chain in that deterministic theorem +is $Y^n_t=X^n_{nt}$. Consequently its conditional projected path +law converges to the conditional law of $B^h$, for every fixed +finite horizon. All probabilities in this invocation are taken +on the individual fixed graphs. The random object being compared +is the conditional probability law itself. + +It remains to express this comparison in the metric $\delta_T$. +The round topology and the $D_h$ topology agree on the compact +limiting sphere, so the identity map between them is uniformly +continuous in both directions. The path-law convergence just +proved therefore also holds in $D([0,T],(S^2,D_h))$. + +The correspondences in Proposition~\ref{sph:comparison} have +distortions tending to zero. The standard correspondence gluing +constructs a common metric space containing isometric copies of +all $(V_n,a_nd_n)$ and $(S^2,D_h)$, with +\[ + \sup_{v\in V_n}\dist_Z\bigl(v,\pi_n(v)\bigr)\longrightarrow0. +\] +For completeness, for each $n$ attach its copy to the sphere by +cross-distances obtained by taking the infimum over corresponding +pairs, adding numbers $\varepsilon_n\downarrow0$ larger than half +the respective distortions; +use the shortest-path metric on the union, identifying only the +common sphere, and then take the completion. This preserves the +metrics of every copy. The images become close in Hausdorff +distance, and their measures become close in Prokhorov distance. + +Apply the embedding to each coordinate of a chain path. Its +distance in the common Skorokhod space from its $\pi_n$-projected +path is bounded by the displayed supremum, using the identity time +change. The corresponding probability laws therefore have +Prokhorov distance tending to zero. Combining this with the +projected law convergence shows that all three terms defining +$\delta_T$ tend to zero in the coupled extraction. + +We have obtained almost-sure convergence in a further coupling from +every original subsequence, to the prescribed quantum sphere and +its conditional diffusion law. The subsequence principle gives +convergence in distribution through all positive integers $n$. +Forgetting the root, the spanning tree, and the contour marks +leaves precisely the states in Theorem~\ref{thm:main}. The same +choice $c=1$ works for every time horizon. +\end{proof} diff --git a/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/linear-clock-random-walk-tree-weighted-planar-maps.pdf b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/linear-clock-random-walk-tree-weighted-planar-maps.pdf new file mode 100644 index 0000000000000000000000000000000000000000..e1f596e35dbaab3a5bda0d3e4c8a6db24fc93ca5 --- /dev/null +++ b/preprints/A-Linear-Clock-for-Random-Walk-on-Tree-Weighted-Planar-Maps-October-5-2026/linear-clock-random-walk-tree-weighted-planar-maps.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:0acb1c84bf79e9c86c03d6e1346b607ff7bcef8241321e49adf5ffb52f2aeec6 +size 628184 diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/README.md b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..eb5e46f81808355ed3c5a67ba0bfe91f922bceee --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/README.md @@ -0,0 +1,18 @@ +# [A logarithmic independence bound for clique-free graphs](paper.pdf) + +**Author:** OpenAI + +**Date:** September 25, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026, + author = {{OpenAI}}, + title = {{A logarithmic independence bound for clique-free graphs}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/paper.pdf}{OAI:A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/figures/splitting.tex b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/figures/splitting.tex new file mode 100644 index 0000000000000000000000000000000000000000..f6522087da7f86fedd1eb9d9ec456c9646543608 --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/figures/splitting.tex @@ -0,0 +1,69 @@ +\begin{figure}[htbp] + \centering + \begingroup + \definecolor{splitblue}{RGB}{34,92,140} + \definecolor{splitochre}{RGB}{166,104,24} + \begin{tikzpicture}[ + x=1cm,y=1cm, + font=\small, + vertex/.style={circle,draw=black,fill=white,minimum size=5.5pt, + inner sep=0pt,line width=.6pt}, + copy/.style={vertex,minimum size=7pt}, + blueedge/.style={draw=splitblue,line width=.9pt}, + ochreedge/.style={draw=splitochre,line width=.9pt}, + every label/.style={font=\small,inner sep=2pt} + ] + \node at (1.15,2.22) {Before splitting}; + \node at (7.35,2.22) {After splitting}; + + \draw[blueedge] (0,0) -- (2.55,1.55); + \draw[blueedge] (0,0) -- (2.55,.55); + \draw[ochreedge] (0,0) -- (2.55,-.55); + \draw[ochreedge] (0,0) -- (2.55,-1.55); + \draw[line width=.6pt] (2.55,.55) -- (2.55,1.55); + \node[vertex] (old-u) at (0,0) {}; + \node[anchor=east,align=center,inner sep=0pt] at (-.17,0) + {$u$\\[-1pt]$w_u$}; + \node[vertex,label=right:$v_1$] at (2.55,1.55) {}; + \node[vertex,label=right:$v_2$] at (2.55,.55) {}; + \node[vertex,label=right:$v_3$] at (2.55,-.55) {}; + \node[vertex,label=right:$v_4$] at (2.55,-1.55) {}; + + \draw[-{Latex[length=2.2mm]},line width=.65pt] + (3.55,0) -- (4.8,0); + \node[align=center,font=\footnotesize] at (4.17,.48) + {split by\\label}; + + \draw[blueedge] (6.15,1.05) -- (8.7,1.55); + \draw[blueedge] (6.15,1.05) -- (8.7,.55); + \draw[ochreedge] (6.15,-1.05) -- (8.7,-.55); + \draw[ochreedge] (6.15,-1.05) -- (8.7,-1.55); + \draw[line width=.6pt] (8.7,.55) -- (8.7,1.55); + \node[copy,draw=splitblue] at (6.15,1.05) {}; + \node[anchor=east,align=center,inner sep=0pt] at (5.96,1.05) + {$(u,y)$\\[-1pt]$w_u$}; + \node[copy,draw=splitochre] at (6.15,-1.05) {}; + \node[anchor=east,align=center,inner sep=0pt] at (5.96,-1.05) + {$(u,z)$\\[-1pt]$w_u$}; + \node[vertex,label=right:$v'_1$] at (8.7,1.55) {}; + \node[vertex,label=right:$v'_2$] at (8.7,.55) {}; + \node[vertex,label=right:$v'_3$] at (8.7,-.55) {}; + \node[vertex,label=right:$v'_4$] at (8.7,-1.55) {}; + + \draw[blueedge] (.45,-2.12) -- (.9,-2.12); + \node[anchor=west,font=\footnotesize] at (.99,-2.12) + {label $y$ at $u$}; + \draw[ochreedge] (5.75,-2.12) -- (6.2,-2.12); + \node[anchor=west,font=\footnotesize] at (6.29,-2.12) + {label $z$ at $u$}; + \end{tikzpicture} + \endgroup + \caption{Local view of splitting by admissible labels. The incidences + $uv_1,uv_2$ receive label $y$, and $uv_3,uv_4$ receive label $z$. + Each copy of $u$ has weight $w_u$. The remote endpoints are also split: + $v'_i$ denotes the copy selected by the incidence $v_i u$. + The displayed triangle survives because its two incidences agree at + each of its three corners, with all labels admissible. Each retained + edge is placed once, between its selected copies.} + \label{fig:label-splitting} +\end{figure} diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/main.tex b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..1f4decdea04c8b1799860c2e810c6489b4dde5e3 --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/main.tex @@ -0,0 +1,29 @@ +\pdfinfoomitdate=1 +\pdftrailerid{} +\pdfsuppressptexinfo=15 +\documentclass[11pt]{article} +\input{preamble} +\title{A logarithmic independence bound for clique-free graphs} +\author{OpenAI} +\date{September 25, 2026} +\begin{document} +\maketitle +\begin{abstract} +For every fixed integer $r\ge4$, every $K_r$-free graph on $n$ vertices +with average degree $d\ge2$ has an independent set of size at least +$c_r n\log d/d$, where $c_r>0$ depends only on $r$. +This proves the fixed-clique-size independence conjecture of Ajtai, +Erd\H{o}s, Koml\'os and Szemer\'edi. +\end{abstract} +\setcounter{tocdepth}{1} +\tableofcontents +\clearpage +\input{sections/introduction} +\input{sections/optimizer} +\input{sections/invariant} +\input{sections/entropy} +\input{sections/coupling} +\input{sections/closure} +\bibliographystyle{plain} +\bibliography{references} +\end{document} diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/preamble.tex b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/preamble.tex new file mode 100644 index 0000000000000000000000000000000000000000..4efe8c4cdee7a66ea794db9a650ce14fd0ecb323 --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/preamble.tex @@ -0,0 +1,20 @@ +\usepackage[T1]{fontenc} +\usepackage{lmodern} +\usepackage[margin=1.05in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{microtype,enumitem,xcolor,tikz,flafter} +\usetikzlibrary{arrows.meta,positioning,calc,fit} +\usepackage[hyphens]{url} +\usepackage[colorlinks=true,linkcolor=blue!45!black,citecolor=green!35!black,urlcolor=blue!55!black]{hyperref} +\hypersetup{pdftitle={A logarithmic independence bound for clique-free graphs},pdfauthor={OpenAI}} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{definition} +\newtheorem{definition}[theorem]{Definition} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\numberwithin{equation}{section} +\setlist{nosep} +\setlength{\emergencystretch}{1em} diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/references.bib b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/references.bib new file mode 100644 index 0000000000000000000000000000000000000000..00bdc614044cee1a13608baf321b16bbb1eb6f34 --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/references.bib @@ -0,0 +1,166 @@ +@article{AKS1980, + author = {Ajtai, Mikl{\'o}s and Koml{\'o}s, J{\'a}nos and Szemer{\'e}di, Endre}, + title = {{\href{https://doi.org/10.1016/0097-3165(80)90030-8}{A note on {Ramsey} numbers}}}, + journal = {Journal of Combinatorial Theory, Series A}, + volume = {29}, + number = {3}, + pages = {354--360}, + year = {1980}, + doi = {10.1016/0097-3165(80)90030-8} +} + +@article{AEKS1981, + author = {Ajtai, Mikl{\'o}s and Erd{\H o}s, Paul and Koml{\'o}s, J{\'a}nos and Szemer{\'e}di, Endre}, + title = {{\href{https://doi.org/10.1007/BF02579451}{On {Tur\'an}'s theorem for sparse graphs}}}, + journal = {Combinatorica}, + volume = {1}, + number = {4}, + pages = {313--317}, + year = {1981}, + doi = {10.1007/BF02579451}, + url = {https://renyi.hu/~p_erdos/1981-19.pdf} +} + +@article{Shearer1983, + author = {Shearer, James B.}, + title = {{\href{https://doi.org/10.1016/0012-365X(83)90273-X}{A note on the independence number of triangle-free graphs}}}, + journal = {Discrete Mathematics}, + volume = {46}, + number = {1}, + pages = {83--87}, + year = {1983}, + doi = {10.1016/0012-365X(83)90273-X} +} + +@article{Shearer1995, + author = {Shearer, James B.}, + title = {{\href{https://doi.org/10.1002/rsa.3240070305}{On the independence number of sparse graphs}}}, + journal = {Random Structures \& Algorithms}, + volume = {7}, + number = {3}, + pages = {269--271}, + year = {1995}, + doi = {10.1002/rsa.3240070305}, + url = {https://www.cs.toronto.edu/~molloy/2427-25/readings/Shearer1.pdf} +} + +@article{Alon1996, + author = {Alon, Noga}, + title = {{\href{https://doi.org/10.1002/(SICI)1098-2418(199610)9:3\%3C271::AID-RSA1\%3E3.0.CO;2-U}{Independence numbers of locally sparse graphs and a {Ramsey} type problem}}}, + journal = {Random Structures \& Algorithms}, + volume = {9}, + number = {3}, + pages = {271--278}, + year = {1996}, + doi = {10.1002/(SICI)1098-2418(199610)9:3<271::AID-RSA1>3.0.CO;2-U}, + url = {https://web.math.princeton.edu/~nalon/PDFS/indrams1.pdf} +} + +@misc{DJM2025, + author = {Dhawan, Abhishek and Janzer, Oliver and Methuku, Abhishek}, + title = {{\href{https://arxiv.org/abs/2511.17191v2}{Independent sets and colorings of {$K_{t,t,t}$}-free graphs}}}, + year = {2025}, + eprint = {2511.17191}, + archivePrefix = {arXiv}, + primaryClass = {math.CO}, + note = {arXiv:2511.17191v2}, + url = {https://arxiv.org/abs/2511.17191v2} +} + +@misc{Davies2026, + author = {Davies, Ewan}, + title = {{\href{https://arxiv.org/abs/2609.04654v1}{Random independent sets and local sparsity}}}, + year = {2026}, + eprint = 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+@article{DMS2012, + author = {Dutta, Kunal and Mubayi, Dhruv and Subramanian, C. 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For an $n$-vertex $K_r$-free graph of maximum +degree at most $\Delta\ge3$, +a constant test weight gives $F_G^*$ at least a constant multiple of +$n(\log\Delta)^2/\Delta$. The triangle estimate will provide a vertex +whose closed-neighborhood deletion costs at most a constant times +$\log\Delta$. Induction compares these two bounds and gives the required +independent set. We keep $\Delta$ fixed throughout the induction, then +pass to average degree by deleting high-degree vertices. +Let $B_r\ge0$ be the constant in~\eqref{eq:optimizer-triangle}, and set +\begin{equation} + D_r=3+\frac32 B_r. + \label{eq:independence-constant} +\end{equation} + +\begin{proposition}\label{prop:maximum-degree} +For every integer $r\ge4$, every real number $\Delta\ge3$, and every finite $K_r$-free graph $G$ +with $n$ vertices and maximum degree at most $\Delta$, +\[ + \alpha(G)\ge \frac{F_G^*}{D_r\log\Delta} + \qquad\text{and}\qquad + \alpha(G)\ge \frac{n\log\Delta}{4D_r\Delta}. +\] +\end{proposition} + +\begin{proof} +Fix $\Delta\ge3$. We prove the first inequality by induction on $n$. +For the empty graph both sides are zero. Suppose $n>0$, let $w$ maximize +$F_G$, and write $W=\sum_v w_v$. By Lemma~\ref{lem:optimizer}, +$01$ +and the right side is less than $1$, a contradiction. Therefore +$W\ge n/\Delta$. Applying the concavity of $\log$ with probabilities +$w_v/W$ now gives +\begin{equation} + \frac{2M_G(w)}{W} + =\sum_v\frac{w_v}{W}\log\frac1{w_v} + \le \log\left(\sum_v\frac{w_v}{W}\frac1{w_v}\right) + =\log\frac{n}{W} + \le\log\Delta. + \label{eq:optimizer-edge-weight} +\end{equation} +Thus the average in \eqref{eq:averaged-deletion-cost} is at most +\[ + 1+\left(2+\frac32B_r\right)\log\Delta + \le D_r\log\Delta, +\] +where we used $\log\Delta\ge1$. + +Choose a vertex whose cost is at most the average. Since the restriction +of $w$ is a feasible weight vector for $G-A_v$, +\[ + F_{G-A_v}^*\ge F_G^*-D_r\log\Delta. +\] +The graph $G-A_v$ is $K_r$-free and still has maximum degree at most the +same number $\Delta$. The induction hypothesis, followed by adjoining +$v$ to an independent set of $G-A_v$, yields +\[ + \alpha(G)\ge 1+\alpha(G-A_v) + \ge 1+\frac{F_{G-A_v}^*}{D_r\log\Delta} + \ge \frac{F_G^*}{D_r\log\Delta}. +\] + +For the second inequality, test $F_G$ on the constant vector with entry +$p=(\log\Delta)/\Delta$. Since $|E(G)|\le n\Delta/2$, +\[ + F_G^*\ge np\left(1-\log p-\frac{\Delta p}{2}\right) + =np\left(1+\frac12\log\Delta-\log\log\Delta\right) + \ge \frac{np\log\Delta}{4}. +\] +The last inequality holds for every $\Delta>1$: the function +$1+t/4-\log t$ on $t>0$ has minimum $2-\log4>0$ at $t=4$. +Combining this bound with the first inequality proves the result. +\end{proof} + +\begin{proof}[Proof of Theorem~\ref{thm:main}] +Let $G$ have $n$ vertices and average degree $d\ge2$. Delete the vertices +whose degrees in $G$ exceed $2d$, and let $H$ be the induced graph on +the remaining vertices. Fewer than $n/2$ vertices are deleted, since +the sum of all degrees is $nd$. Thus $|V(H)|\ge n/2$, and +$H$ is $K_r$-free with maximum degree at most the real number $2d$. +Proposition~\ref{prop:maximum-degree} gives +\[ + \alpha(G)\ge\alpha(H) + \ge\frac{|V(H)|\log(2d)}{8D_r d} + \ge\frac{n\log d}{16D_r d}. +\] +We may therefore take $c_r=1/(16D_r)$. +All constants used in obtaining $B_r$, and consequently $D_r$ and $c_r$, +depend only on $r$. +\end{proof} diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/coupling.tex b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/coupling.tex new file mode 100644 index 0000000000000000000000000000000000000000..b2c757f80787d5618035ff4eeb11ad2629f49dc1 --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/coupling.tex @@ -0,0 +1,318 @@ +\section{Splitting vertices and bounding triangle mass} +\label{sec:splitting} + +The local walks give similar probability distributions to the two +neighbors at a corner of a triangle, on average under the ordered +triangle law. We now sample from these distributions jointly. +Equal samples keep the two incident edges of a triangle at the same copy +of a vertex. A condition on the reversed transition probability ensures +that each copy has a small weighted neighborhood. + +\subsection{Sampling all rows together} + +We use the shared rejection construction of Kleinberg and +Tardos~\cite[Section~3, Lemmas~3.1 and~3.2]{KleinbergTardos2002}. +Angel and Spinka~\cite[Theorem~2 and Section~2.1]{AngelSpinka2021} +give the sharper pairwise disagreement estimate stated below. +The short proof supplies the joint law for all rows at once. + +\begin{lemma}[Shared rejection sampling]\label{lem:shared-rejection} +Let $I$ and $J$ be finite nonempty sets, and let $(p_i)_{i\in I}$ be +probability distributions on $J$. There are jointly distributed random +variables $(Y_i)_{i\in I}$ such that $Y_i$ has law $p_i$ and, for every +$i,i'\in I$, +\[ + \mathbb P(Y_i\ne Y_{i'}) + \le \frac{2\|p_i-p_{i'}\|_{\mathrm{TV}}} + {1+\|p_i-p_{i'}\|_{\mathrm{TV}}} + \le 2\|p_i-p_{i'}\|_{\mathrm{TV}}. +\] +The resulting joint law has finite support. +\end{lemma} + +\begin{proof} +Write $m=|J|$. Take independent trials $(Z_t,U_t)_{t\ge1}$, with $Z_t$ +uniform on $J$ and $U_t$ uniform on $[0,1]$. For each $i$, let $Y_i=Z_t$ +at the first trial satisfying $U_t\le p_i(Z_t)$. A trial is accepted +by row $i$ with probability $1/m$, and its accepted value has law $p_i$. +More explicitly, for $y\in J$, +\[ + \mathbb P(Y_i=y) + =\sum_{t\ge1}(1-1/m)^{t-1}\frac{p_i(y)}m=p_i(y). +\] +Every row stops almost surely; since $I$ is finite, all rows stop after +a finite number of trials almost surely. + +Fix two rows $p,q$, and put $d=\|p-q\|_{\mathrm{TV}}$. At the first +trial accepted by either row, the probability that both accept is +\[ + \frac{\sum_{y\in J}\min(p(y),q(y))} + {\sum_{y\in J}\max(p(y),q(y))} + =\frac{1-d}{1+d}. +\] +On this event their labels agree. They may also agree otherwise, so +the disagreement probability is at most $2d/(1+d)$. Finally, the label +vector takes values in the finite set $J^I$, so its induced law has +finite support. The infinite sequence of trials is only a convenient +construction of that finite joint law. +\end{proof} + +\subsection{Admissible labels and vertex splitting} + +Let $H$ be a finite graph with positive vertex weights. Assume that every +edge $uv$ has common-neighbor weight $c_{uv}\ge1/x$, that every +neighborhood has weight at most $e^x$, and that $H$ satisfies the +cross-mass condition~\eqref{eq:cross-mass} with constant $C\ge1$. Here $x\ge32$. If $H$ has +an edge, then it has a triangle; throughout this subsection suppose +$T_H(w)>0$. + +Use the integer $j$ supplied by Lemma~\ref{lem:entropy-smoothing}, and +for each non-isolated vertex $u$ write $K_u=K_u^j$ for the corresponding +kernel on $N_H(u)$. Isolated vertices may be discarded, since they +contribute neither edge nor triangle mass. The +directed-edge probability measure is +\[ + \mu(u,v)=\frac{w_uw_vc_{uv}}{6T_H(w)}. +\] +Conditional on $u$, its second coordinate has distribution +$\pi_u(v)=w_vc_{uv}/h_u$, and $K_u$ is reversible for $\pi_u$. +We use the constants from that lemma: +\[ + A_C=10+42C^2+2C, + \qquad B_C=2\sqrt{A_C+1}. +\] +In particular, $K_u(v,y)\le xw_y$, the averaged row entropy is at +most $A_C\log x$, and the average total variation distance between +the rows indexed by the other two vertices of a weighted ordered +triangle is at most $B_C\sqrt{\log x/x}$. + +For each non-isolated $u$, apply Lemma~\ref{lem:shared-rejection} to all rows of +$K_u$. Denote the label assigned to $v\in N_H(u)$ by $Y_{u,v}$. +These finite joint laws may be sampled independently for different +vertices $u$. We will group the neighbors of $u$ according to their +labels, while keeping the total weight of each group at most $e^{\sqrt x}$. +For this purpose, call a label $y$ at the incidence $(u,v)$ +\emph{admissible} if +\begin{equation}\label{eq:admissible-label} + K_u(y,v)\ge w_v e^{-\sqrt x}. +\end{equation} +For a fixed outcome of the labels, define +\[ + A_{u,y}=\{v\in N_H(u):Y_{u,v}=y + \text{ and }K_u(y,v)\ge w_ve^{-\sqrt x}\}. +\] +The reversed transition in \eqref{eq:admissible-label} is chosen so that +all vertices in one group can be compared with a single probability row: +\begin{equation}\label{eq:label-group-weight} + w(A_{u,y}) + \le e^{\sqrt x}\sum_{v\in A_{u,y}}K_u(y,v) + \le e^{\sqrt x}. +\end{equation} +This holds for every outcome of the labels. The next lemma shows that +the admissibility requirement rejects only a small fraction of incidences +under the triangle distribution. + +\begin{lemma}\label{lem:reverse-admissibility} +The probability that $Y_{u,v}$ is inadmissible, averaged over +$(u,v)\sim\mu$, is at most +\begin{equation}\label{eq:inadmissibility-bound} + \delta_x:=\frac{(A_C+1)\log x}{\sqrt x+\log x}. +\end{equation} +\end{lemma} + +\begin{proof} +Under the joint law $(u,v)\sim\mu$, $y\sim K_u(v,\cdot)$, +reversibility gives +\[ + (u,v,y)\ \stackrel{\mathrm{law}}=\ (u,y,v). +\] +Both $K_u(v,y)$ and $K_u(y,v)$ are positive on this law's support: +all $\pi_u$ are positive and +$\pi_u(v)K_u(v,y)=\pi_u(y)K_u(y,v)$. +Consequently +\[ + \ell:=\log\frac{w_v}{K_u(y,v)} + \quad\text{satisfies}\quad + \mathbb E\ell=H_j\le A_C\log x. +\] +The density bound applied to the reversed row gives $\ell\ge-\log x$. +Inadmissibility is precisely the event $\ell>\sqrt x$. Applying Markov's +inequality to the nonnegative random variable $\ell+\log x$ proves +\eqref{eq:inadmissibility-bound}. No bound on an individual row's +entropy is needed here. +\end{proof} + +We now turn the groups into a graph, for each fixed outcome of the labels. +Make one vertex $(u,y)$ of weight $w_u$ for each nonempty group. +For each edge $uv$ of $H$ whose two incidence labels are admissible, +put an edge between $(u,Y_{u,v})$ and $(v,Y_{v,u})$. +Call the resulting graph $H'$. Figure~\ref{fig:label-splitting} shows +the construction at one vertex. +We take the maximum neighborhood weight of the empty graph to be zero. +\input{figures/splitting} + +\begin{lemma}\label{lem:weighted-splitting} +There is a choice of these labels for which the projection +$(u,y)\mapsto u$ preserves weights, maps directed edges injectively +to directed edges of $H$, and satisfies +\begin{align} + \max_{a\in V(H')}w(N_{H'}(a))&\le e^{\sqrt x}, + \label{eq:split-neighborhood}\\ + T_{H'}(w)&\ge(1-a_C\log x/\sqrt x)T_H(w), + \label{eq:split-triangles} +\end{align} +where $a_C=6(B_C+A_C+1)$. +\end{lemma} + +\begin{proof} +Every old edge creates at most one new edge. The projection therefore +maps directed edges injectively, and the new graph has neither loops +nor multiple edges. At a fixed vertex $(u,y)$, different neighbors +project to different vertices of $H$, because $H$ is simple and each +edge $uv$ was used at most once. By \eqref{eq:label-group-weight}, +\[ + w(N_{H'}(u,y)) + \le w(A_{u,y}) + \le e^{\sqrt x}. +\] +In particular, duplicating a vertex does not duplicate any of its +incident edges at one fixed copy. + +An old triangle $\{u,v,z\}$ survives whenever its two labels agree +at each corner and all six incidence labels are admissible. These +conditions are also necessary for its three edges to form a triangle +in $H'$. A triangle of $H'$ projects to three distinct old vertices, +and hence to an old triangle. Moreover, there is at most one triangle +over each old triangle, since each old edge has at most one preimage. +The weights of a surviving triangle are unchanged. + +Sample an ordered triangle $(u,v,z)$ with probability +$w_uw_vw_z/(6T_H(w))$. Its ordered-edge marginal is $\mu$. +At the corner $u$, the shared coupling and the row-distance estimate +give +\[ + \mathbb E\,\mathbb P(Y_{u,v}\ne Y_{u,z}) + \le 2B_C\sqrt{\frac{\log x}{x}}. +\] +Each of the other two corners has the same bound, by the permutation +symmetry of the ordered-triangle law. Each of its six directed +incidences has marginal $\mu$, so +Lemma~\ref{lem:reverse-admissibility} bounds the average +inadmissibility probability of each by $\delta_x$. +A union bound, with no independence assumption between these events, +therefore gives +\[ + \frac{\mathbb E(T_H(w)-T_{H'}(w))}{T_H(w)} + \le6B_C\sqrt{\frac{\log x}{x}}+6\delta_x + \le a_C\frac{\log x}{\sqrt x}. +\] +The last inequality uses $\log x\ge1$. All label vectors together +have finite support. At least one of them has triangle mass at least +its expectation, proving the claim. +\end{proof} + +\subsection{Reduction and iteration} + +The preceding construction turns the walk estimates into a reduction +of weighted neighborhoods. Choose $X=X(C)\ge32$ so large that +\begin{equation}\label{eq:iteration-threshold} + 2a_C\frac{\log X}{\sqrt X}\le\frac12. +\end{equation} +Such a choice depends only on $C$. + +\begin{proposition}\label{prop:neighborhood-reduction} +Let $G$ be a finite positive-vertex-weighted graph satisfying the +cross-mass condition~\eqref{eq:cross-mass} with constant $C\ge1$, and suppose that +$\max_vw(N_G(v))\le e^x$ for some $x>X(C)$. There is a finite +positive-vertex-weighted graph $G'$ with a weight-preserving map to +$G$ that is injective on directed edges, such that +\begin{align} + \max_vw(N_{G'}(v))&\le e^{\sqrt x},\label{eq:step-neighborhood}\\ + T_{G'}(w)&\ge + \left(1-a_C\frac{\log x}{\sqrt x}\right)T_G(w) + -\frac{M_G(w)}x.\label{eq:step-triangles} +\end{align} +It also satisfies the same cross-mass condition, and $M_{G'}(w)\le M_G(w)$. +\end{proposition} + +\begin{proof} +Peel edges whose current common-neighbor weight is less than $1/x$. +If $H$ is the remaining graph, Lemma~\ref{lem:triangle-peeling} gives +\[ + T_H(w)\ge T_G(w)-M_G(w)/x. +\] +Edge deletion does not increase any weighted neighborhood, and it +preserves the cross-mass condition. If $H$ has no edges, take $G'$ to +be empty. Then $T_G(w)\le M_G(w)/x$, which implies +\eqref{eq:step-triangles}. +Otherwise, apply Lemma~\ref{lem:weighted-splitting} to $H$. +Since $x\mapsto\log x/\sqrt x$ is decreasing for $x\ge e^2$, +\eqref{eq:iteration-threshold} ensures +$0\le1-a_C\log x/\sqrt x\le1$. Hence +\begin{align*} + T_{G'}(w) + &\ge\left(1-a_C\frac{\log x}{\sqrt x}\right) + \left(T_G(w)-\frac{M_G(w)}x\right)\\ + &\ge\left(1-a_C\frac{\log x}{\sqrt x}\right)T_G(w) + -\frac{M_G(w)}x. +\end{align*} +The projection through $H$ is still injective on directed edges. +The edge-mass bound and inherited cross-mass condition follow from +Lemma~\ref{lem:invariant-preservation}. +\end{proof} + +\begin{proof}[Proof of Theorem~\ref{thm:weighted-triangles}] +If $G$ has no edges, both sides vanish. Otherwise choose $x_0\ge1$ +such that every neighborhood has weight at most $e^{x_0}$. While +$x_i>X$, apply Proposition~\ref{prop:neighborhood-reduction} and +set $x_{i+1}=\sqrt{x_i}$. Write $G_i$ for the successive graphs, +$T_i=T_{G_i}(w)$ and $M_i=M_{G_i}(w)$; the weights at each stage +are the inherited weights of its vertex copies. Stop after $k$ steps, +when $x_k\le X$. The procedure is finite, and the $k=0$ case is +allowed. + +We record bounds independent of $x_0$ and $k$. If $k>0$, put +$y=x_{k-1}>X$. The used parameters, in reverse order, are +$y,y^2,y^4,\ldots,y^{2^{k-1}}$. For +$f(t)=\log t/\sqrt t$ and $t\ge X\ge32$, +\[ + \frac{f(t^2)}{f(t)}=\frac2{\sqrt t}\le\frac12. +\] +As $f$ is decreasing on $[X,\infty)$, it follows that +\begin{equation}\label{eq:summable-losses} + \sum_{i0, + \qquad \mu(u,v)=\frac{w_uw_vc_{uv}}{Z}\quad(uv\in E(G)), +\] +where both orientations of each edge occur in the sum defining $Z$. +The conditional distribution of $v$ given $u$ under $\mu$ is $\pi_u$. +If, after sampling $(u,v)$ from $\mu$, we sample $z$ from $P_u(v,\cdot)$, +then +\begin{equation} + \mathbb P(u,v,z)=\frac{w_uw_vw_z}{Z} + \quad\hbox{for each ordered triangle $(u,v,z)$}. + \label{eq:ordered-triangle-law} +\end{equation} +We call this the ordered triangle law. + +For a probability vector $a$ supported on vertices with positive weights, +write +\[ + \mathcal H_w(a)=\sum_{y:a(y)>0}a(y)\log\frac{w_y}{a(y)},\qquad + H_j=\mathbb E_{(u,v)\sim\mu}\mathcal H_w(K_u^j(v,\cdot)). +\] +Thus $H_j$ is an average of row entropies relative to the vertex weights; +the weights themselves need not sum to one. For probability vectors $a,b$ +on the same finite set, write +\[ + \|a-b\|_{\mathrm{TV}}=\frac12\sum_y|a(y)-b(y)|. +\] + +The neighborhood bound $s_u\le e^x$ alone allows row entropy as large +as $x$. The next lemma improves the averaged upper bound to +$O_C(\log x)$ over $\lceil x\rceil$ steps. Since the entropy increments +are nonnegative, some step has small averaged increment; this will give +the required comparison under the ordered triangle law. + +\begin{lemma}[Smoothing the local walks] +\label{lem:entropy-smoothing} +Under \eqref{eq:cross-mass} and \eqref{eq:walk-hypotheses}, put +\[ + E_C=42C^2+2C,\qquad A_C=10+E_C,\qquad B_C=2\sqrt{A_C+1}, + \qquad R=\lceil x\rceil. +\] +Each $K_u^j$ is reversible with stationary measure $\pi_u$, and +\begin{equation} + K_u^j(v,y)\le xw_y\qquad(j\ge0). + \label{eq:walk-density} +\end{equation} +Moreover, +\begin{equation} + -\log x\le H_0\le H_1\le\cdots\le H_R\le A_C\log x. + \label{eq:entropy-upper} +\end{equation} +There exists $j\in\{0,\ldots,R-1\}$ such that, under the ordered triangle +law, +\begin{equation} + \mathbb E\bigl\|K_u^j(v,\cdot)-K_u^j(z,\cdot)\bigr\|_{\mathrm{TV}} + \le B_C\sqrt{\frac{\log x}{x}}. + \label{eq:triangle-row-distance} +\end{equation} +\end{lemma} + +\begin{proof} +We first check the kernels and then bound the entropy they can acquire. +Detailed balance follows from +\[ + \pi_u(v)P_u(v,z) + =\frac{w_vw_z\mathbf1_{\{vz\in E(G)\}}}{h_u} + =\pi_u(z)P_u(z,v). +\] +Thus $P_u$ is reversible and stationary for $\pi_u$. Its powers, and hence +$Q_u$ and $K_u^j$, have the same properties. No irreducibility assumption +is needed. By $c_{uv}\ge x^{-1}$, every row of $P_u$ satisfies +$P_u(v,y)\le xw_y$. Since $P_u$ and $Q_u$ commute, +\[ + K_u^j(v,y)=\sum_zQ_u^j(v,z)P_u(z,y)\le xw_y, +\] +which proves \eqref{eq:walk-density}. In particular, $H_j\ge-\log x$. + +\paragraph{Sets that contain most of the walk.} +Write $L=e^x$. For each fixed non-isolated starting vertex $v$, we build +sets in the whole graph that contain almost all of the walk for every +center $u\in N(v)$ simultaneously. Using the same set for all these +centers will allow a cross-mass estimate to control its intersections +with their neighborhoods. Define +\[ + S_0(v)=N(v),\qquad + S_{i+1}(v)=S_i(v)\cup + \{y:w(N(y)\cap S_i(v))\ge x^{-6}/L\}. +\] +We suppress the argument $v$ while it is fixed. Double counting gives +\[ + \sum_yw_yw(N(y)\cap S_i) + =\sum_{z\in S_i}w_zs_z\le Lw(S_i). +\] +Consequently +\[ + w(S_{i+1})\le(1+L^2x^6)w(S_i),\qquad + w(S_R)\le e^x(1+e^{2x}x^6)^R\le e^{20x^2}. +\] +For the last inequality, $x\ge32$ implies $6\log x\le x$, +$\log(1+e^{2x}x^6)\le4x$, and $R\le2x$. + +For every edge $uv$ and $0\le i\le R$, we claim that +\begin{equation} + K_u^i(v,N(u)\setminus S_i(v))\le ix^{-4}. + \label{eq:walk-leakage} +\end{equation} +The claim holds at $i=0$, since $P_u(v,\cdot)$ is supported on $N(v)$. +In the step from $i$ to $i+1$, mass already outside $S_i$ contributes at +most $ix^{-4}$. If $z\in S_i$ and $y\notin S_{i+1}$, then $y\ne z$, +so $Q_u(z,y)\le xw_y\mathbf1_{\{zy\in E(G)\}}$. By +\eqref{eq:walk-density}, the additional mass reaching such a $y\in N(u)$ +is at most +\[ + \sum_{z\in N(u)\cap S_i\cap N(y)}xw_z\,xw_y + \le x^{-4}w_y/L. +\] +Summing over $y\in N(u)$ contributes at most $x^{-4}$, proving the claim. + +\paragraph{Most neighborhoods meet these sets in small weight.} +The global set $S_R(v)$ has weight at most $e^{20x^2}$. We now show +that its intersection with $N(u)$ has weight at most $x^8$ for most +pairs $(u,v)$ under $\mu$. +For fixed $v$ let +\[ + B_v=\{u\in N(v):w(N(u)\cap S_R(v))>x^8\}. +\] +The first use of \eqref{eq:cross-mass}, with parameter $20x^2$, +gives +\[ + x^8w(B_v)\le e_w(N(v),S_R(v)) + \le Cs_v(20x^2+\log^+(1/s_v)) + \le21Cx^2s_v, +\] +where $s_v\ge x^{-1}$ was used in the final inequality. Thus +$w(B_v)\le21Cx^{-6}s_v$. + +This weight estimate must be converted to the conditional law of $u$ +given $v$, which is not normalized vertex weight. The symmetry of $\mu$ +gives the exact formula +\[ + \mathbb P_\mu(u\in B_v\mid v) + =\frac{\sum_{u\in B_v}w_uc_{uv}}{h_v} + =\frac{e_w(B_v,N(v))}{h_v}. +\] +The second use of \eqref{eq:cross-mass}, now with parameter $x$, +applies because $B_v\subseteq N(v)$ and $s_v\le e^x$. The function $g_x$ +is nondecreasing on $[0,\infty)$, and therefore, for $b\ge0$, +\[ + g_x(b)\le2x\max\{b,e^{-x}\}. +\] +Using $h_v\ge s_v/x$ and $s_v\ge x^{-1}$, we obtain +\begin{align} + \mathbb P_\mu(u\in B_v\mid v) + &\le\frac{2Cx^2}{s_v}\bigl(w(B_v)+e^{-x}\bigr)\notag\\ + &\le42C^2x^{-4}+2Cx^3e^{-x} + \le E_Cx^{-4}. + \label{eq:exceptional-pair-probability} +\end{align} +Here $e^{-x}\le x^{-7}$ for $x\ge32$. + +We can now bound $H_R$. A probability vector $a$ supported on a set $D$ +of total weight $m>0$ satisfies +\begin{equation} + \mathcal H_w(a)\le\log m. + \label{eq:weighted-entropy-support} +\end{equation} +Indeed, normalize the weights on $D$ and use nonnegativity of relative +entropy. If $u\notin B_v$, the set $D=N(u)\cap S_R(v)$ has weight at most +$x^8$, and \eqref{eq:walk-leakage} shows that +$K_u^R(v,D)=1-\delta$ with $0\le\delta\le Rx^{-4}<1$. Condition the +row on $D$ and its complement. Formula \eqref{eq:weighted-entropy-support} +and the binary entropy bound then give +\[ + \mathcal H_w(K_u^R(v,\cdot)) + \le\log2+8\log x+\delta x. +\] +An empty complement, or zero probability on the complement, simply +contributes zero. On pairs with $u\in B_v$, use the unconditional bound +$\mathcal H_w(K_u^R(v,\cdot))\le\log s_u\le x$. Averaging and applying +\eqref{eq:exceptional-pair-probability} yields +\[ + H_R\le\log2+8\log x+Rx^{-3}+E_Cx^{-3} + \le(10+E_C)\log x=A_C\log x. +\] + +\paragraph{A small entropy increment gives close rows.} +For probability vectors $a,b$, let +\[ + D(a\|b)=\sum_{y:a(y)>0}a(y)\log\frac{a(y)}{b(y)} +\] +denote relative entropy, interpreted as $+\infty$ if necessary. Sample +$(u,v)$ from $\mu$ and then $z$ from $Q_u(v,\cdot)$. Since +$Q_uK_u^j=K_u^{j+1}$, the mixture of $K_u^j(z,\cdot)$ over this conditional +choice of $z$ is $K_u^{j+1}(v,\cdot)$. Consequently, for fixed $u,v$, +\[ + \mathbb E_{z\sim Q_u(v,\cdot)} + D\bigl(K_u^j(z,\cdot)\|K_u^{j+1}(v,\cdot)\bigr) + =\mathcal H_w(K_u^{j+1}(v,\cdot)) + -\mathbb E_{z\sim Q_u(v,\cdot)}\mathcal H_w(K_u^j(z,\cdot)). +\] +All these divergences are finite on events of positive probability, +because the second argument is the mixture containing the first. +Conditional on $u$, the law of $v$ is $\pi_u$, which is stationary for +$Q_u$. After averaging over $v$ and then $u$, the preceding identity +becomes +\begin{equation} + H_{j+1}-H_j + =\mathbb E_{\mu Q} + D\bigl(K_u^j(z,\cdot)\|K_u^{j+1}(v,\cdot)\bigr)\ge0. + \label{eq:entropy-increment} +\end{equation} +The stationarity step is an averaged identity; it asserts no equality +between individual rows. Telescoping the increments gives an index +$0\le j0$ vertices, its average degree is +$d(G)=2|E(G)|/n$. The graph is $K_r$-free if no $r$ vertices are pairwise +adjacent; throughout, exclusion means exclusion as an ordinary subgraph. +All logarithms are natural. For general graphs, the elementary bound +$\alpha(G)\ge n/(d+1)$ is best possible, as disjoint unions of cliques +show. Excluding a fixed clique forces larger independent sets. We prove +that the improvement is a factor of order $\log d$. + +\begin{theorem}\label{thm:main} +For every integer $r\ge4$, there is a constant $c_r>0$ such that every +finite simple $K_r$-free graph $G$ with $n$ vertices and average degree $d\ge2$ +satisfies +\[ + \alpha(G)\ge c_r\frac{n\log d}{d}. +\] +\end{theorem} + +The constant is uniform in both the number of vertices and the average +degree. The theorem gives a positive answer to the fixed-clique-size +independence conjecture of Ajtai, Erd\H{o}s, Koml\'os and Szemer\'edi, +also recorded as Erd\H{o}s Problem~802. The order $n\log d/d$ is best +possible up to a constant factor even for triangle-free graphs, and +hence for the larger class of $K_r$-free graphs +\cite[pp.~314--315]{AEKS1981}. We do not optimize the constant $c_r$. + +\subsection{History and related results} + +Ajtai, Koml\'os and Szemer\'edi~\cite{AKS1980} proved the logarithmic +improvement when triangles are excluded. +Shearer~\cite{Shearer1983} subsequently obtained the asymptotic +coefficient~$1$: triangle-free graphs of average degree $d\to\infty$ +have independent sets of size at least $(1-o(1))n\log d/d$. +In 1981, Ajtai, Erd\H os, Koml\'os and Szemer\'edi conjectured the same +order of growth for each fixed forbidden clique~\cite[p.~314, Equation~(3)]{AEKS1981}. +They proved the lower bound $\Omega_r(n\log\log d/d)$ as $d\to\infty$, +so excluding any fixed clique already improves on the general bound. +Shearer~\cite[Corollary~2]{Shearer1995} improved this to +$\Omega_r(n\log d/(d\log\log d))$, again in terms of the average +degree. Theorem~\ref{thm:main} removes this remaining $\log\log d$ +denominator. + +Subsequent refinements describe more of the graph's local structure. +Dutta, Mubayi and Subramanian~\cite{DMS2012} give bounds involving +the full degree sequence. Davies, Kang, Pirot and +Sereni~\cite[Theorem~30 and Corollary~31]{DKPS2020} develop a local-occupancy +framework that improves constants and also gives coloring estimates. +Dhawan~\cite[Theorems~1.3 and~1.4]{DhawanLocallySparse2026} allows bounded +numbers of cliques, either globally or inside neighborhoods. +For a fixed forbidden clique, these estimates retain a $\log\log$ +loss in the relevant degree parameter; they provide information beyond +the uniform order sought in Theorem~\ref{thm:main}. + +Several stronger local assumptions yield logarithmic bounds. +Alon~\cite[Theorem~1.1 and the remark following its proof]{Alon1996} +treated graphs whose neighborhoods have +bounded chromatic number, obtaining an average-degree bound of the +required order. His argument also admits bounded fractional chromatic +number in each neighborhood. Davies~\cite[Theorems~1 and~3]{Davies2026} +establishes weighted local versions: he bounds individual vertex +inclusion probabilities in a random independent set under bounded +neighborhood maximum average degree or fractional chromatic number. +For every fixed three-colorable forbidden graph, Dhawan, Janzer and +Methuku~\cite[Theorems~1.4 and~1.6]{DJM2025} prove +$(1-o(1))n\log d/d$ as $d\to\infty$, uniformly in $n$. +This attains leading coefficient~$1$ in that restricted class. +Neither bounded neighborhood fractional chromatic number nor exclusion of a fixed +three-colorable graph covers all ordinary $K_r$-free graphs for $r\ge4$. +For the latter restriction, complete tripartite graphs illustrate the +difference: they are $K_4$-free and contain every fixed three-colorable +graph once their parts are large enough. + +For comparison, let $r(s,t)$ be the least integer $N$ such that every +$N$-vertex graph contains a $K_s$ or an independent set of size $t$. +The fixed off-diagonal Ramsey estimates in +\cite[Theorem~1.1]{RamseyFive} and \cite[Theorem~1.1]{RamseyFixed} +determine logarithmic exponents for $r(5,t)$ and, respectively, +for $r(s,t)$ with each fixed $s\ge6$. +Together they state +\[ + r(s,t)=\frac{t^{s-1}}{(\log t)^{s-2+o(1)}} + \qquad\text{for each fixed }s\ge5. +\] +These are estimates for extremal graph orders as $t\to\infty$. +Theorem~\ref{thm:main} controls every input graph using its own average +degree, including graphs whose degree is small relative to their order. +Neither companion is an input to the proof. In particular, the weighted +triangle theorem used here is proved from its own cross-mass hypothesis. + + +\subsection{The proof in outline} + +The proof uses positive vertex weights. For such a vector $w$, write +$w(S)=\sum_{v\in S}w_v$, and define its edge and triangle masses by +\[ + M_G(w)=\sum_{\{u,v\}\in E(G)}w_uw_v, + \qquad + T_G(w)=\sum_{\{u,v,z\}\text{ a triangle}}w_uw_vw_z. +\] +Both sums are over unordered sets. The central step is to show that +$T_G(w)$ is at most a constant depending only on $r$ times $M_G(w)$ +when $w$ maximizes, over nonnegative vertex weights, +\[ + F_G(w)=\sum_v w_v(1-\log w_v)-M_G(w). +\] +The zero-coordinate convention is $0\log0=0$. +Three stages establish the theorem. + +\begin{enumerate} +\item \emph{Extract a bound that survives changes to the graph.} +Section~\ref{sec:optimizer} chooses a maximizing weight and uses random +multipliers of mean one to control the directed edge mass between any +two vertex sets. The multiplier construction is recursive on the excluded +clique size. Section~\ref{sec:triangle} shows that this cross-mass +bound survives edge deletion and splitting a vertex into copies carrying +its original weight, provided each original edge is retained at most once. + +\item \emph{Reduce weighted neighborhoods without losing many triangles.} +Sections~\ref{sec:entropy} and~\ref{sec:splitting} prove a triangle bound +for every weighted graph with that cross-mass property. At each reduction +step, we first delete edges whose common neighborhoods have small weight, +charging the lost triangle mass to their edge mass. For each vertex +$u$, walks inside $N(u)$ assign a probability distribution on $N(u)$ to +each starting vertex $v\in N(u)$. The cross-mass bound limits the average +entropy growth of these walks. At a suitable common time, the distributions +started at $v$ and $z$ are close on average over ordered triangles $(u,v,z)$, +weighted by $w_uw_vw_z$. + +Sampling these distributions together groups the incident edges at $u$; +close distributions usually give the same group to the two edges of a +triangle. A cutoff on reversed transition probabilities bounds each +group's total neighbor weight; the entropy and density bounds, together +with reversibility, control the average triangle mass discarded by the +cutoff. Splitting vertices according to +the resulting groups reduces the largest neighborhood weight from +$e^x$ to $e^{\sqrt{x}}$. The losses are summable through all iterations. +Once every neighborhood has bounded weight, triangle mass is directly +bounded by edge mass. + +\item \emph{Choose independent vertices at controlled cost.} +For a graph with maximum degree at most $\Delta\ge3$, evaluating $F_G$ at +the constant weight $(\log\Delta)/\Delta$ gives an extremal value at +least a constant multiple of $n(\log\Delta)^2/\Delta$. +When we delete a closed neighborhood and retain the old maximizing weights +elsewhere, edges between the chosen vertex's neighbors contribute to +the cost. Averaging over the chosen vertex with probabilities proportional +to its weight counts these edges as triangles. +Section~\ref{sec:closure} uses the triangle bound to find a vertex whose +closed-neighborhood deletion reduces this value by at most +$D_r\log\Delta$. Selecting such a vertex and repeating on the remaining +graph gives an independent set of size at least a constant multiple of +$n\log\Delta/\Delta$. The same degree bound $\Delta$ is kept throughout +this induction. Deleting the original graph's high-degree vertices then +yields the average-degree bound in Theorem~\ref{thm:main}. +\end{enumerate} + +The weighted triangle theorem is a separate statement about cross masses; +it has no clique hypothesis. Preservation of the cross-mass bound under +vertex splitting permits repeated reduction without requiring the new weights to +remain maximizers. The entropy estimate controls only averages over a +specified triangle distribution, and the splitting argument uses exactly +those averages. Every threshold in these two steps depends only on the +cross-mass constant. The proof gives an existence result with an +$r$-dependent constant; it makes no claim of an efficient algorithm or +an optimal leading constant. diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/invariant.tex b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/invariant.tex new file mode 100644 index 0000000000000000000000000000000000000000..843fb20c16f792f8accadfe1094835578273e2bc --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/invariant.tex @@ -0,0 +1,173 @@ +\section{From cross mass to triangle mass} +\label{sec:triangle} + +The triangle argument will replace vertices by copies carrying their full +original weights. Total vertex weight can therefore increase. The rule +that makes this operation useful is that each original edge is retained +at most once. We show that this rule preserves the cross-mass bound and +controls edge and triangle masses, so the subsequent argument can proceed +without maximizing weights anew. + +Retain the notation $M_G(w)$, $T_G(w)$, $e_w(A,B)$ and $g_x$ +from the preceding sections. We write $e_{G,w}$ when the graph must +be specified. We say that $(G,w)$ satisfies +the cross-mass bound with constant $C$ if, for every $x\ge1$ and every +$A,B\subseteq V(G)$, +\begin{equation} + \label{eq:cross-mass} + w(A),w(B)\le e^x + \quad\Longrightarrow\quad + e_{G,w}(A,B)\le Cg_x(w(A)). +\end{equation} + +\begin{theorem}[Triangle mass from cross mass] +\label{thm:weighted-triangles} +For every $C\ge1$ there is a constant $C_{\triangle}(C)$ with the +following property. If $G$ is a finite simple graph with positive +vertex weights $w$ satisfying \eqref{eq:cross-mass}, then +\[ + T_G(w)\le C_{\triangle}(C)M_G(w). +\] +\end{theorem} + +We will repeatedly split vertices so as to reduce neighborhood weights, +while retaining a fixed proportion of triangle weight. The cross-mass +bound is the information that passes from one step to the next. We first +verify this preservation and record the effect of deleting edges whose +common-neighbor weight is small. The proof of +Theorem~\ref{thm:weighted-triangles} concludes after the splitting +construction and its iteration. + +\subsection{Preservation and triangle counting} + +\begin{lemma}[Preservation under splitting] +\label{lem:invariant-preservation} +Let $(G,w)$ satisfy \eqref{eq:cross-mass} with constant $C$. +Let $H$ be a finite simple graph and let $\pi:V(H)\to V(G)$ satisfy +the following conditions: +\begin{enumerate} + \item every edge $\{a,b\}$ of $H$ maps to the edge + $\{\pi(a),\pi(b)\}$ of $G$; + \item the map $(a,b)\mapsto(\pi(a),\pi(b))$ is injective on + directed edges of $H$. +\end{enumerate} +Give each $a\in V(H)$ the weight $\widetilde w_a=w_{\pi(a)}$. +Then $(H,\widetilde w)$ satisfies +\eqref{eq:cross-mass} with the same constant $C$. Moreover, +\begin{gather*} + M_H(\widetilde w)\le M_G(w),\qquad + T_H(\widetilde w)\le T_G(w),\\ + \widetilde w(N_H(a))\le w(N_G(\pi(a))) + \quad\text{for every }a\in V(H). +\end{gather*} +These conclusions are preserved under any finite composition of such maps. +\end{lemma} + +\begin{proof} +For $A,B\subseteq V(H)$, write $A_0=\pi(A)$ and $B_0=\pi(B)$. +Duplicating vertices can increase their total weight, so +\[ + w(A_0)\le\widetilde w(A),\qquad + w(B_0)\le\widetilde w(B). +\] +The directed edges counted by $e_{H,\widetilde w}(A,B)$ map injectively +to directed edges counted by $e_{G,w}(A_0,B_0)$, with their weights +unchanged. Consequently, if $\widetilde w(A),\widetilde w(B)\le e^x$, +then +\[ + e_{H,\widetilde w}(A,B) + \le e_{G,w}(A_0,B_0) + \le Cg_x(w(A_0)) + \le Cg_x(\widetilde w(A)). +\] +This also covers overlapping sets and the case of an empty set. + +The directed-edge condition implies injectivity on unordered edges: +two edges with the same unordered image could be oriented to have the +same directed image. It therefore gives the assertion about $M$. +For a fixed $a$, two different neighbors $b,b'$ cannot have the same +image, since the directed edges $(a,b)$ and $(a,b')$ would then have the +same image. Thus $\pi$ maps $N_H(a)$ injectively into $N_G(\pi(a))$, +giving the neighborhood bound. + +Every triangle of $H$ maps to a triangle of $G$, since a homomorphism +to a simple graph is injective on the vertices of a clique. Distinct +triangles cannot have the same image: each of the three image edges +has at most one preimage edge, and those three preimage edges determine +the triangle. Triangle weights are unchanged, proving the assertion +about $T$. Finally, compositions preserve vertex weights, +adjacency and injectivity on directed edges. +\end{proof} + +Edge deletion and vertex deletion are special cases of +Lemma~\ref{lem:invariant-preservation}, using the inclusion map. +The splitting operation used below is another special case: replace a +vertex $u$ by copies indexed by groups of its incident edges, give every +copy weight $w_u$, and retain each original edge at most once, between +its assigned endpoint copies. No assumption about optimization is +required after these operations. + +\begin{lemma}[Triangle normalization and peeling] +\label{lem:triangle-peeling} +For a positive-weighted finite simple graph $G$, put +\[ + s_u=w(N_G(u)),\qquad + c_{uv}=w(N_G(u)\cap N_G(v)),\qquad + h_u=\sum_{v\in N_G(u)}w_vc_{uv}. +\] +Thus $h_u=2M_{G[N_G(u)]}(w)$ is twice the edge mass inside the +neighborhood of $u$. +Then +\begin{equation} + \label{eq:triangle-normalizations} + \sum_{\{u,v\}\in E(G)}w_uw_vc_{uv}=3T_G(w), + \qquad + \sum_{u\in V(G)}w_uh_u=6T_G(w). +\end{equation} +In particular, if every neighborhood has weight at most $L$, then +\begin{equation} + \label{eq:terminal-triangle-bound} + T_G(w)\le \frac{L}{3}M_G(w). +\end{equation} + +For every $\tau>0$, there is a spanning subgraph $G'$ obtained by +successive edge deletions such that every edge of $G'$ has common-neighbor +weight at least $\tau$ and +\begin{equation} + \label{eq:peeling-loss} + T_{G'}(w)\ge T_G(w)-\tau M_G(w). +\end{equation} +For each nonisolated vertex of $G'$, its neighborhood and common-neighbor +weights, computed in $G'$, satisfy +\[ + s_u\ge\tau,\qquad h_u\ge\tau s_u. +\] +If $G$ satisfies \eqref{eq:cross-mass}, then so does $G'$, +with the same constant. +\end{lemma} + +\begin{proof} +Each triangle contributes its weight once for each of its three edges +to the first sum in \eqref{eq:triangle-normalizations}, and once for +each of its six oriented edges to the second. Since $c_{uv}\le L$, +the first identity also proves \eqref{eq:terminal-triangle-bound}. + +Starting with $G$, delete any edge whose common-neighbor weight in the +current graph is less than $\tau$, and continue until no such edge +remains. The procedure terminates because $G$ is finite. If +$\{u_i,v_i\}$ is the $i$th deleted edge and $c_i$ its common-neighbor +weight immediately before deletion, the triangle weight lost at that +step is exactly $w_{u_i}w_{v_i}c_i$. Telescoping gives +\[ + T_G(w)-T_{G'}(w) + =\sum_iw_{u_i}w_{v_i}c_i + \le\tau\sum_iw_{u_i}w_{v_i} + \le\tau M_G(w). +\] +This counts each destroyed triangle at its first deleted edge. +The defining stopping rule gives $c_{uv}\ge\tau$ on every remaining +edge. If $u$ is nonisolated, choose a remaining neighbor $v$ to obtain +$s_u\ge c_{uv}\ge\tau$; summing $w_vc_{uv}\ge\tau w_v$ over the +remaining neighbors gives $h_u\ge\tau s_u$. The last assertion follows +from Lemma~\ref{lem:invariant-preservation}. +\end{proof} diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/optimizer.tex b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/optimizer.tex new file mode 100644 index 0000000000000000000000000000000000000000..dc64b895e6d6a7e2126b527bde21efefac3836a3 --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/build/sections/optimizer.tex @@ -0,0 +1,253 @@ +\section{An extremal weight and its cross-mass bound} +\label{sec:optimizer} + +We first choose vertex weights for which a variational inequality controls +the mass of edges between two sets. Clique exclusion enters through a +random modification that keeps every weight unchanged in expectation while +making the expected edge mass small. + +For a finite simple graph $G$ and a real vector $a=(a_v)_{v\in V(G)}$, put +\[ + M_G(a)=\sum_{\{u,v\}\in E(G)}a_ua_v. +\] +Thus this quadratic expression is defined even when some coordinates are +negative. For nonnegative weights $w$, write $w(S)=\sum_{v\in S}w_v$ and +\[ + e_w(S,D)=\sum_{u\in S}\sum_{v\in D\cap N_G(u)}w_uw_v. +\] +This is a directed cross mass: an edge with both ends in $S\cap D$ is +counted twice. All logarithms are natural, and $0\log 0=0$. + +\subsection{The extremal weight} + +The functional below is the unit-parameter specialization of the +entropy-minus-edge potential used by Davies +\cite[Section~3.3, proof of Theorem~17]{Davies2026}. +We give its elementary maximizing properties here. + +Define +\[ + F_G(w)=\sum_{v\in V(G)}w_v(1-\log w_v)-M_G(w), + \qquad F_G^*=\max_{w\ge0}F_G(w). +\] +The maximum in this definition exists, as the following lemma shows. + +\begin{lemma}\label{lem:optimizer} +For every nonempty finite simple graph $G$, the function $F_G$ attains its +maximum. Every maximizer $w$ has positive coordinates and satisfies +\begin{equation}\label{eq:stationarity} + \log(1/w_v)=w(N_G(v)) \qquad(v\in V(G)). +\end{equation} +In particular, $w_v\le1$. For every nonnegative vector $q$, +\begin{equation}\label{eq:optimizer-divergence} + 0\le F_G(w)-F_G(q) + =\sum_v\left(q_v\log\frac{q_v}{w_v}-q_v+w_v\right) + +M_G(q-w). +\end{equation} +Here a term with $q_v=0$ in the sum equals $w_v$. +\end{lemma} + +\begin{proof} +The continuous function $f(t)=t(1-\log t)$ on $[0,\infty)$ is at most $1$ +and tends to $-\infty$ as $t\to\infty$. Since $M_G(w)\ge0$ for $w\ge0$, +\[ + F_G(w)\le f(\|w\|_\infty)+|V(G)|-1. +\] +Consequently $F_G(w)\to-\infty$ as $\|w\|_\infty\to\infty$, so continuity +gives a maximum. If a maximizer had $w_v=0$, changing just this coordinate +to $t>0$ would increase $F_G$ by +\[ + t\bigl(1-\log t-w(N_G(v))\bigr)>0 +\] +for sufficiently small $t$. All coordinates are therefore positive, and +the first derivative in each coordinate gives \eqref{eq:stationarity}. +To obtain \eqref{eq:optimizer-divergence}, expand the quadratic expression +$M_G(q)$ around $w$. Its linear term is +$\sum_v(q_v-w_v)w(N_G(v))$, which cancels the corresponding term using +\eqref{eq:stationarity}. The inequality follows from maximality. +\end{proof} + +For the empty graph on no vertices we set $F_G^*=0$; no positive-coordinate +assertion is needed in that case. + +\subsection{Random multipliers with small expected edge mass} + +The recursive use of clique-free neighborhoods goes back to the +sparse-subgraph argument of Ajtai, Erd\H{o}s, Koml\'os and +Szemer\'edi~\cite[Section~3]{AEKS1981}. Here the recursion preserves +each vertex weight in expectation. The next lemma applies to arbitrary +positive weights and does not require the maximizing equations. + +The construction successively removes neighborhoods from the remaining +induced graph, until every remaining vertex has small neighborhood weight. +Each removed part excludes a smaller clique, and the remainder has small +edge mass. We then retain one part at random and divide its weights by +that part's selection probability. +Every vertex keeps its original expected weight, while edges joining +different parts disappear. Within a selected neighborhood, the same +construction is applied recursively. The multiplier bound below measures +the cost of these successive rescalings. + +\begin{lemma}\label{lem:sparse-multipliers} +Let $r\ge2$ be an integer, let $G$ be a finite $K_r$-free graph with positive vertex +weights $w$, and put $s=w(V(G))$. For every $0<\varepsilon\le1/2$ there +are jointly distributed random variables $(m_v)_{v\in V(G)}$ such that +\begin{equation}\label{eq:sparse-multipliers} + 0\le m_v\le b_r(\varepsilon) + :=2^{r(r-2)}\varepsilon^{-(r-2)},\qquad + \mathbb E m_v=1,\qquad + \mathbb E M_G((w_vm_v)_v)\le\varepsilon s^2. +\end{equation} +Their joint distribution can be taken to have finite support. +\end{lemma} + +\begin{proof} +The empty graph on no vertices is immediate. We induct on $r$, starting +with $r=2$, when there are no edges and $m_v=1$ suffices. Suppose $r\ge3$ +and set $\eta=\varepsilon/4$. + +Starting with all vertices, repeatedly choose a vertex whose open +neighborhood in the remaining induced graph has weight greater than +$\eta s$, and remove that neighborhood as a set $V_i$. These disjoint +sets have weights $s_i=w(V_i)>\eta s$, and each $G[V_i]$ is +$K_{r-1}$-free. Indeed, a $(r-1)$-clique in such a neighborhood together +with its chosen vertex would form a $K_r$. When the procedure stops, +the remaining set $R$ satisfies +\begin{equation}\label{eq:remainder-mass} + M_{G[R]}(w) + =\frac12\sum_{v\in R}w_vw(N_G(v)\cap R) + \le\frac12\eta s\,w(R)\le\frac12\eta s^2. +\end{equation} + +If no sets $V_i$ were removed, take every $m_v=1$. Otherwise put +$b=\sum_i s_i>0$ and $p_i=s_i/(2b)$. Choose $R$ with probability $1/2$ +and $V_i$ with probability $p_i$, putting all multipliers outside the +chosen set equal to zero. On choosing $R$, set $m_v=2$ for $v\in R$. +On choosing $V_i$, use the induction hypothesis there with precision +$\varepsilon/4$, and multiply its output by $1/p_i$. +The option of choosing $R$ is retained even if $R$ is empty; in that +event all multipliers are zero. + +Every vertex has mean multiplier one. Since +$p_i>\eta/2=\varepsilon/8$, each multiplier is at most +\[ + \max\left\{2,\frac8\varepsilon + b_{r-1}(\varepsilon/4)\right\} + = b_r(\varepsilon). +\] +The equality follows directly from the displayed formula for $b_r$. +Only edges within the chosen set contribute. Therefore +\begin{align*} + \mathbb E M_G((w_vm_v)_v) + &\le 2M_{G[R]}(w) + +\sum_i\frac{\varepsilon s_i^2}{4p_i}\\ + &\le \eta s^2+\frac{\varepsilon}{2}b^2 + \le\frac34\varepsilon s^2. +\end{align*} +The finite construction and the induction hypothesis also give finite +support for the joint law. +\end{proof} + +\subsection{The cross-mass estimate} + +For $x\ge1$, define +\[ + g_x(s)= + \begin{cases} + s\bigl(x+\log^+(1/s)\bigr),&s>0,\\ + 0,&s=0, + \end{cases} + \qquad \log^+ a=\max\{0,\log a\}. +\] +The function $g_x$ is nondecreasing on $[0,\infty)$. On $(0,1)$ its +derivative is $x+\log(1/s)-1\ge0$, and on $(1,\infty)$ it is $x$; +the formulas agree continuously at $s=1$ and $s=0$. + +\begin{lemma}\label{lem:cross-mass} +Let $r\ge2$ be an integer and let $w$ maximize $F_G$ on a nonempty finite $K_r$-free +graph $G$. For every $x\ge1$ and all vertex sets $S,D$ with +$w(S),w(D)\le e^x$, +\begin{equation}\label{eq:optimizer-cross-mass} + e_w(S,D)\le C_r g_x(w(S)), + \qquad C_r=16r^2. +\end{equation} +The sets $S$ and $D$ need not be disjoint. +\end{lemma} + +\begin{proof} +First suppose $S\cap D=\varnothing$, and put $s=w(S)$ and $t=w(D)$. +The case $s=0$ is immediate. Initially assume $e^{-x}\le s\le e^x$. +We will increase the weights on $S$ and set those on $D$ to zero. +In the variational identity, this creates a negative quadratic term +proportional to $e_w(S,D)$. The random multipliers keep the positive +quadratic term within $S$ small, while their bounded range controls the +vertex terms through a logarithm. +Apply Lemma~\ref{lem:sparse-multipliers} to $G[S]$ with +$\varepsilon=e^{-8x}$, and set $k=e^{4x}$. Define a nonnegative random +vector by +\[ + q_v= + \begin{cases} + (1+km_v)w_v,&v\in S,\\ + 0,&v\in D,\\ + w_v,&v\notin S\cup D. + \end{cases} +\] +The expected quadratic term in \eqref{eq:optimizer-divergence} is at most +\begin{equation}\label{eq:cross-quadratic} + \mathbb E M_G(q-w) + \le k^2\varepsilon s^2+\frac12t^2-k e_w(S,D). +\end{equation} +Here the last term uses $\mathbb E m_v=1$; no independence between the +multipliers is required. The choice $k^2\varepsilon=1$ keeps the first +term controlled despite the increase in the weights on $S$. + +For $y\ge0$, +$(1+y)\log(1+y)-y\le y\log(1+y)$. Also +\[ + \log(1+kb_r(e^{-8x}))\le A_rx, + \qquad + A_r=4+8(r-2)+(1+r(r-2))\log2. +\] +It follows that the expected sum of vertex terms in +\eqref{eq:optimizer-divergence} is at most $t+kA_rxs$. +Combining this with \eqref{eq:cross-quadratic} and dividing by $k$ gives +\begin{align*} + e_w(S,D) + &\le A_rxs+e^{-4x}s^2+e^{-4x}(t+t^2/2)\\ + &\le (A_r+3)xs. +\end{align*} +For the last inequality, use $s,t\le e^x$ and $s\ge e^{-x}$: the three +error terms divided by $s$ are at most $e^{-3x}$, $e^{-2x}$, and +$e^{-x}/2$, respectively, and their sum is at most $3x$. + +If instead $0x$. Both set weights are at most $e^{x'}$ and +$s=e^{-x'}$, so +\[ + e_w(S,D)\le(A_r+3)x's\le(A_r+3)g_x(s). +\] +Thus the bound with constant $A_r+3$ holds for all disjoint sets. + +For arbitrary $S,D$, assign each vertex independently to one of two +classes with equal probabilities. Let $S'$ be the part of $S$ in the +first class and $D'$ the part of $D$ in the second. These sets are +disjoint, their weights satisfy the same upper bounds, and +\[ + \mathbb E e_w(S',D')=\frac14e_w(S,D). +\] +There are no loops, so each directed edge in this expectation has two +distinct endpoints. The disjoint-set bound and monotonicity give +\[ + \frac14e_w(S,D) + \le (A_r+3)\mathbb E g_x(w(S')) + \le (A_r+3)g_x(s). +\] +Finally, $A_r+3\le r^2+6r-8\le4r^2$ for $r\ge2$, which proves +\eqref{eq:optimizer-cross-mass}. +\end{proof} + +Lemma~\ref{lem:cross-mass} is the only consequence of extremality +needed in the weighted triangle argument. That argument can therefore +be formulated for any positive weighted graph satisfying +\eqref{eq:optimizer-cross-mass} with some constant $C$. diff --git a/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/paper.pdf b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/paper.pdf new file mode 100644 index 0000000000000000000000000000000000000000..cf4f898d7bdc1b1dbe6e6fd91fbc7e38c4dc4e4e --- /dev/null +++ b/preprints/A-Logarithmic-Independence-Bound-for-Clique-Free-Graphs-September-25-2026/paper.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:15717a7c82914df2f220fad05a3fd6de7fd15f2abe26a4d1454d2b005ef39606 +size 427255 diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/README.md b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..cd0664961ac150850c8c9ce3dca64a6a52bcb022 --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/README.md @@ -0,0 +1,18 @@ +# [A Low-Space Algorithm for Worst-Case Subset Sum](paper.pdf) + +**Author:** OpenAI + +**Date:** September 26, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026, + author = {{OpenAI}}, + title = {{A Low-Space Algorithm for Worst-Case Subset Sum}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/paper.pdf}{OAI:A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/bibliography.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/bibliography.tex new file mode 100644 index 0000000000000000000000000000000000000000..9126e43795cb247e24bf56c42b5293db06335824 --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/bibliography.tex @@ -0,0 +1,94 @@ +\begin{thebibliography}{99} +\raggedright + +\bibitem{AKKM13} +Per Austrin, Petteri Kaski, Mikko Koivisto, and Jussi M\"a\"att\"a, +\emph{Space--Time Tradeoffs for Subset Sum: An Improved Worst Case Algorithm}, +Automata, Languages, and Programming (ICALP 2013), Part I, +Lecture Notes in Computer Science \textbf{7965}, Springer, 2013, 45--56. +\href{https://doi.org/10.1007/978-3-642-39206-1_5} +{doi:10.1007/978-3-642-39206-1\_5}. + +\bibitem{AKKN16} +Per Austrin, Petteri Kaski, Mikko Koivisto, and Jesper Nederlof, +\emph{Dense Subset Sum May Be the Hardest}, +33rd Symposium on Theoretical Aspects of Computer Science (STACS 2016), +Leibniz International Proceedings in Informatics \textbf{47} +(2016), 13:1--13:14. +\href{https://doi.org/10.4230/LIPIcs.STACS.2016.13} +{doi:10.4230/LIPIcs.STACS.2016.13}. + +\bibitem{BCKM24} +Tatiana Belova, Nikolai Chukhin, Alexander S. Kulikov, and Ivan Mihajlin, +\emph{Improved Space Bounds for Subset Sum}, +32nd Annual European Symposium on Algorithms (ESA 2024), +Leibniz International Proceedings in Informatics \textbf{308} +(2024), 21:1--21:17. +\href{https://doi.org/10.4230/LIPIcs.ESA.2024.21} +{doi:10.4230/LIPIcs.ESA.2024.21}. +Full version, arXiv:2402.13170v3, August 1, 2024. +\href{https://arxiv.org/abs/2402.13170v3}{arXiv:2402.13170v3}. + +\bibitem{CJRS23} +Xi Chen, Yaonan Jin, Tim Randolph, and Rocco A. Servedio, +\emph{Subset Sum in Time $2^{n/2}/\poly(n)$}, +Approximation, Randomization, and Combinatorial Optimization. +Algorithms and Techniques (APPROX/RANDOM 2023), +Leibniz International Proceedings in Informatics \textbf{275} +(2023), 39:1--39:18. +\href{https://doi.org/10.4230/LIPIcs.APPROX/RANDOM.2023.39} +{doi:10.4230/LIPIcs.APPROX/RANDOM.2023.39}. +Full version, arXiv:2301.07134v2, January 29, 2023. +\href{https://arxiv.org/abs/2301.07134v2}{arXiv:2301.07134v2}. + +\bibitem{DDKS12} +Itai Dinur, Orr Dunkelman, Nathan Keller, and Adi Shamir, +\emph{Efficient Dissection of Composite Problems, with Applications to +Cryptanalysis, Knapsacks, and Combinatorial Search Problems}, +Advances in Cryptology---CRYPTO 2012, +Lecture Notes in Computer Science \textbf{7417}, Springer, 2012, 719--740. +\href{https://doi.org/10.1007/978-3-642-32009-5_42} +{doi:10.1007/978-3-642-32009-5\_42}. + +\bibitem{FLPS16} +Fedor V. Fomin, Daniel Lokshtanov, Fahad Panolan, and Saket Saurabh, +\emph{Efficient Computation of Representative Families with Applications +in Parameterized and Exact Algorithms}, +Journal of the ACM \textbf{63} (2016), no.~4, +Article 29, 29:1--29:60. +\href{https://doi.org/10.1145/2886094}{doi:10.1145/2886094}. + +\bibitem{HJ10} +Nick Howgrave-Graham and Antoine Joux, +\emph{New Generic Algorithms for Hard Knapsacks}, +Advances in Cryptology---EUROCRYPT 2010, +Lecture Notes in Computer Science \textbf{6110}, Springer, 2010, 235--256. +\href{https://doi.org/10.1007/978-3-642-13190-5_12} +{doi:10.1007/978-3-642-13190-5\_12}. + +\bibitem{HS74} +Ellis Horowitz and Sartaj Sahni, +\emph{Computing Partitions with Applications to the Knapsack Problem}, +Journal of the ACM \textbf{21} (1974), no.~2, 277--292. +\href{https://doi.org/10.1145/321812.321823} +{doi:10.1145/321812.321823}. + +\bibitem{NW21} +Jesper Nederlof and Karol W\k{e}grzycki, +\emph{Improving Schroeppel and Shamir's Algorithm for Subset Sum via +Orthogonal Vectors}, +Proceedings of the 53rd Annual ACM SIGACT Symposium on Theory of Computing +(STOC 2021), 1670--1683. +\href{https://doi.org/10.1145/3406325.3451024} +{doi:10.1145/3406325.3451024}. +Full version, arXiv:2010.08576v2, April 12, 2021. +\href{https://arxiv.org/abs/2010.08576v2}{arXiv:2010.08576v2}. + +\bibitem{SS81} +Richard Schroeppel and Adi Shamir, +\emph{A $T=O(2^{n/2})$, $S=O(2^{n/4})$ Algorithm for Certain +NP-Complete Problems}, +SIAM Journal on Computing \textbf{10} (1981), no.~3, 456--464. +\href{https://doi.org/10.1137/0210033}{doi:10.1137/0210033}. + +\end{thebibliography} diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/compression.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/compression.tex new file mode 100644 index 0000000000000000000000000000000000000000..109d46fc9c0179e4e64de093beac0ad421f3868c --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/compression.tex @@ -0,0 +1,268 @@ +\section{Compressing repeated sums} +\label{sec:compression} + +The first trial applies when random blocks have many repeated subset +sums. It retains only the distinct weights of seven disjoint blocks, +uses those small lists to generate four larger groups, and joins the +groups one residue class at a time. Because the domains are disjoint, +we can forget which subset produced a retained weight. A hard +capacity bounds memory; success requires only the residue class of +one fixed solution to fit. + +This trial uses the classical stored-list and generated-stream +viewpoint of Schroeppel and Shamir~\cite{SS81}. Its modular +regeneration and overflow rule also belong to the dissection approach: +Dinur, Dunkelman, Keller, and Shamir~\cite{DDKS12} developed the +earlier framework under randomness assumptions, and Austrin, Kaski, +Koivisto, and M\"a\"att\"a~\cite{AKKM13} adapted dissection to +worst-case Subset Sum. The trial and its bounds here are proved +directly, including the dependence on the input bit length. + +\subsection{Seven compacted blocks and four groups} + +Take the first $7s$ indices of a uniform random permutation and divide +them into seven consecutive blocks $K_1,\ldots,K_7$ of size $s$. +For each $i$, enumerate and sort all its subset sums, then compact +repeated weights into a list $D_i$ of distinct actual weights. +Continue only if every list has at most $2^a$ entries, where +\begin{equation} +\label{comp:block-cap} + a=\lfloor s-.0075n\rfloor. +\end{equation} +This preliminary enumeration stores at most $2^s$ weights at a time. +The seven retained lists are stored separately. + +Of the remaining indices, give +\[ + r_R=\lfloor .05n\rfloor + \quad\text{to the right and}\quad + r_L=n-7s-r_R + \quad\text{to the left}. +\] +Choose these domains in their permutation order. Split the right raw +domain into $V_{R1},V_{R2}$ of sizes $r_{R1},r_{R2}$ differing by +at most one, and call the left raw domain $V_L$. +All these sizes are nonnegative on sufficiently large main-branch +inputs. + +For a domain $V$, write $\mathcal S(V)$ for its full list of indexed +subset-sum occurrences, retaining repetitions. For two lists $A,D$ +write $A\oplus D$ for the list with one occurrence of weight $x+y$ +for each pair $(x,y)\in A\times D$. Table~\ref{tab:compression} +specifies the four generated groups by their two stored lists. +A group stream enumerates the pair sums of the two lists in its row. +The eight stored lists use separate subdomains, and the four group +domains partition the input indices. + +\begin{table}[htbp] +\centering +\begin{tabular}{@{}llll@{}} +\toprule +Group & Index domain & First stored list & Second stored list\\ +\midrule +$\mathcal L_1$ & $K_5\cup K_6$ & $D_5$ & $D_6$\\ +$\mathcal L_2$ & $K_7\cup V_L$ & $D_7$ & $\mathcal S(V_L)$\\ +$\mathcal R_1$ & $K_1\cup K_2\cup V_{R1}$ & $D_1$ + & $D_2\oplus\mathcal S(V_{R1})$\\ +$\mathcal R_2$ & $K_3\cup K_4\cup V_{R2}$ & $D_3$ + & $D_4\oplus\mathcal S(V_{R2})$\\ +\bottomrule +\end{tabular} +\caption{The seven compacted block lists generate four groups. Each +row is streamed from its two stored lists. The raw and product lists +retain occurrences, while each $D_i$ retains only distinct weights. +No two rows share an input index.} +\label{tab:compression} +\end{table} + +Sample $q$ uniformly from $\mathcal P_\ell$ with +$\ell=\lfloor .249n\rfloor$. For each integer +$z\in\{0,\ldots,q-1\}$, proceed as follows. +\begin{enumerate} +\item Generate $\mathcal L_1$ by its direct key modulo $q$ and +$\mathcal L_2$ by its complementary key $z-\text{weight}$ +modulo $q$. Join equal keys using Lemma~\ref{lem:streams}, with +$p=1$ and $P=q$. Insert each resulting actual total weight into +a weight-only dictionary of capacity $C$. +\item If this dictionary overflows, discard it and move to the next +$z$. Otherwise retain its completed list of distinct weights. +An empty completed dictionary may also be skipped. +\item Generate and join $\mathcal R_1,\mathcal R_2$ in the same +way, with target residue $t-z\pmod q$. For every resulting actual +right weight $y$, search for $t-y$ in the left dictionary. A hit +returns YES. Otherwise free the dictionary and continue the residue +loop. +\end{enumerate} +A sampling failure also fails the trial. The bounded samplers and +operation counter are those of Section~\ref{sec:implementation}. + +Every retained block weight has a subset witness in its block. The +four group domains are disjoint, so any choices witnessing an exact +left--right weight match combine into an indexed subset of weight +$t$. Thus the trial has one-sided correctness. It need not retain +witnesses or output them: its required output is the decision YES. + +\subsection{Work, space, and success} + +Let $\mu$ be the mean of $\defect(V)$ when $V$ is uniform among +the size-$s$ domains of the given input. The algorithm never computes +this mean. It runs this trial and the representation trial in the same +round; the following hypothesis identifies the case in which this +first trial supplies success. + +\begin{lemma}[Compressed-block trial] +\label{lem:compressed} +For sufficiently large main-branch inputs, the compressed-block trial +uses at most $u^{15}2^{n/2}$ word operations on every random outcome, +including bounded sampling, and uses +$O(u(C+1)+B+2^s+2^{.14n})$ writable words. Every returned YES is +correct. If the input is a YES instance and +\begin{equation} +\label{alg:high-deficiency} + \mu\ge .00765n, +\end{equation} +its success probability is bounded below by an absolute positive +constant. +\end{lemma} + +\begin{proof} +First bound the stored and generated lists deterministically, assuming +the seven size tests pass. To retain the effects of floors, put +\[ + \delta=.12n-s\in[0,4),\qquad + \epsilon=.05n-r_R\in[0,1). +\] +Then $r_L=.11n+7\delta+\epsilon$ and +$a\le.1125n-\delta$. Each stored product list on the right +has at most +\[ + 2^{a+\lceil r_R/2\rceil}\le 2^{.1375n+1/2} +\] +occurrences. The left raw list has at most $2^{.11n+29}$ +occurrences, and each $D_i$ has at most $2^{.1125n}$ entries. +Hence every stored sublist in Table~\ref{tab:compression} has size +at most $2^{.14n}$ for sufficiently large $n$. + +Let $N_{L1},N_{L2},N_{R1},N_{R2}$ denote the lengths of the four +group streams, counting occurrences. Their direct product bounds are +\[ +\begin{aligned} + N_{L1}&\le2^{2a}\le2^{.225n},& + N_{L2}&\le2^{a+r_L}\le2^{.2225n+25},\\ + N_{Ri}&\le2^{2a+r_{Ri}}\le2^{.25n+1/2} + &&(i=1,2). +\end{aligned} +\] +More importantly, the products that count complete combinations obey +\begin{align} + N_{R1}N_{R2} + &\le2^{4a+r_R} + \le2^{.5n-4\delta-\epsilon}\le2^{n/2}, + \label{comp:right-product}\\ + N_{L1}N_{L2} + &\le2^{3a+r_L} + \le2^{.4475n+4\delta+\epsilon} + <2^{.4475n+17}. + \label{comp:left-product} +\end{align} +These count all combinations, not just distinct resulting weights. + +Each complete left combination has exactly one total residue modulo +$q$, and each right combination has exactly one complementary +residue $t-\text{weight}$. Across the whole residue loop, the +number of potential Cartesian matches is consequently at most +$N_{L1}N_{L2}+N_{R1}N_{R2}$. Overflow may stop a join partway, but +Lemma~\ref{lem:streams} still charges it to this same potential +count. Repeated weights therefore cause neither an uncounted replay +cost nor a loss of a combination. + +Here is a concrete operation accounting. Generating an item, including +its weight, uses at most $O(n^2)$ operations; comparison sorting and +heap operations use $O(n)$ per item or advance; trie operations use +$O(u)$ per key. The stream states for a group have $O(2^{.14n})$ +words and are therefore $O(B)$ for large $n$. Thus the match-dependent +term in~\eqref{eq:tie-cost} has $O(n)$ overhead per potential match; +its buffer and stream-length terms are charged separately below. +We may even initialize $O(u(C+1))$ trie space afresh at each residue. +If $A$ is the total number of stored sublist entries and +$N=N_{L1}+N_{L2}+N_{R1}+N_{R2}$, all nonsampling work is bounded by +\begin{equation} +\label{comp:operation-ledger} + O\left(u^3\left[ + 2^s+A+q\bigl(N+B+u(C+1)+1\bigr) + +N_{L1}N_{L2}+N_{R1}N_{R2}\right]\right). +\end{equation} +The $2^s$ term pays the seven initial enumerations and compactions, +the terms multiplied by $q$ pay regeneration and initialization, and +the final two terms pay every potential match and dictionary action. +The bound also covers a failed size test. + +Since $q<2^{.249n}$, the largest regenerated-stream exponent is +$.249+.25=.499$. The buffer and dictionary initialization exponents +are $.439$ and $.448$, respectively. Equations +\eqref{comp:right-product}--\eqref{comp:left-product} bound the +remaining products, so~\eqref{comp:operation-ledger} is +$O(u^4 2^{n/2})$. A permutation uses at most $O(n^4)$ bounded +range attempts and elementary operations, and the one prime search +costs at most $\poly(n)2^{.129n}$ with the fixed elementary +trial-division implementation of Lemma~\ref{lem:samplers}. +In particular it is $O(n^4 2^{.129n})$. These smaller terms leave +the total below $u^{15}2^{n/2}$ for sufficiently large $n$. +This deterministic bound is below the trial cap; it does not assume +any favorable bucket sizes or random events. + +For space, the initial enumerations use $O(2^s)$ words, the stored +sublists and stream states use $O(2^{.14n})$, tie replay uses $O(B)$, +and the one retained dictionary uses $O(u(C+1))$. Sorting needs only +linear auxiliary arrays. The permutation and loop state are absorbed +by these bounds. In particular, overflow enforces the space bound on +every outcome. + +It remains to show that one solution bucket fits in the high-mean +case. Each random $K_i$ is marginally a uniform size-$s$ domain; +the seven blocks need not be independent. Lemma~\ref{lem:deficiency}, +Chebyshev's inequality, and a union bound give +\[ + \Pr\bigl[\defect(K_i)\ge .00755n + \text{ for all }i\bigr]=1-O(1/n) +\] +under~\eqref{alg:high-deficiency}. These inequalities imply +$N(K_i)\le2^{s-.00755n}\le2^a$ for sufficiently large $n$, +so all tests pass, including their floors. + +Fix an original solution before sampling the partition. Conditional +on any passing partition, let $x$ be its left weight. There are fewer +than $2^{.4475n+17}$ distinct left weights in all. For each different +one $x'$, Lemma~\ref{lem:prime} and +$\ell=\lfloor .249n\rfloor$ give +\[ + \Pr[x'\equiv x\pmod q] + \le 8u^2 2^{-\ell}\le u^3 2^{-.249n} +\] +for large $n$. By linearity of expectation, the number $Y$ of +other distinct weights in $x$'s residue class satisfies +\[ + \mathbb E Y\le u^3 2^{.1985n+17}. +\] +Because $C\ge2^{.199n-1}$ and $\log u\le n/10^9$, +\[ + \frac{\mathbb E Y}{C} + \le 2^{(3/10^9-.0005)n+18}=o(1). +\] +Markov's inequality implies $Y+1\le C$ with probability tending +to one. The complete dictionary in that residue then retains $x$, +and the right solution weight produces a hit. Earlier residues can +only produce an earlier correct YES or be skipped. + +This proves success with probability $1-o(1)$ in the ideal experiment. +The permutation and prime draws have negligible total bounded-sampler +coupling loss by Lemma~\ref{lem:samplers}; the deterministic work +estimate prevents the operation counter from aborting a completed +trial for sufficiently large $n$. Thus an absolute positive success +probability remains for the implemented trial. +\end{proof} + +Compression has now handled the case in which random blocks have few +distinct sums. When $\mu<.00765n$, the next trial instead uses the +many distinct sums to preserve a representation of a fixed solution +through several modular filters. diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/implementation.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/implementation.tex new file mode 100644 index 0000000000000000000000000000000000000000..e38a6b23e55ef36eecaef47ccf86d6ed749e6a09 --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/implementation.tex @@ -0,0 +1,270 @@ +\section{A single uniform bounded algorithm} +\label{sec:implementation} + +We now implement the ideal choices, bound every stored structure on +every execution, and finish the proof of Theorem~\ref{thm:main}. +The program runs both trials; the deficiency split selects a success +proof, not a branch that the program must recognize. Its sampling +limits and operation counters enforce finite running time even when +the resource event of Section~\ref{sec:resources} fails. + +The full schedule is as follows. On either exceptional case in the +guard, enumerate all indexed subsets exactly. Otherwise perform +\(u^{120}\) rounds. In each round run the compressed-block trial and +then the representation trial, sequentially, using fresh randomness +and reset trial state. Abort each trial after +\(u^{500}2^{\lceil n/2\rceil}\) underlying word operations; a sampling +failure has the same effect as an abort. A YES from either trial stops +the program. If no trial returns YES, return NO after the last round. + +\subsection{Bounded sampling and its exact law} + +An ideal draw is uniform on its specified finite set, using fresh +randomness conditional on the preceding choices. The implementation +uses a fixed attempt limit. We couple it to the ideal experiment, +rather than condition the whole experiment on every sampler succeeding: +that latter conditioning could bias earlier adaptive choices. + +\begin{lemma}[Bounded samplers]\label{lem:samplers} +A uniform integer in \(\{0,\ldots,D-1\}\), with \(1\le D<2^w\), +can be sampled using at most \(n^3\) rejection attempts, or the trial +can report failure. Conditional on any preceding history and on this +call accepting, its result is uniform in the specified range. It +couples to an ideal draw with failure probability at most +\(2^{-n^3}\). + +For \(4\le\ell\le n\), the same attempt limit gives a uniform prime +in \(\mathcal P_\ell\), conditional on this call accepting, and +coupling failure at most \(e^{-n^2/4}\). A full trial, including +permutations, signs, residues and the four separating families, couples +to the ideal experiment with total failure +\(\exp(-\Omega(n^2))\). All constants are absolute. All permitted +attempts are included in the deterministic work bounds. +\end{lemma} + +\begin{proof} +For \(D=1\), return zero without randomness. Otherwise take +\(\lceil\log D\rceil\) low bits of a fresh random word and reject +values at least \(D\). Each value in the range has the same acceptance +probability, and an attempt succeeds with probability at least \(1/2\). +The first accepted value is therefore uniform, including conditional +on accepting within \(n^3\) attempts. Comparing the same random +attempts with an ideal repeat-until-success sampler gives failure +probability at most \(2^{-n^3}\). Computing the bit length and each +attempt takes polynomially many charged word operations. Uniform +permutations use successive range draws among the remaining positions; +a uniform fixed-size subset takes the required initial part of such a +permutation. Sign masks use fresh unbiased bits. + +For a prime, draw \(\ell\) low bits, reject integers below two or +outside \(4\ell p\ge2^\ell\), and test primality by deterministic +trial division. Every prime in \(\mathcal P_\ell\) has the same +probability of being drawn. Lemma~\ref{lem:prime} gives acceptance +probability at least \(1/(4\ell)\), so the attempt limit fails with +probability at most +\[ + (1-1/(4\ell))^{n^3}\le e^{-n^3/(4\ell)}\le e^{-n^2/4}. +\] +The result is uniform conditional on this call accepting. In every +application \(\ell\le.258n\), so trial division costs at most +\(\poly(n)2^{.129n}\) operations per attempt, and its \(n^3\) +attempts preserve that form of bound. + +The four families are the only exponentially numerous sampled objects. +Each family has at most \(10\cdot2^g+1\) sets, each generated by at +most \(g\) range calls. All other permutations, guesses and residues +use polynomially many range calls, and there are constantly many prime +calls. Thus each trial uses at most \(\poly(n)2^g\) range calls. +The failure bounds hold conditional on every history, including +adaptively chosen ranges. Summing them over the bounded number of +calls gives +\[ + \poly(n)2^g2^{-n^3}+O(1)e^{-n^2/4} + =\exp(-\Omega(n^2)). +\] +This bounds the event that the bounded and ideal executions first +diverge at an exhausted sampler. Retaining only current sampler state +uses no uncounted random tape. The bounded cost, including all rejected +attempts, is the cost charged by the trial analyses. +\end{proof} + +On the main branch, \(\log u\le n/10^9\), so the coupling loss is +smaller than any fixed multiple of \(u^{-110}\) for large \(n\). +A watchdog interruption does not create an additional probabilistic +assumption. On successful coupling, all sampled choices agree with the +ideal choices, while the cost estimates already allow the worst +permitted number of attempts. The favorable work events therefore +complete before the watchdog; other executions may simply abort. + +\subsection{Exact word operations} + +The program scans the input and counts magnitude bits by shifts to +obtain \(b\). Actual signed weights, the transformed target and all +relevant differences have magnitude less than +\[ + 2^{b+\lceil\log(n+2)\rceil+4}. +\] +Even an invalid parent tuple uses an input index at most twice, so the +same bound covers the quantities considered before disjointness is +checked. Store a sign and a magnitude, with canonical zero. Signed +addition, comparison and normalized remainders are implemented on +these fields. When combining an actual weight with a residue, reduce +the weight first. A fixed-width signed weight followed by the relevant +mask bits supplies the trie key. + +Every mask has at most \(n\) bits, and every stored item has a constant +number of word fields. Binomial coefficients on at most \(n\) elements +can be computed multiplicatively; immediately before division the +intermediate integer is at most \(n2^n\). Floor logarithms are bit +lengths. Hence the background allocations, modulus parameters and +rational floors are exact integer computations. The separator quantity +\(3^m\) fits in a word as well. Feasibility tests precede unsigned +subtractions, or those quantities are represented with a sign. +No entropy or real-arithmetic oracle is used by the program. + +The largest product modulus satisfies \(P\le2^{s+.258n}\). Residue +arithmetic therefore fits in a word, and trial division compares the +candidate divisor with the corresponding integer quotient instead of +forming a potentially unnecessary square. Masks for range sampling +use fewer than \(w\) bits. The main-branch guard also gives +\[ + \log\bigl(u^{500}2^{\lceil n/2\rceil}\bigr) + \le (1/2+500/10^9)n+1n_0\); otherwise the comparison state decides. + +A short input executes only \(O(1+\log n)\) adjacent digit stages +before exiting. Its instruction addresses and state therefore remain +small; it never loads the full threshold or a distant main-program +address. Once \(n\ge n_0\), enlarge this fixed threshold if necessary +so that all other fixed literals and main-program addresses fit. +The second guard, \eqref{eq:guard}, is then an integer comparison. +Both exceptional cases use exact enumeration with an \(n\)-bit subset +counter and \(O(n)\) words. This is one finite program with no advice +and no input for the exponent \(c\). + +On a main-branch YES input, Lemma~\ref{lem:compressed} gives constant +success probability when \(\mu\ge.00765n\), and +Lemma~\ref{lem:resources} gives probability at least \(u^{-110}\) +when \(\mu<.00765n\). Both trials run in each round with fresh words +and reset state. Thus each round succeeds with probability at least +\(u^{-110}\), also conditional on every previous round failing. +After \(u^{120}\) rounds the probability of missing a solution is at +most +\[ + (1-u^{-110})^{u^{120}}\le e^{-u^{10}}<1/3. +\] +Every YES is an exact valid match by Lemma~\ref{alg:validity}; the +sign-toggle identity certifies an original solution. The exceptional +branch is exact, so correctness holds on every individual input. + +Instrument each trial with a counter for underlying word operations. +Its constant overhead, stopping and reset give per-trial time +\(O(u^{500}2^{\lceil n/2\rceil})\) on every outcome. Input scanning +and the initial guards take polynomial time in \(u\). All trial +preprocessing, sorting, table construction and sampling are charged. +The total main-branch time is consequently +\[ + O\bigl(u^{620}2^{\lceil n/2\rceil}+\poly(u)\bigr). +\] +For every fixed positive integer \(c\), all sufficiently large inputs +with \(b\le n^c\) avoid the exceptional branch and have +\(u=\poly_c(n)\). This time bound and \eqref{eq:space-final} hold +simultaneously for every random outcome. Together with the correctness +argument they prove Theorem~\ref{thm:main}. Finally, for each fixed +\(\rho>.199\), the factor \(u^{15}=\poly_c(n)\) is absorbed by +\(2^{(\rho-.199)n}\), proving Corollary~\ref{cor:target}; the +polynomial factor remains at the endpoint \(.199\). diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/introduction.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/introduction.tex new file mode 100644 index 0000000000000000000000000000000000000000..b40bf9c43f7d8e6ee7596a54ef0d03e0bfc10e94 --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/introduction.tex @@ -0,0 +1,227 @@ +\section{Introduction} +\label{sec:introduction} + +Given positive integers $a_1,\ldots,a_n$ and a nonnegative target $t$, +\emph{Subset Sum} asks whether there is a set of indices +$I\subseteq\{1,\ldots,n\}$ such that $\sum_{i\in I}a_i=t$. +Repeated values are allowed, and the empty set is a possible solution. +The parameter $n\ge2$ counts the input integers, not their total +encoding length. We study the memory needed to solve this problem +while retaining running time polynomial times $2^{n/2}$. + +The classical meet-in-the-middle algorithm of Horowitz and +Sahni~\cite{HS74} splits the indices in half, lists the subset sums +of each half, and searches for two complementary weights. Its time +and space are $O^*(2^{n/2})$, where $O^*$ suppresses factors polynomial +in the input length. Schroeppel and Shamir~\cite{SS81} retained this +time bound with space $O^*(2^{n/4})$: four smaller stored lists suffice +to generate the two large lists in sorted order. Their construction +makes the distinction between generated information and stored +information central to the time--space question. + +Nederlof and W\k{e}grzycki~\cite{NW21} reduced the space bound to +$O^*(2^{0.249999n})$ with a randomized worst-case algorithm combining +multiple decompositions of a solution with searches for disjoint sets +of complementary weight. Belova, Chukhin, +Kulikov, and Mihajlin~\cite{BCKM24} obtained +$O^*(2^{0.246n})$ space at the same time bound, for input integers +of magnitude $2^{O(n)}$. Polynomial-factor improvements to the +running time are also known in specific word-RAM models, through the work of +Chen, Jin, Randolph, and Servedio~\cite{CJRS23}. The question here is +how far the space can be reduced at the half-exponential time scale. + +\subsection{Model and main result} + +We give a uniform algorithm with ordinary $O(2^{n/5})$ working space +under each fixed polynomial bound on the input-integer bit length. +The distinction between ordinary and polynomial-suppressed space +requires us to specify the model. Put +\[ +\begin{gathered} + b=\max\left(1,\left\lceil + \log_2\bigl(1+\max(t,a_1,\ldots,a_n)\bigr)\right\rceil\right), + \qquad u=n+b+2,\\ + w=\left\lceil4\bigl(n+b+\log_2(n+2)\bigr)\right\rceil. +\end{gathered} +\] +The input occupies read-only random-access memory, one integer per +word. Unit-cost operations are word reads and writes, indirect +addressing, comparisons, addition, subtraction, multiplication, +integer quotient and remainder with nonzero divisor, bitwise Boolean +operations, and shifts. Each operation has a constant number of +$w$-bit inputs and outputs; arithmetic exceeding these limits must +be implemented and charged as multiple operations. A fresh independent +uniform $w$-bit random word costs one operation. + +Every writable register, address, counter, stack, table, seed, and +retained random value counts toward working space. Old randomness can +be reused only if it remains in this counted storage. The only +uncharged storage is the read-only input and the fixed finite program; +there is no random oracle, advice, or externally supplied table +depending on $n$ or the input. All preprocessing, input accesses, +table construction, and random sampling count toward running time. +Space is the maximum number of writable words simultaneously in use. + +Our polynomial-bit convention fixes a positive integer $c$ and +considers inputs with $b\le n^c$. The algorithm is not given $c$. +Its asymptotic resource constants and threshold may depend on $c$, +whereas correctness is required on every individual input. + +\begin{theorem} +\label{thm:main} +There is a single uniform classical randomized algorithm in this model that +never answers YES incorrectly and answers each YES instance correctly +with probability at least $2/3$. For every fixed positive integer $c$, +there are a constant $A_c>0$ and positive integers $k_c,N_c$ such that, +whenever $n\ge N_c$ and $b\le n^c$, every outcome of the algorithm's +randomness uses at most +\[ + A_c n^{k_c}2^{n/2}\quad\text{operations} + \qquad\text{and}\qquad + A_c(n+b+2)^{15}2^{0.199n}\quad\text{writable words}. +\] +The algorithm does not depend on $c$. +\end{theorem} + +\begin{corollary} +\label{cor:target} +For every fixed $\rho>0.199$, the same algorithm has ordinary +$O_{c,\rho}(2^{\rho n})$ word space under each fixed polynomial-bit +convention, with the time and correctness guarantees of +Theorem~\ref{thm:main}. In particular, it has +$O_c(2^{n/5})$ word space. +\end{corollary} + +For fixed $c$ and $\rho>0.199$, the factor $(n+b+2)^{15}$ is absorbed +by $2^{(\rho-0.199)n}$. At the endpoint $0.199$ the polynomial +factor remains. The resource bounds apply simultaneously on each run, +including unsuccessful runs. Randomness affects the probability of +finding a solution; it does not permit the algorithm to exceed its +time or memory budget. + +\subsection{Representations and their predecessors} + +A representation method gives a solution many decompositions, then +keeps only decompositions satisfying selected congruences. The +multiplicity creates room to filter the search without losing every +copy of the solution. Howgrave-Graham and Joux~\cite{HJ10} used this +idea, including recursive representations and modular filtering, for +random hard-knapsack instances. Dinur, Dunkelman, Keller, and +Shamir~\cite{DDKS12} developed recursive dissection tradeoffs for +knapsack under randomness assumptions. Austrin, Kaski, Koivisto, and +M\"a\"att\"a~\cite{AKKM13} adapted that dissection framework to +worst-case Subset Sum using randomized modular reductions and explicit +resource controls. + +For the present argument, the number of \emph{distinct} partial sums +matters as much as the number of decompositions. The residue-coverage +argument of Austrin, Kaski, Koivisto, and +Nederlof~\cite[Proposition~3.5]{AKKN16}, extended to product moduli by +Nederlof and W\k{e}grzycki~\cite[full version, Lemma~3.2]{NW21}, +turns many distinct weights into many occupied residue classes. +Nederlof and W\k{e}grzycki also combined multilevel representations +with weighted disjointness tests. Their construction uses separating +sets that contain one choice and avoid the other, building on the +separating collections of Fomin, Lokshtanov, Panolan, and +Saurabh~\cite[Section~4.2]{FLPS16}. We use the additional-prime +filtering of Belova et al.~\cite[full version, Sections~1.2.3 and~4.1]{BCKM24}, +together with their separator cost estimate for the required range of +mask sizes~\cite[full version, Section~4.7]{BCKM24}. +The proofs below supply the modified enumeration, probability, and +workspace arguments needed for our construction. + +\subsection{Two trials and the proof strategy} + +For a set $V$ of input indices, let $N(V)$ be the number of distinct +subset sums on $V$, and define its \emph{deficiency} by +\[ + d(V)=|V|-\log_2N(V). +\] +A block of large deficiency has a short list of distinct weights; +a block of small deficiency supplies many distinct choices for a +representation. We analyze two trials according to the mean deficiency +of a uniformly chosen block of a fixed size. The algorithm does not +compute that mean: each round runs both trials with fresh randomness. + +\paragraph{Compress repeated sums.} +The first trial chooses seven disjoint blocks and retains the distinct +subset sums in each. In the high-mean case, concentration makes these +lists short with high probability. Their disjoint domains allow us to +forget which subset produced a retained weight. Sorted pair-sum streams +combine the lists without storing their full Cartesian products. A +random prime partitions the left combinations into residue classes; +the trial stores one class at a time and skips it if its dictionary +exceeds capacity. Success requires only the class containing a fixed +solution's left weight to fit. + +\paragraph{Create and filter representations.} +The second trial uses three disjoint blocks $M_0,M_L,M_R$. Its two +partial solutions, called \emph{parents}, may both use indices of +$M_0$. Each parent is itself a join of two \emph{children}, which +may overlap on $M_L$ on the left or $M_R$ on the right. All remaining +indices belong to disjoint background parts. Every join checks +disjointness on its shared block. Each child is generated from two +stored lists, giving eight \emph{leaf lists} altogether. Within each +parent, every index of $M_0$ belongs to exactly one leaf domain. + +For a fixed solution to have many such decompositions, first choose a +uniform set $F$ of indices, negate its weights, and replace the target +by $t'=t-\sum_{i\in F}a_i$, using the original weights in the sum. +An original solution $S$ becomes the +uniform subset $S\mathbin{\triangle}F$ of the signed instance, while +all deficiencies stay unchanged. In the low-mean case, suitable pieces +of this signed solution have many distinct sums. Splitting those pieces +among the parents and children gives representations that survive +nested modular filters with inverse-polynomial probability. + +\paragraph{Separate generation work from stored records.} +A parent record consists of its exact weight and its set +$D\subseteq M_0$ of shared indices, encoded as a membership mask. +Equal weights with different masks +remain different records because they can have different compatibility +with the opposite parent. Generation examines raw tuples of four leaf +occurrences before rejecting local overlaps and deduplicating records. +Its work therefore depends on tuple counts, not only on dictionary size. + +An additional independent prime subdivides the filtered parents into +buckets. Different weights are unlikely to collide in the solution's +bucket. Equal weights, however, always stay together. The prescribed +left-mask size bounds their number below capacity, so a left bucket +can simply be skipped if it overflows. On the right, overflow instead +fixes successive bits of the $M_0$ mask and regenerates each part. +Each restriction is imposed in the leaf lists before joining them. +Consequently every raw tuple belongs to at most one task at each +prefix depth, including tuples later rejected for overlap. Its repeated +processing is therefore charged by depth. Leaf regeneration and +child-stream scans are still paid per task; bounds on bucket and distinct +record counts control those task starts and the repeated matching checks. + +\paragraph{Match disjoint masks within the budget.} +The final check seeks records $(x,D)$ and $(y,E)$ with +$x+y=t'$ and $D\cap E=\varnothing$. Partition $M_0$ into four +blocks and sample separating sets on each block. Fixing, on every +block, a sampled set containing the restriction of $D$ and avoiding the +restriction of $E$ leaves only an exact two-sum test on weights. +A depth-first traversal stores only +small intermediate arrays; the expected number of appearances of each +record controls its work. + +The success proof fixes a representation before exposing the extra +prime or separating families. Because representation survival is rare, +it bounds resource failure unconditionally and subtracts that bound +before applying the later random choices. Dictionary capacities bound +space on every run, and bounded sampling and an operation counter +bound time. Independent repetitions then give Theorem~\ref{thm:main}. + +\paragraph{Reading path.} +Section~\ref{sec:preliminaries} establishes the counting and sorted-stream +tools. Section~\ref{sec:compression} gives the complete compressed-block +trial. Section~\ref{sec:representation} specifies the representation layout, +filters, and bounded dictionaries, then proves the deterministic accounting +for prefix refinement. Section~\ref{sec:separator} supplies the +weighted-disjointness procedure. Section~\ref{sec:survival} combines +representation survival, joint resource estimates, +the additional prime, and the separating families; it is here that +the accounting bounds receive their numerical estimates. +Finally, Section~\ref{sec:implementation} implements the sampling and arithmetic, enforces +the budgets, and completes the amplification argument. diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/main.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..9d27094c0c27b32a24f5506638f1f6b2cd68854d --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/main.tex @@ -0,0 +1,60 @@ +\newcommand{\DoNotLoadEpstopdf}{} +\documentclass[11pt]{article} +\usepackage[T1]{fontenc} +\usepackage{lmodern} +\usepackage[margin=1in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{booktabs,array} +\usepackage{microtype} +\usepackage[hidelinks]{hyperref} +\hypersetup{ + pdftitle={A Low-Space Algorithm for Worst-Case Subset Sum}, + pdfauthor={OpenAI}, + pdfsubject={Uniform randomized Subset Sum with worst-outcome time and space bounds} +} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{definition} +\newtheorem{definition}[theorem]{Definition} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\newcommand{\poly}{\operatorname{poly}} +\newcommand{\defect}{\mathrm{d}} +\newcommand{\SSum}{\textsc{Subset Sum}} +\newcommand{\E}{\mathbb E} +\newcommand{\Prb}{\mathbb P} +\newcommand{\Z}{\mathbb Z} +\newcommand{\R}{\mathbb R} +\newcommand{\1}{\mathbf 1} +\allowdisplaybreaks[1] + +\title{A Low-Space Algorithm for Worst-Case Subset Sum} +\author{OpenAI} +\date{September 26, 2026} + +\begin{document} +\maketitle + +\begin{abstract} +We give a uniform classical randomized decision algorithm for worst-case +Subset Sum. Under every fixed polynomial bound on input-integer bit length, +it uses $\poly(n)2^{n/2}$ time and ordinary $O(2^{n/5})$ writable words +of $O(n+b)$ bits, where $b$ is the largest input bit length. Both resource +bounds hold on every execution. The error is one-sided: the algorithm always +rejects unsolvable instances and accepts each solvable instance with +probability at least $2/3$. +\end{abstract} + +\input{introduction} +\input{preliminaries} +\input{streams} +\input{compression} +\input{representation} +\input{separators} +\input{survival} +\input{resources} +\input{implementation} +\input{bibliography} +\end{document} diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/preliminaries.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/preliminaries.tex new file mode 100644 index 0000000000000000000000000000000000000000..885334d580ae4f632265556f401fa296057658db --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/preliminaries.tex @@ -0,0 +1,222 @@ +\section{Counting and enumeration tools} +\label{sec:preliminaries} + +Both trials use the same three facts about an arbitrary fixed input. +The number of distinct sums changes little when one index is replaced; +prescribed-cardinality choices have accurate entropy estimates; and a +random prime rarely identifies two fixed unequal integer weights. +We prove these facts first. We then give the small-state streams that +turn stored lists into much larger generated lists. + +All logarithms are base two unless written $\ln$. Every finite decimal +constant is an exact rational. Polynomial factors below have absolute +degrees independent of the input-bit promise. We use the parameters +\begin{equation} +\label{eq:parameters} +\begin{gathered} + u=n+b+2,\qquad m=8\lfloor3n/100\rfloor,\qquad + s=m/2,\qquad g=m/4,\\ + C=2^{\lfloor .199n\rfloor},\qquad + B=2^{\lfloor .19n\rfloor},\qquad h_*=h(1/4), +\end{gathered} +\end{equation} +where $h(x)=-x\log x-(1-x)\log(1-x)$ has its continuous endpoint +values. Blocks used for compression have size $s$; the representation +trial will use blocks of size $m$ and their halves and quarters. +The capacity $C$ counts distinct dictionary entries, whereas $B$ +counts buffered occurrences in a stream. An entry can have many +occurrences, so these capacities have different roles. + +The constructions below concern the \emph{main branch}, defined by +$n\ge n_0$ and +\begin{equation} +\label{eq:guard} + u\le 2^{\lfloor n/10^9\rfloor}, +\end{equation} +for one sufficiently large absolute integer $n_0$ fixed in the +program. Outside this branch the program uses exact subset +enumeration. Section~\ref{sec:implementation} gives the finite +implementation of this test, the repetition schedule, and the operation +cap. Each eventual fixed polynomial-bit class enters the main branch. + +\subsection{How many distinct sums does a block have?} + +For a domain $V\subseteq\{1,\ldots,n\}$, let $N(V)$ count the +\emph{distinct integer values} of its subset sums, and define +\[ + \defect(V)=|V|-\log N(V). +\] +We call this its deficiency. In particular, $N(\varnothing)=1$ and +$\defect(\varnothing)=0$. Here an actual weight is an integer sum, +as opposed to a residue; masks always encode sets of indices, even +when some input values agree. The next lemma applies also to signed +weights, which arise later after a sign transformation. + +\begin{lemma}[Deficiency] +\label{lem:deficiency} +For arbitrary fixed weights on the $n$ indices, deficiency is +nonnegative, invariant under sign changes of individual weights, +inclusion-monotone, and superadditive on disjoint domains. Replacing +one index in a domain of fixed size changes its deficiency by at most +one. If $V$ is uniform among the size-$v$ domains, $0\le v\le n$, +then +\begin{equation} +\label{eq:deficiency-variance} + \operatorname{Var}(\defect(V))\le v. +\end{equation} +\end{lemma} + +\begin{proof} +There are $2^{|V|}$ subsets, so $N(V)\le2^{|V|}$. +Adding one index multiplies the number of sums by a factor between +one and two. Its addition therefore increases deficiency by a quantity +in $[0,1]$, proving inclusion monotonicity. For disjoint $V,W$, +every sum on their union is a sum of one value from each domain, so +$N(V\cup W)\le N(V)N(W)$. Taking logarithms gives +$\defect(V\cup W)\ge\defect(V)+\defect(W)$. + +For sign invariance, let $F\subseteq V$ be the negated indices. +Toggling $F$ in a chosen subset is a bijection on all subsets of $V$. +The new weight of a subset is the old weight of its toggle minus the +old weight of $F$, so the set of sum values is merely translated. +Finally, two equal-sized domains differing in one index are extensions +of their common part. Each extension increases deficiency by a +quantity in $[0,1]$, which proves the replacement bound. + +For the variance, expose a uniform ordered size-$v$ sample without +replacement. Let $M_r$ be the conditional expectation of the final +deficiency after the first $r$ positions, $0\le r\le v$. +Given the first $r-1$ positions, couple the remaining completions for +two possible next indices by transposing those indices. The final +domains then agree or differ in one index. Their deficiencies, and +hence their conditional means, differ by at most one. Thus all +possible values of $M_r$ given the past lie in an interval of length +at most one, and $|M_r-M_{r-1}|\le1$. Orthogonality of martingale +differences now gives +\[ + \operatorname{Var}(\defect(V)) + =\sum_{r=1}^v\mathbb E(M_r-M_{r-1})^2\le v. +\] +The empty-sample case is immediate. +\end{proof} + +Consequently, for any fixed $\epsilon>0$, a deviation of +$\epsilon n$ from the size-specific mean has probability $O(1/n)$, +by Chebyshev's inequality. This concentration concerns a random +\emph{domain} in a fixed input; it assumes no distribution of the +numerical input values. + +\subsection{Exact entropy estimates} + +Cardinality restrictions on a block reduce its subset count from +$2^v$ to a binomial coefficient. We will need the exact exponential +rate, including in a later estimate with no exponential slack. + +\begin{lemma}[Elementary entropy bounds] +\label{lem:entropy} +For integers $0\le k\le v$, +\[ + \frac{2^{v h(k/v)}}{v+1}\le \binom vk\le 2^{v h(k/v)}. +\] +For $v=k=0$, interpret $v h(k/v)$ as zero. Entropy is concave, +symmetric about $1/2$, and increasing on $[0,1/2]$. Moreover, +\begin{equation} +\label{eq:entropy-numbers} + h_*<.8114,\qquad h(1/3)<14/15,\qquad h(1/6)>5/8. +\end{equation} +\end{lemma} + +\begin{proof} +For $01+1/74$, whose fourth power exceeds +$1+4/74=39/37>256/243$. Hence $3^{53}>2^{84}$ and +$\log3>84/53>1.5848$, giving $h_*<.8114$. +Next, $h(1/3)=\log3-2/3$ and $3^5<2^8$, so +$h(1/3)<8/5-2/3=14/15$. +Finally, $6^2>2^5$ and $(6/5)^4>2$ imply +\[ + h(1/6)=\tfrac16\log6+\tfrac56\log(6/5) + >\tfrac16\cdot\tfrac52+\tfrac56\cdot\tfrac14=\tfrac58. +\] +Thus none of the three bounds relies on floating-point optimization. +\end{proof} + +\subsection{Random primes and the sampling interface} + +The modular filters must control collisions of actual weights, even +when their bit length grows polynomially with $n$. We use the +following elementary estimate with its full bit-length dependence. + +\begin{lemma}[Prime factors] +\label{lem:prime} +Let $4\le\ell\le n$ be an integer. The set +\[ + \mathcal P_\ell= + \{p\text{ prime}:p<2^\ell,\ 4\ell p\ge2^\ell\} +\] +has at least $2^\ell/(4\ell)$ elements. If $p$ is uniform on this +set and $\Delta$ is a fixed nonzero integer with +$|\Delta|<2^{2u}$, then +\[ + \Pr[p\mid\Delta]\le 8u^2 2^{-\ell}. +\] +In particular, this estimate applies to every nonzero actual-weight +difference used by the two trials. +\end{lemma} + +\begin{proof} +Put $X=2^\ell$. The central binomial coefficient obeys +$\binom{X}{X/2}\ge2^X/(X+1)$. In its factorial formula, the +exponent of a prime $p$ is +\[ + \sum_{r\ge1} + \left(\left\lfloor\frac X{p^r}\right\rfloor + -2\left\lfloor\frac {X/2}{p^r}\right\rfloor\right). +\] +Each summand is zero or one, and at most +$\lfloor\log_p X\rfloor$ of them are nonzero. Thus each prime +contributes a factor at most $X$ to the binomial coefficient. If +$\pi(X)$ is the number of primes at most $X$, taking logarithms gives +\[ + \ell\pi(X)\ge X-\log(X+1)\ge X/2 + \qquad(X\ge16). +\] +Remove primes below $X/(4\ell)$. There are at most $X/(4\ell)$ +integers in that range, so at least $X/(4\ell)$ primes remain. +The upper endpoint $X$ is composite, proving the cardinality bound. + +An integer $\Delta$ with $0<|\Delta|<2^{2u}$ has at most $2u$ +distinct prime divisors: the product of $r$ distinct primes is at +least $2^r$. Dividing by the number of available primes and using +$\ell\le n\le u$ gives the displayed collision bound. +Actual weights and their relevant differences have magnitude +$O(n2^b)$; the constructions sum each indexed weight at most twice, +even before rejecting an overlapping tuple. They therefore meet +$|\Delta|<2^{2u}$ for sufficiently large main-branch inputs. +\end{proof} + +We analyze uniform independent draws, conditional on each specified +finite range. The implementation uses at most $n^3$ attempts for each +draw and fails the current trial if they all fail. The precise +interface, proved in Lemma~\ref{lem:samplers}, is as follows. A draw +from $\{0,\ldots,D-1\}$ has the uniform law on success and couples +to an ideal draw with failure probability at most $2^{-n^3}$; +$D=1$ needs no randomness. A draw from $\mathcal P_\ell$ has its +uniform law on success and coupling failure at most $e^{-n^2/4}$. +These conditional bounds remain valid for ranges determined by past +choices. All requested prime parameters satisfy $\ell\le.258n$; +bounded trial division therefore costs at most +$\poly(n)2^{.129n}$ per prime search, including all its attempts. +The final section proves the finite-word implementation and the +aggregate coupling estimate. The trials below use no unbounded +sampling operation in their resource guarantees. diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/representation.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/representation.tex new file mode 100644 index 0000000000000000000000000000000000000000..cfcd942a3e042c03d0f601731646e9da13a7bf04 --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/representation.tex @@ -0,0 +1,552 @@ +\section{Representations and bounded parent dictionaries} +\label{sec:representation} + +The second trial uses shared index sets to give a solution many +representations. It must generate those representations without storing +all of them. We first specify the shared sets and the leaf lists, +then the modular filters and a finite schedule of bounded dictionary +tasks. The last part of this section proves deterministic bounds for +that schedule. Lemma~\ref{lem:representation} will show that the filters +retain a representation; Section~\ref{sec:resources} will bound the +work needed to bring it to a completed check. + +The trial runs alongside the compression trial in every round. It does +not test the mean deficiency $\mu$ or decide which trial should apply. +The representation method and modular filtering have antecedents in +Howgrave-Graham and Joux~\cite{HJ10}; the multilevel worst-case setting +and its weighted disjointness step are developed by Nederlof and +W\k{e}grzycki~\cite{NW21}. The construction below specifies the shared +indices, exact integer parameters, and bounded recomputation needed +for the present resource bounds. + +\subsection{Shared mixers and leaf lists}\label{alg:layout} + +This trial gives each parent two children and each child two leaves. +The leaves are stored; children and parents are generated from them. +We first describe their index domains and prescribed cardinalities, +then balance the unconstrained background parts so that every leaf is +small enough to store. The shared blocks, which we call \emph{mixers}, create multiple ways to +represent a solution and require explicit disjointness tests. + +Select three disjoint size-$m$ sets uniformly from a random permutation. +For each, compute its number of distinct actual subset sums exactly: store +the subset-sum lists of two size-$s$ halves and count distinct weights in +their actual-weight sorted pair stream. Name a mixer with the largest +such number $M_0$, and name the other two $M_L,M_R$ in a deterministic +order, breaking ties deterministically. Put +\[ + N_i=N(M_i),\qquad d_i=\defect(M_i),\qquad i\in\{0,L,R\}. +\] +Continue only if +\begin{equation}\label{eq:spread} + \max_iN_i\le (\min_iN_i)2^{\lfloor .0005n\rfloor}. +\end{equation} +Thus $d_0\le d_L,d_R$ and the deficiency spread is at most $.0005n$. + +Choose a uniform subset $F$ of all input indices, negate its weights, and +replace the target by +\begin{equation}\label{alg:sign-flip} + t'=t-\sum_{f\in F}a_f, +\end{equation} +where the sum uses the original weights. In the rest of this trial all +weights are signed after this change. The signed weight of any subset +$I'$ is the original weight of $I'\mathbin{\triangle}F$ minus the +original weight of $F$. Thus the transformed instance is equivalent to +the original, and Lemma~\ref{lem:deficiency} makes all $N_i,d_i$ +unchanged. + +Independently guess $k_i$ uniformly from +$\{\lceil m/6\rceil,\ldots,m/4\}$, for $i=0,L,R$, and put +$\lambda_i=k_i/m$. At the top join, the left and right masks on $M_0$ +will have sizes $k_0$ and $s-k_0$. Within parent $j\in\{L,R\}$, its +two children will have masks on $M_j$ of sizes $k_j$ and $s-k_j$. +Disjointness of these masks is checked at the corresponding join. The +left parent never uses $M_R$, and the right parent never uses $M_L$. + +Independently choose a uniform labeled partition +\[ + M_0=T_1\mathbin{\dot\cup}T_2\mathbin{\dot\cup}T_3\mathbin{\dot\cup}T_4, + \qquad |T_a|=g. +\] +Choose integers $c_1,\ldots,c_4$ as equally +as possible with sum $k_0$, assigning the remainder in a fixed order. +The left count in $T_a$ is $c_a$ and the right count is $g/2-c_a$. +In each parent, child 1 uses $T_1,T_2$ and child 2 uses $T_3,T_4$, +one block in each of its two leaves. In particular, within a parent the +top-mixer indices in its children are disjoint. + +Independently for $j=L,R$, partition $M_j$ uniformly into two labeled +blocks $Q_{j1},Q_{j2}$ of size $s$. Prescribe child-1 counts +$a_{j1},a_{j2}$ as equally as possible with sum $k_j$. The corresponding +child-2 counts are $s/2-a_{j1},s/2-a_{j2}$. Both children use the same +two blocks of $M_j$, one in each leaf; their possible overlap is exactly +what the join of the two children into their parent checks. +Figure~\ref{tab:leaf-layout} shows both parents and all eight leaves. +Each leaf also receives its own disjoint background part, defined next. A chosen subset of a top block is recorded +in the $M_0$ mask, and a chosen subset of a local block is recorded in the +$M_j$ mask. + +\begin{figure}[htbp] +\centering +\small +\setlength{\tabcolsep}{5pt} +\begin{tabular}{@{}cccc@{}} +\multicolumn{4}{c}{Final join: complementary weights and disjoint masks on $M_0$}\\[2pt] +\multicolumn{2}{c}{$\nearrow$}&\multicolumn{2}{c}{$\nwarrow$}\\[-2pt] +\multicolumn{2}{c}{\fbox{Left parent}}& +\multicolumn{2}{c}{\fbox{Right parent}}\\[3pt] +\multicolumn{2}{c}{check disjointness on $M_L$}& +\multicolumn{2}{c}{check disjointness on $M_R$}\\[1pt] +$\nearrow$&$\nwarrow$&$\nearrow$&$\nwarrow$\\[-2pt] +Left child 1&Left child 2&Right child 1&Right child 2\\[2pt] +$\uparrow$&$\uparrow$&$\uparrow$&$\uparrow$\\[-2pt] +\fbox{\begin{tabular}{@{}c@{}}$T_1,\ Q_{L1}$\\[-2pt]\scriptsize own background\end{tabular}}& +\fbox{\begin{tabular}{@{}c@{}}$T_3,\ Q_{L1}$\\[-2pt]\scriptsize own background\end{tabular}}& +\fbox{\begin{tabular}{@{}c@{}}$T_1,\ Q_{R1}$\\[-2pt]\scriptsize own background\end{tabular}}& +\fbox{\begin{tabular}{@{}c@{}}$T_3,\ Q_{R1}$\\[-2pt]\scriptsize own background\end{tabular}}\\[2pt] +$+$&$+$&$+$&$+$\\[2pt] +\fbox{\begin{tabular}{@{}c@{}}$T_2,\ Q_{L2}$\\[-2pt]\scriptsize own background\end{tabular}}& +\fbox{\begin{tabular}{@{}c@{}}$T_4,\ Q_{L2}$\\[-2pt]\scriptsize own background\end{tabular}}& +\fbox{\begin{tabular}{@{}c@{}}$T_2,\ Q_{R2}$\\[-2pt]\scriptsize own background\end{tabular}}& +\fbox{\begin{tabular}{@{}c@{}}$T_4,\ Q_{R2}$\\[-2pt]\scriptsize own background\end{tabular}} +\end{tabular} +\caption{The eight stored leaf lists and their joins, read from bottom + to top. The two boxed leaves in each column generate one child by + pair-sum streaming. Each $T_a$ occurs once on each parent side; + each $Q_{jr}$ occurs in both children of side $j$. The eight + background parts are pairwise disjoint and avoid all three mixers. + Local joins reject overlap on $M_L$ or $M_R$; the final join rejects + overlap on $M_0$. Boxes label allowed domains; repeated labels mark shared indices.} +\label{tab:leaf-layout} +\end{figure} + +\subsubsection*{Balancing the stored lists} + +There remain $r=n-3m$ background indices, whose selections have no +cardinality constraints. The prescribed mixer counts may make one +parent's lists larger than the other's, or one child's lists larger +than its sibling's. We compensate by assigning more background indices +to the smaller side, first between parents and then between children. +The program makes these allocations with integer binomial logarithms: +\[ +\begin{aligned} + b_{0L}&=\left\lfloor\log \binom{m}{k_0}\right\rfloor,& + b_{0R}&=\left\lfloor\log \binom{m}{s-k_0}\right\rfloor,\\ + b_{j1}&=\left\lfloor\log \binom{m}{k_j}\right\rfloor,& + b_{j2}&=\left\lfloor\log \binom{m}{s-k_j}\right\rfloor + \quad(j=L,R). +\end{aligned} +\] +Set +\[ +\begin{aligned} + r_L&=\left\lfloor\frac{r+b_{0R}-b_{0L}}2\right\rfloor, + &r_R&=r-r_L,\\ + r_{j1}&=\left\lfloor\frac{r_j+b_{j2}-b_{j1}}2\right\rfloor, + &r_{j2}&=r_j-r_{j1}. +\end{aligned} +\] +Thus $r_L+r_R=r$ and $r_{j1}+r_{j2}=r_j$ exactly. Split each +child's background count as equally as possible between its two leaves, +using any fixed order on the background indices. + +To verify feasibility and list sizes, write +\[ +\begin{aligned} + H_{0L}&=h(\lambda_0),& H_{0R}&=h(1/2-\lambda_0),& + \overline H_0&=(H_{0L}+H_{0R})/2,\\ + H_{j1}&=h(\lambda_j),& H_{j2}&=h(1/2-\lambda_j),& + \overline H_j&=(H_{j1}+H_{j2})/2\quad(j=L,R). +\end{aligned} +\] +Concavity gives $\overline H_0,\overline H_L,\overline H_R\le h_*$. +Lemma~\ref{lem:entropy} translates the integer assignments into +\begin{equation}\label{eq:allocation} +\begin{split} + r_j&=r/2+(\overline H_0-H_{0j})m+O(\log n),\\ + r_{ji}&=r_j/2+(\overline H_j-H_{ji})m+O(\log n). +\end{split} +\end{equation} +These identities express the cancellation we need: the larger a +prescribed mixer family is, the fewer unconstrained background indices +its leaf receives. + +The assignments are feasible for sufficiently large $n$. In every +entropy pair the arguments lie in $[1/6,1/3]$, so its difference in +absolute value is at most $1-h(1/6)<3/8$. Consequently +\[ + r_j\ge .14n-\frac{3m}{16}-O(\log n) + \ge .095n-O(\log n), + \qquad + r_{ji}\ge \frac{.095n-.09n}{2}-O(\log n)>0. +\] +All prescribed mixer counts are feasible as well: they are rounded +versions of fractions in $[1/6,1/3]$ of their block sizes. The program +may simply fail the trial if any integer feasibility test fails. + +A leaf list has one occurrence for each choice with its prescribed +counts in its top and local mixer blocks and an arbitrary subset of its +background part. An occurrence retains its actual weight and mixer +masks. Enumerate the fixed-cardinality subsets directly, for example in +lexicographic order on index combinations, rather than scanning all +unconstrained masks. This takes polynomial overhead per generated item. +Raw counts retain occurrence multiplicity. A raw child pair chooses +one occurrence from each of its two leaves, and a raw four-leaf tuple +chooses one from each of a parent's four leaves. Its weight is the sum +of the occurrence weights, even when local-mixer masks overlap. +The balanced background allocation makes the four leaf sizes on each +side comparable. Define their common exponential scale by +\begin{equation}\label{eq:beta} + \beta_j=r/4+\overline H_0m/2+\overline H_jm + \le n/4+(-.75+1.5h_*)m. +\end{equation} +Every leaf on side $j$ and each two-leaf child satisfy +\begin{equation}\label{alg:leaf-size} + \#\{\text{leaf items}\}\le u^{10}2^{\beta_j/2}, + \qquad + \#\{\text{raw child pairs}\}\le u^{20}2^{\beta_j}. +\end{equation} +Indeed, before substituting~\eqref{eq:allocation}, the logarithm of the +leaf size is at most +\[ + H_{0j}m/4+H_{ji}m/2+r_{ji}/2+O(1). +\] +The binomial logarithm errors in each background allocation are at most +$\log(n+1)+1$, and a rounded prescribed block count changes its entropy +upper exponent by $O(1)$: for large $n$ the relevant fractions lie in +$[1/8,3/8]$, where $|h'|<3$. More explicitly, the error in $r_j$ from +its ideal value is at most $3\log u$, and that in $r_{ji}$ after both +ideal substitutions is at most $5\log u$. Substitution gives +$\beta_j/2+O(\log n)$ with ample room in the factor $u^{10}$ for large +$n$. Finally $h_*<.8114$ and $m\le .24n$ imply +\[ + \beta_j/2\le .181052n. +\] +Since $\log u\le n/10^9$, every raw leaf list has fewer than +$2^{.185n}$ items for sufficiently large main-branch inputs. + +\subsection{Nested modular filters} + +The first filtering level constrains each child's weight; the second +constrains the sum of the two children. Their moduli are nested so that +once a parent and its first child pass, the required congruence for its +second child follows. An additional independent prime $q$ subdivides +the parent residue classes into buckets, following the additional-prime +filtering approach of Belova, Chukhin, Kulikov, and +Mihajlin~\cite[full version, Sections~1.2.3 and~4.1]{BCKM24}. +The low filters reduce raw +generation; the extra prime controls the distinct entries in the +solution's bucket. + +For analysis define the real quantities +\begin{equation}\label{eq:filter-scales} +\begin{gathered} + \tau=.0078n,\qquad f_i=\min(\tau,d_i/2),\qquad L_i=s-f_i,\\ + f_{\max}=\max_i f_i,\qquad \xi=n/4+.032m-f_{\max}. +\end{gathered} +\end{equation} +The program uses the integer parameters +\[ + \ell_i=\lfloor L_i\rfloor + =\max\left\{\lfloor s-\tau\rfloor, + \left\lfloor\frac{\log N_i}{2}\right\rfloor\right\}, +\] +computed by bit lengths; flooring $\log N_i$ first gives the same second +term. Since $d_0$ is smallest, $L_0$ is largest. Sort the three +$\ell_i$ in nondecreasing order. For each increment from the preceding +value, taking the initial preceding value to be zero, independently +sample a prime with that increment as parameter if the increment is at +least four; otherwise use the factor one. At each sorted index let +$p_i$ be the cumulative product. Tied parameters give the same product. +In particular, +\[ + p_L\mid p_0,\qquad p_R\mid p_0. +\] + +For every fixed nonzero relevant actual-weight difference $\Delta$, +conditional on these log parameters, the construction satisfies +\begin{equation}\label{eq:filter-bounds} + \frac{2^{L_i}}{u^5}\le p_i\le 2^{L_i}, + \qquad + \Pr[p_i\mid\Delta]\le u^{10}2^{-L_i} + \quad (i=0,L,R). +\end{equation} +For the size estimate there are at most three sampled factors; the +discarded increments total at most nine. The prime lower ranges and +the floor therefore lose a factor of at most $2^{10}(4n)^3$ relative to +$2^{L_i}$, which is at most $u^5$ for large $n$. For divisibility, +$\Delta$ has at most $2u$ distinct prime divisors. A factor with +parameter $\ell$ divides it with probability at most +$8u^2 2^{-\ell}$, by Lemma~\ref{lem:prime}. All sampled factors are +independent. Divisibility by their product requires divisibility by +each sampled factor, so multiplication of these bounds, with the same +discarded-increment and floor losses, proves~\eqref{eq:filter-bounds}. +This argument does not require the sampled primes to be distinct. + +Independently sample one more prime $q$, with parameter +\[ + \ell_q=\left\lfloor n/4+.032m-s+\min_i\ell_i\right\rfloor. +\] +Then $\xi-2<\ell_q\le \xi$ and $\xi\le .25768n$; in particular $\ell_q$ is +positive and linear in $n$. The same prime estimates give +\begin{equation}\label{alg:q-bounds} + 2^\xi/u^2\le q\le 2^\xi, + \qquad \Pr[q\mid\Delta]\le u^3 2^{-\xi} +\end{equation} +for each fixed nonzero relevant difference. Write $P=p_0q$. Choose +independent uniform residues $\rho_0\pmod {p_0}$ and +$\rho_j\pmod {p_j}$ for $j=L,R$, independently also of $q$. Their +desired parent low bases are +\[ + w_L=\rho_0,\qquad w_R=t'-\rho_0. +\] +For side $j$, require child 1 to have weight $\rho_j\pmod {p_j}$ and +child 2 to have weight $w_j-\rho_j\pmod {p_j}$. The independent draw of +$q$ may be deferred until after all these choices when analyzing them. + +\subsection{Parent dictionaries and prefix recomputation} +\label{alg:parents} + +A parent dictionary stores records $(x,D)$: the exact signed integer +weight $x$ and the indexed top mask $D\subseteq M_0$. Its key is both +fields, so equal weights alone do not cause deduplication. A parent +task consists of a side, a target residue modulo $P$, and a possibly +empty prefix of the $M_0$ mask in a fixed index order. Left tasks use +the empty prefix; right tasks may use a longer prefix. The task regenerates its four leaves, joins its two child +streams, and either completes its dictionary or reports overflow. + +The final check, specified in Lemma~\ref{lem:separator}, tests whether two +parent arrays contain disjoint top masks whose actual weights add to +$t'$. Its four random separating families are sampled once before the +following loop, with the distribution specified in +Section~\ref{sec:separator}. Conditional on the layout, they use fresh +randomness independent of every parent-generation choice, including +the moduli, low residues, and extra prime, and are reused for all checks. +Their values do not affect which parent tasks are generated or how +those tasks process entries; a check can only stop the trial with YES. + +For $z=0,\ldots,q-1$, set +\[ + v_L=\rho_0+p_0z, + \qquad v_R=(t'-v_L)\bmod P, +\] +with normalized residues. On each side these range exactly once over +the $P$-classes with the required parent low base. Since $p_j\mid p_0$, +the child low requirements do not change with $z$. + +First perform the left task. Its two child streams are obtained from +their leaf pairs by Lemma~\ref{lem:streams}, with modulus $P$ and low +modulus $p_L$. Stream the first child by its weight modulo $P$, and +the second by $v_L$ minus its weight modulo $P$. Join equal keys. +For each matched pair, check that its two $M_L$ masks are disjoint. +If so, retain just the actual total weight and the combined $M_0$ mask, +deduplicating these pairs in a dictionary of capacity $C$. If a new +distinct pair would overflow the dictionary, abandon this $z$. Also +skip $z$ if the completed dictionary is empty. + +Otherwise retain the completed left array and perform the analogous +right task with residue $v_R$, initially without an additional top-mask +restriction. If its completed dictionary has between one and $C$ +distinct entries, apply the final check to that right array and the +stored left array. If it is empty, do nothing. If it overflows, +discard the task's workspace and replace the task by two right tasks +that fix the next bit of its $M_0$ mask to zero and one, respectively. +Process these tasks depth first, in a fixed order of the top-mixer bits. +An overflowing task whose prefix already specifies the entire mask is +simply dropped. Reuse or free the workspace after completing or +discarding each task, and stop at the first YES. + +In every prefix task, remove incompatible items from each +leaf array \emph{before} generating its streams. Test in that leaf +exactly the prescribed prefix bits belonging to its own top block. +Regenerating and filtering its raw leaf list from scratch is permitted. +As each top block occurs in exactly one leaf of a parent, no raw +four-leaf tuple with an incompatible top mask is generated in that +task. This remains true even for tuples rejected later because their +local-mixer masks overlap. It is this early restriction that permits +the later charging of repeated four-leaf tuple processing by depth +rather than by number of tasks. + +\begin{lemma}\label{alg:validity} +Every retained parent entry has a subset witness on its parent's +indices. Deduplicating entries by actual weight and top mask preserves +the existence of every valid final match. Every YES returned by either +trial is correct. +\end{lemma} + +\begin{proof} +Within a parent the children share only $M_j$, and their disjointness +there has been checked. Their top blocks and background parts are +disjoint. Thus a retained entry has a subset witness. The only +indices shared by the left and right parents are in $M_0$. Once their +top masks are fixed, the choice among witnesses of a given actual +weight has no effect on compatibility with the other parent. Hence +deduplication loses no valid match. A final check returning YES has +disjoint top masks and actual total weight $t'$, so its two witnesses +give a signed solution, and~\eqref{alg:sign-flip} gives an original +solution. The compressed-block trial was already seen to have the +same one-sided correctness property. +\end{proof} + +\subsection{Three bounds for prefix recomputation} +\label{sec:prefix-accounting} + +The schedule has two different sources of work. Starting a task +regenerates leaves and initializes streams; processing its matches +examines raw four-leaf occurrences. A small dictionary can have many +raw representations, including invalid local overlaps. We therefore +use distinct entries to count task starts and raw occurrences to count +match processing. A third count measures how often retained arrays +are passed to the final check. + +\paragraph{What the trial counts.} +Fix the mixers, signs, cardinality guesses, layout, low moduli, and +low residues, without fixing the extra prime $q$ or the separating +families. The following three finite counts are already determined at this stage: +\begin{itemize} +\item $G$ is the sum, over the four children, of the numbers of raw +leaf pairs passing that child's low filter, before any mask-prefix +restriction. +\item $\mathcal T_j$ contains all raw four-leaf occurrences on side +$j$ passing the parent low filter modulo $p_0$ and the first-child +filter modulo $p_j$. The second-child filter follows from +$p_j\mid p_0$. Put $J_j=|\mathcal T_j|$, retaining every repetition +and every local overlap. +\item $\mathcal U_j$ contains all distinct valid +$(\text{actual weight},\text{top mask})$ entries satisfying the +parent low filter, ignoring child filters. Here validity means that +the entry has a subset witness on side $j$'s indices with the +prescribed top-block counts. This ambient set may contain entries +not generated by the child lists. Put $U_j=|\mathcal U_j|$. +\end{itemize} +After $q$ is chosen, assign each occurrence and entry its unique +bucket using the enumerated $P=p_0q$ classes. On the right the bucket +label is the value of $z$ whose class is +$(t'-\rho_0-p_0z)\bmod P$. These labels depend on $q$, but the three +counts do not. Equal entry keys have equal actual weights and hence +the same bucket. No coprimality of $p_0$ and $q$ is needed. + +The next lemma separates these deterministic charges from all +probability estimates. The schedule is the one specified in +Section~\ref{alg:parents}: left overflow skips a bucket, whereas right +overflow refines a mask prefix. Only for counting, continue this +schedule after any YES answer and ignore the operation cap. This +finite hypothetical schedule need not be stored. + +\begin{lemma}[Prefix accounting]\label{lem:prefix} +Fix positive integers $C,q$ and a nonnegative integer $m$. On each +side $j\in\{L,R\}$, let $\mathcal T_j$ be a finite collection of +raw tuple occurrences. Each occurrence has a bucket in +$\{0,\ldots,q-1\}$ and a top mask in $\{0,1\}^m$. A valid occurrence +produces an entry consisting of its exact weight and top mask. +Assume that occurrences producing the same entry have the same +bucket. Let $\mathcal U_j$ be a finite ambient set containing all +distinct valid entries, with bucket and mask labels extending those +of the generated entries. Write +\[ + J_j=|\mathcal T_j|,\qquad U_j=|\mathcal U_j|. +\] +A task for bucket $z$ and prefix $\sigma$ generates exactly the raw +occurrences with these labels, unless it stops early, and reports +overflow at the $(C+1)$st distinct valid entry. Suppose a task with +$Z$ potential occurrences costs at most $H+KZ$, even if stopped +partway, for fixed nonnegative $H,K$. + +Apply the left-skip and right-prefix schedule of +Section~\ref{alg:parents} to these data, ignoring early YES answers and +the operation cap. Then its number $T$ of parent-generation tasks, +its total parent-generation work $W_{\mathrm{parent}}$, and the total +input-array length $N_{\mathrm{check}}$ of its final checks satisfy +\begin{align} + T&\le 2q+2(m+1)U_R/C,\label{eq:prefix-tasks}\\ + W_{\mathrm{parent}} + &\le H\bigl(2q+2(m+1)U_R/C\bigr) + +K\bigl(J_L+(m+1)J_R\bigr),\label{eq:prefix-work}\\ + N_{\mathrm{check}}&\le U_L+(2m+3)U_R.\label{eq:prefix-checks} +\end{align} +Every reuse of a left array counts separately in +$N_{\mathrm{check}}$. +\end{lemma} + +\begin{proof} +\emph{Task starts.} +At a fixed prefix depth, different right tasks have disjoint sets of +possible entries: different buckets are disjoint, and different +prefixes of the same length are disjoint within a bucket. Each +overflow witnesses more than $C$ entries of $\mathcal U_R$. +There are consequently at most $U_R/C$ overflow nodes at that depth, +and at most $(m+1)U_R/C$ over all depths. There are at most $q$ left +tasks and $q$ right root tasks. Every other task is one of at most two +children of an overflow node. This proves~\eqref{eq:prefix-tasks}, +including the possibility that an overflowing full-mask node is +dropped without children. + +\emph{Raw occurrences.} +Each left occurrence has one bucket and can appear in at most one +left task. A right occurrence has one bucket and one prefix at each +depth, so it is a potential occurrence in at most $m+1$ right tasks. +This counts occurrence identities, rather than their possibly equal +weights or masks. It also counts invalid occurrences: their top masks +are defined before the local overlap test, and incompatible prefix +choices are excluded before the join. Thus the sum of all potential +occurrence counts is at most $J_L+(m+1)J_R$. Summing the assumed +stopped-task costs gives~\eqref{eq:prefix-work}. Only the overhead +$H$ is multiplied by the number of tasks. + +\emph{Final-check inputs.} +Completed right arrays contain disjoint sets of entries. Different +buckets are disjoint. Within a bucket, completed prefixes are +incomparable, since a completed task has no descendants, so their +mask classes are disjoint as well. Right arrays therefore contribute +at most $U_R$ to the total check-input length. + +Left arrays used at right-root checks have total length at most $U_L$, +since each bucket supplies at most one such check. Every other check +uses a left array of length at most $C$, and there are at most +$2(m+1)U_R/C$ nonroot tasks. Their repeated left lengths total at most +$2(m+1)U_R$. Adding these three contributions gives +\eqref{eq:prefix-checks}. +\end{proof} + +\paragraph{Applying the accounting bounds.} +Every raw four-leaf tuple has a well-defined top mask because +$T_1,\ldots,T_4$ partition $M_0$ and each occurs in exactly one leaf +on each side. The union is defined even if local-mixer masks overlap. +Testing a prefix in its responsible leaves therefore gives exactly +the restricted occurrence collection required by Lemma~\ref{lem:prefix}. +The dictionary removes duplicate keys only after the local +disjointness test. This verifies the combinatorial premises of the +lemma for the concrete schedule. + +\paragraph{The stopped-task cost.} +For sufficiently large main-branch inputs, its cost premise holds with +\begin{equation}\label{eq:prefix-task-cost} + H=u^8(2^{.2n}+G),\qquad K=u^8. +\end{equation} +Here is the implementation behind those constants. The four raw leaf +arrays in a task have total length +$A<4\cdot2^{.185n}$ by~\eqref{alg:leaf-size}; regenerating them, +including their masks and prefix tests, takes $O(n^2A)$ operations. +Sorting and stream initialization cost $O(nA)$, and the two child +streams together have at most $G$ occurrences. Their arrays and +mutable states occupy $O(A)$ words, which is at most $B$ for large +$n$. The tie buffer has length $B$, and Lemma~\ref{lem:streams} +charges all replay, including stopped replay, to stream advances and +potential matching pairs. Dictionary initialization can be bounded by +$O(u(C+1))$, and local mask checks and trie operations cost $O(u)$ per +reported tuple. For $Z$ potential matching tuples, all this gives +\[ + O\bigl(n^2A+B+nG+u(C+1)+uZ\bigr). +\] +Since $C\le2^{.199n}$, $B\le2^{.19n}$, and +$\log u\le n/10^9$, this is at most $H+KZ$ with +\eqref{eq:prefix-task-cost}, after enlarging the absolute main-branch +threshold. The raw term includes tuples later rejected for overlap +and repeated occurrences. A small value of $U_j$ does not bound this +term. + +Thus Lemma~\ref{lem:prefix} controls the complete schedule before any +probability estimate is used. The numerical bounds for $G,J_j,U_j$ +and the proof that a solution reaches a completed right prefix belong +to Section~\ref{sec:resources}. The remaining independent ingredient +is the final check on two bounded arrays, which we now construct. diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/resources.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/resources.tex new file mode 100644 index 0000000000000000000000000000000000000000..d39cfd9e1d67373975b2d7e1967fa5ae5fd57d3d --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/resources.tex @@ -0,0 +1,272 @@ +\subsection{Unconditional resource bounds}\label{sec:resources} + +A surviving representation must reach a completed check before the +operation cap. Recall the three ambient counts from the prefix +analysis: \(G\) counts low-filtered raw child pairs, \(J_j\) counts +low-filtered raw four-leaf tuples on side \(j\), and \(U_j\) counts +distinct valid weight--top-mask entries passing only the parent low +filter. None uses \(q\), a prefix restriction, or a separating family. +The first two retain all occurrence multiplicities, including tuples +with a local overlap. The last counts only valid entries and ignores +the child filters. We shall bound these counts without conditioning on +the rare survival event. + +For their first moments, condition on a passing mixer setup, signs, +guesses, layout and allowed moduli \(p_i\), leaving the low residues +\(\rho_0,\rho_L,\rho_R\) independent and uniform. Each child's required +residue is marginally uniform modulo \(p_j\), including child~2 because +\(\rho_j\) is independent of \(\rho_0\). Each fixed four-leaf tuple +passes its parent filter and first-child filter with probability +\(1/(p_0p_j)\); divisibility \(p_j\mid p_0\) then gives the second-child +filter. Before its parent filter, the number of distinct valid entries +on side \(j\) is at most +\[ + 2^{r_j}\,2^{H_{0j}m}\,2^{m-d_j}. +\] +Here the three factors count background choices, possible top masks, +and distinct actual weights from disjoint use of \(M_j\). The last +factor is \(N_j\), also for the signed weights. Each entry passes the +parent filter with probability \(1/p_0\). + +Define the analysis scales +\begin{equation}\label{res:scales} + \begin{aligned} + \Gamma&=\frac n4+\left(-\frac54+\frac32h_*\right)m+f_{\max},\\ + d_*&=\min(d_L,d_R),\\ + \Lambda&=\frac n2+(\overline H_0-1)m-d_*+f_0. + \end{aligned} +\end{equation} +By \eqref{eq:allocation}, \eqref{eq:beta}, and +\eqref{eq:filter-bounds}, the conditional moments satisfy +\begin{equation}\label{res:moments} + \mathbb EG\le u^{26}2^\Gamma,\qquad + \mathbb E(J_L+J_R)\le u^{51}2^{n/2},\qquad + \mathbb EU_j\le u^{10}2^\Lambda. +\end{equation} +For the first bound, use \(\beta_j-L_j\le\Gamma\), the +\(u^{20}\) factor for raw pairs, and the \(u^5\) loss in the +modulus lower bound. For the second, raw four-leaf tuple counts are at +most \(u^{40}2^{2\beta_j}\), and their exponent after filtering obeys +\begin{equation}\label{res:tuple-exponent} + \begin{aligned} + 2\beta_j-L_0-L_j + &\le \frac n2+\left(-\frac52+3h_*\right)m+2\tau\\ + &\le \frac n2. + \end{aligned} +\end{equation} +The final inequality holds for large \(n\), since the excess is at +most \(-.0658m+.0156n\), and \(m=.24n+O(1)\). For the third +bound, the exponential part of the preceding universe count divided by +the parent modulus is +\[ + \frac r2+\overline H_0m+m-d_j-L_0 + =\frac n2+(\overline H_0-1)m-d_j+f_0 + \le\Lambda; +\] +the allocation's logarithmic error and the modulus loss fit in the +factor \(u^{10}\). + +Let \(\mathcal E\) be the resource event +\begin{equation}\label{eq:resource-event} + G\le u^{200}2^\Gamma,\qquad + J_L+J_R\le u^{200}2^{n/2},\qquad + U_L,U_R\le u^{200}2^\Lambda. +\end{equation} +The scales in \eqref{res:scales} are fixed under the conditioning used +in \eqref{res:moments}. Markov's inequality and a union bound, followed +by averaging over that conditioning, give +\begin{equation}\label{res:joint-failure} + \Pr[\text{spread test passes and }\mathcal E^c] + \le u^{-174}+u^{-149}+2u^{-190} + <\frac1{10}u^{-100}. +\end{equation} +This is a joint failure estimate, not an estimate conditioned on the +rare event in Lemma~\ref{lem:representation}. Consequently that lemma's +surviving-representation event and \(\mathcal E\) hold together with +probability at least \(.9u^{-100}\) in the low-mean YES case. + +Three exponent relations control the subsequent costs: +\begin{equation}\label{res:exponent-relations} + \xi+\Gamma\le\frac n2,\qquad + \Lambda+(1-h_*)m\le\frac n2,\qquad + \xi-(\Lambda-.199n)\ge .0015n. +\end{equation} +The first relation pays for scanning the low-filtered children over +roughly \(2^\xi\) tasks. The second pays for the repeated separator +incidences of distinct records. The third makes the expected number +of different-weight records in a solution bucket smaller than its +capacity \(C\). These relations hold for large \(n\) on every passing +setup. The first follows +from \(.032-1.25+1.5h_*<0\), with cancellation of \(f_{\max}\). +For the second, use \(\overline H_0\le h_*\) and +\(f_0\le d_*\), since \(M_0\) has least deficiency. For the +third, direct subtraction gives the lower bound +\[ + -.051n+(1.032-h_*)m+d_*-f_0-f_{\max}. +\] +Here \(f_0\le d_*/2\), while the spread test implies +\(f_{\max}\le d_*/2+.00025n\). Since +\(1.032-h_*>.2206\) and \(m=.24n+O(1)\), this lower bound is +at least \(.0015n\). The first two relations preserve the exact +time exponent \(1/2\); no positive exponential slack is added there. + +\subsection{The extra prime and the solution bucket} + +Condition on a surviving representation and \(\mathcal E\), exposing +all choices so far but still not \(q\). In its loop iteration, the +expected number of entries in side \(j\)'s universe with weight +different from \(x_j\) but congruent to it modulo \(P=p_0q\) is +at most +\begin{equation}\label{res:bucket-expectation} + U_j u^3 2^{-\xi} + \le u^{203}2^{.199n-.0015n}. +\end{equation} +The nonzero difference must be divisible by the independent prime +\(q\), so the prime collision bound applies. No coprimality of +\(q\) and \(p_0\) is required. Since +\(C\ge 2^{.199n-1}\), the right side of +\eqref{res:bucket-expectation} divided by \(C/2\) is at most +\[ + 2^{(203/10^9-.0015)n+2} +\] +on the main branch. Markov's inequality shows, with conditional +probability at least \(.9\) for large \(n\), that both sides have +at most \(C/2\) such different-weight entries. + +Equal-weight entries need a separate argument. On L, at most +\(\binom m{k_0}\le 2^{h_*m}\le 2^{.194736n}0$, it can pass the filter only +on paths to its $t_i$ compatible leaves. The union of these paths has +$O(t_i(1+\log\nu_i))$ nodes; scans into their children have the same +order of cost. There are at most $\prod_{r0$. Multiplying the second derivative by $Z$ now gives +\[ + ZF''=\frac{Z}{X}-\alpha^2+(\alpha-1)^2\frac{Z}{W} + \le1-\alpha^2+(\alpha-1)^2\frac{2+\alpha}{\alpha} + =-2+\frac2\alpha<0. +\] +Thus $E$ is strictly concave. At $k=1/4$ we have +$X=3/4$, $Z=1/2$, and $W=1/4$, so +$F'=\ln(2/3)+(\alpha-1)\ln2=0$. Its maximum is therefore +\[ + E(1/4)=\frac34h(1/3)-\frac12=1-h(1/4). +\] +The last identity follows from +$h(1/3)=\log3-2/3$ and $h(1/4)=2-(3/4)\log3$. +This proves \eqref{sep:sharp} without a positive error in its +exponential rate. + +Combining \eqref{sep:incidence}--\eqref{sep:sharp}, for either +side and every block, +\[ + \E t_i\le u^4 2^{(1-h_*)g} +\] +for sufficiently large $n$. The four block families are independent, +so expectations of the products in \eqref{sep:charge} factor. +Since $1-h_*>0$ and $m=4g$, each of the five terms in +\eqref{sep:charge} has expectation at most +$u^{20}2^{(1-h_*)m}$. Their sum is at most +$u^{22}2^{(1-h_*)m}$ for large $n$. Summing over input occurrences proves the +expected work bound. The preceding construction already proved the +deterministic space bound. + +Finally, a uniform $e$-set is obtained by taking the first $e$ +positions of a uniform permutation of its block. Generate each +permutation from fresh successive range draws, with the bounded +implementation of Lemma~\ref{lem:samplers}. Across all four families +there are at most +\[ + 4g(10\cdot2^g+1) +\] +such calls. Its conditional per-call bound gives a coupling failure +probability at most $4g(10\cdot2^g+1)2^{-n^3}$, which is +$\exp(-\Omega(n^2))$. The bound uses the ideal product law and +subtracts the coupling failure; it does not condition that law on +successful bounded sampling. Allowing all $n^3$ attempts per draw +adds only a polynomial factor to the generation work, which fits +$\poly(n)2^{2g}$ together with preprocessing. +\end{proof} + +\subsection{Reusing the same families} + +The check can be called repeatedly with the same four families. +Different calls are then correlated, but their work still adds by +linearity of expectation. The necessary condition is that the full +list of their input arrays be fixed independently of those families. + +\begin{corollary}[Reusing the families]\label{cor:separator-reuse} +Fix a finite list of checks satisfying the input conditions of +Lemma~\ref{lem:separator}, with common block parameters, and let +\[ + N_{\mathrm{check}}=\sum_{\text{checks}}(|\mathcal L|+|\mathcal R|). +\] +The list may itself be random, provided that, conditional on the list +and its parameters, the four families have the independent +distributions \eqref{sep:families}. In the ideal experiment, the +expected total check work conditional on the list and its parameters +is at most +\[ + W_0=N_{\mathrm{check}} u^{22}2^{(1-h_*)m}. +\] +Preprocessing is paid once. Processing checks one at a time uses the +check workspace of Lemma~\ref{lem:separator}, in addition to any +storage retained by the caller. For any $0<\delta<1$, total +check work exceeds $W_0/\delta$ with probability at most $\delta$. +Suppose a designated check and a solution pair in it are also chosen, +and that conditional on the list, its parameters, and these choices, +the families still have the independent distributions +\eqref{sep:families}. Then with probability at least +$1-4e^{-10}-\delta$ the pair is covered and the total check work is +at most $W_0/\delta$. +\end{corollary} + +\begin{proof} +An empty list has $N_{\mathrm{check}}=0$ and zero check work. Otherwise +condition on the complete list and its parameters, and apply Lemma~\ref{lem:separator} +to each input occurrence and sum expectations. Markov's inequality +gives the work bound. For the last assertion, condition additionally +on the designated check and pair. The family law is unchanged, so +the same expected-work bound holds and the pair has coverage +probability at least $1-4e^{-10}$. A union bound intersects the +coverage and work events; those events need not be independent. +\end{proof} + +In the Subset Sum application, continue parent generation as if checks +never returned YES and as if no operation cap were present, retaining +all dictionary overflow rules. This defines the complete check list +without consulting the separating families. Conditional on the layout, +their sampled product law is independent of all parent-generation +choices. It therefore remains unchanged after fixing that list and a +designated check and witness selected from it using only those choices. +Corollary~\ref{cor:separator-reuse} applies once +Section~\ref{sec:resources} bounds the total input length of this list. +The actual run visits only an initial portion of its work; the list +itself is never stored, and coverage is required only for the selected +pair. diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/streams.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/streams.tex new file mode 100644 index 0000000000000000000000000000000000000000..e5b10fd3aebfb3260182f34eb91f93faac1db0f1 --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/streams.tex @@ -0,0 +1,157 @@ +\subsection{Sorted modular pair streams} +\label{sec:streams} + +A stream will enumerate a Cartesian product while retaining only its +smaller input arrays. An item consists of its actual, possibly signed, +weight and a constant number of index masks. Write $\omega(a)$ for +the actual integer weight of an item $a$. Repeated occurrences +remain separate even if all their fields agree. Each item occupies +constantly many words; array indices have $O(n)$ bits. We assume that +weights, moduli, keys, and indices fit in the stated constant-word +representation. Section~\ref{sec:implementation} verifies these +conditions for all uses below. + +This is the sorted pair-sum method associated with Schroeppel and +Shamir~\cite{SS81}; see also the explicit four-list description in +Nederlof and W\k{e}grzycki~\cite[full version, Lemmas~3.3 and~A.1]{NW21}. +We give the modular ordering and stopped-execution argument locally, +since those details determine the cost of regenerating a dictionary. +A generator's mutable state identifies its next occurrence and can be +copied while sharing its immutable input arrays. + +\begin{lemma}[Filtered streams and tie joins] +\label{lem:streams} +Let $A_1,A_2$ be stored constant-word item arrays whose indices have +$O(n)$ bits. Let $p\mid P$ be positive integers, and let $c,v$ be +specified integer residues. Assume that the data occupy constantly +many words each and that arithmetic, comparisons, and indexed access +on them take $O(1)$ word operations in the stated model. The pairs $(a,b)\in A_1\times A_2$ +whose actual weights sum to $c\pmod p$ can be streamed in +nondecreasing order of either +\[ + (\omega(a)+\omega(b))\bmod P + \quad\text{or}\quad + (v-\omega(a)-\omega(b))\bmod P, +\] +where all residues are normalized to $\{0,\ldots,P-1\}$. +Initialization costs $O(n(|A_1|+|A_2|+1))$ word operations, each +subsequent advance costs $O(n)$, and the state together with the +input arrays uses $O(|A_1|+|A_2|+1)$ words. + +Consider two such streams of lengths $N_1,N_2$, with combined states +and arrays of at most $S$ words. If their equal-key Cartesian +products contain $Z$ pairs in all, they can report all these pairs +using $O(S+B)$ words and, apart from initialization and the work +performed on reported pairs, +\begin{equation} +\label{eq:tie-cost} + O\left(B+n(N_1+N_2+Z)+\frac SB Z\right) +\end{equation} +operations. Here $B\ge1$ is an integer buffer capacity. In +particular, if $S\le\poly(n)B$, the bound is +$\poly(n)(B+N_1+N_2+Z)$. The same upper bounds hold for an execution +stopped partway, with $Z$ still counting \emph{all potential} matches. +No coprimality assumption is needed. +\end{lemma} + +\begin{proof} +First sort $A_2$ lexicographically by its residue modulo $p$ and +then its residue modulo $P$. For a fixed $a\in A_1$, binary +search finds the contiguous slice with residue +$c-\omega(a)\pmod p$. This slice contains exactly the eligible +partners of $a$, and is ordered by their $P$-residues, including +repetitions. Omit the row if the slice is empty. + +For a direct key, put $r=\omega(a)\bmod P$. Start at the first +entry of the slice whose residue is at least $P-r$; if there is +none, start at the beginning. Traverse forward cyclically for exactly +the slice length. The entries at or above the pivot give the wrapped +values $r+(\omega(b)\bmod P)-P$ first, followed by the unwrapped +values $r+(\omega(b)\bmod P)$. +Both portions are nondecreasing and the former values are smaller +than the latter. This includes $r=0$, when the pivot search simply +returns the beginning. + +For a complementary key put $K=(v-\omega(a))\bmod P$. +Start at the last entry whose residue is at most $K$; if there is +none, start at the last entry of the slice. Traverse in reverse +cyclic order for exactly one slice length. Residues at most $K$ +produce the values $K-(\omega(b)\bmod P)$ in nondecreasing +order. The residues above $K$ follow and produce the larger values +$K-(\omega(b)\bmod P)+P$, also in nondecreasing order. +Choosing the first pivot in the direct case and the last pivot in +the complementary case preserves every repeated residue. + +Merge the rows with a min-heap having at most one current pair per +item of $A_1$. A row stores its slice endpoints, current position, +and remaining length; a heap entry has constantly many words. +Comparison sorting, binary searches, and heap operations have depth +$O(n)$ because array indices have $O(n)$ bits. This proves the +initialization, advance, and state bounds. The construction permits +repeated prime factors and other common factors. Empty input arrays +give an empty stream. + +To join two streams, advance past unequal keys until an equal key is +found. For that key, read up to $B$ second-stream items into a reusable +buffer. If this exhausts the second tie group, pair its buffered items +with each consecutive first-stream item of the key. No generator state +is copied in this case. Reuse the buffer by its current length, without +clearing $B$ positions for a short group. + +If the second tie group is longer, save the mutable second-generator +state immediately after the first $B$ items. The snapshot includes +its current lookahead item, heap, row cursors, and control state, but +shares its immutable arrays. For each first-stream item of the key, +report its pairs with the buffer, restore the saved state when needed, +and replay the remaining suffix. After the final replay the second +stream is already beyond the tie group. + +A save or restore costs $O(S)$. It is made only for a first item +having at least $B$ potential partners; at most a constant number of +such operations per first item is required. Their total cost is +therefore $O(SZ/B)$. Replayed advances are charged to matching pairs; +other advances are charged to the original stream lengths. The +$O(n)$ cost per advance and the optional $O(B)$ initial buffer +allocation give~\eqref{eq:tie-cost}. If processing stops immediately +after a snapshot or restore, the same charge remains valid because +$Z$ counts potential pairs, including pairs not reached. One snapshot, +the buffer, and the two generators give the space bound. +\end{proof} + +An actual-weight stream needs no modular pivots. Sort the second array +by actual weight, add each first-array weight to that sorted row, and +heap-merge the rows. Reading this ordered stream while remembering +only the last weight counts its distinct values without storing the +Cartesian product. This will let the representation trial measure a +block's deficiency exactly from two small half-block lists. + +\subsection{Bounded dictionaries} + +Streaming saves space only if we also control what is retained. +For deterministic deduplication, use a binary trie on a fixed-width +signed actual weight, followed by the relevant mask bits when a mask +is part of the key. Give zero its canonical nonnegative sign. In our +applications the complete key has $O(u)$ bits. Searching or inserting +it takes $O(u)$ operations and introduces at most $O(u)$ nodes, +with constantly many words per node. + +Keep a separate append-only array of the distinct entries if subsequent +array access is needed. A duplicate changes neither the array length +nor its mathematical content. On finding a new key that would increase +the array beyond capacity $C$, report overflow. Even if nodes for this +first rejected key have been allocated, the trie has at most +$O(u(C+1))$ nodes. All nodes, addresses, and appended records count as +workspace. A weight-only dictionary is appropriate for disjoint +compression blocks; a weight--mask dictionary will be required when +compatibility depends on shared indices. + +For the concrete implementations below, raw list generation can be +done in $O(n^2)$ operations per item, sorting and heap work in $O(n)$ +per item or advance, and dictionary operations in $O(u)$ per key. +Whenever the combined stream storage is $O(B)$, the term depending +on $Z$ in~\eqref{eq:tie-cost} is $O(nZ)$, before the separately +charged processing of those matches. The buffer and stream-length +terms remain separate. These explicit +degrees will be used when the task costs are bounded. The argument +does not assign a cost merely from the number of distinct entries +eventually retained. diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/survival.tex b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/survival.tex new file mode 100644 index 0000000000000000000000000000000000000000..bfc6dd2e3916e09b78aa4a886080b8980eecf4bc --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/build/survival.tex @@ -0,0 +1,203 @@ +\section{Survival within the resource budgets}\label{sec:survival} + +The preceding construction always respects its dictionary capacities, +but it may discard a bucket containing a solution or stop at the +operation cap. We now show that a fixed solution reaches a completed +check within the cap with inverse-polynomial probability, enough for +repetition to succeed. The order of the argument matters: first fix a +surviving representation, subtract an unconditional resource-failure +bound, and only then use the extra prime and separating families. + +\subsection{Fixing a witness before the last random choices} + +Throughout this section suppose that the input is a YES instance and +\(\mu<.00765n\), where \(\mu\) is the mean deficiency of a uniform +size-\(s\) subset of the input indices. We first use ideal exact sampling. +The extra prime \(q\) and the separating families are not exposed in this +subsection. Our objective is to select one representation before either +of those sources of randomness is used. We first balance the fixed +solution inside the mixers, retain many distinct choices with the +prescribed leaf counts, and finally show that the low residues hit +some of them. Every selection of a witness in this argument is an +analysis choice; the program enumerates candidates without knowing it. + +\begin{lemma}\label{lem:representation} +For a main-branch YES input with \(\mu<.00765n\), ideal sampling +produces, with probability at least \(u^{-100}\), a passing spread test and a representation of a solution satisfying all prescribed leaf +counts and all low modular filters. Its two parent weights +\(x_L,x_R\), with \(x_L+x_R=t'\), and all of its masks can be fixed as +functions of the nonfamily choices preceding \(q\). Conditional on +these choices, \(q\) still has its prescribed independent prime law; +the separating families also retain their prescribed product law, +with the now fixed layout parameters. +\end{lemma} + +\begin{proof} +\emph{Balance the solution and its deficiencies.} +Fix an original solution \(S\) for analysis. Under the random sign flip +\(F\), its signed counterpart \(S'=S\mathbin{\triangle}F\) is a uniform +subset of the input indices, independent of the mixers. Put +\(A_i=S'\cap M_i\). By Lemma~\ref{lem:entropy}, the balance event +\[ + |A_0|=|A_L|=|A_R|=s +\] +has probability at least \((m+1)^{-3}\). This event has the same +probability for every choice of the three mixers before ordering them. +Conditional on it, their distribution is unchanged, and their selected +halves are independent uniform halves given the mixers. Each selected +half and its complement in a pre-order mixer is therefore marginally a +uniform size-\(s\) set of input indices. + +By Lemma~\ref{lem:deficiency}, with conditional probability +\(1-O(1/n)\), all six halves have deficiency at most +\(\tau=.0078n\): a deviation of \(.0001n\) above their common mean +already suffices. The same lemma, now for size-\(m\) sets, shows that +each pre-order mixer's deficiency is within \(.0002n\) of the +size-\(m\) mean, again with conditional failure probability \(O(1/n)\). +Thus the spread test \eqref{eq:spread} passes jointly with these events +for sufficiently large \(n\). These are statements about the original +weights, equally valid after sign changes by deficiency invariance. +For this analysis we may sample the signs even on choices on which the +algorithm would have stopped at the spread test. + +If \(A,B\) partition a mixer \(M\) into halves, then +\(N(M)\le N(A)N(B)\), so +\[ + \defect(A)+\defect(B)\le \defect(M). +\] +At least one half has deficiency at most \(\defect(M)/2\). Given the +three unordered pairs of halves, each orientation as the selected half +is uniform, independently across the mixers. Both preceding good events concern the original-weight deficiencies +of the unordered halves and are invariant under these orientations, +as is the ordering of the mixers. With further conditional probability at least \(1/8\), then, +\begin{equation}\label{surv:small-deficiency} + \defect(A_i)\le f_i=\min(\tau,d_i/2) + \qquad(i=0,L,R). +\end{equation} +No conditional independence of the signs is asserted or needed here. +Sign invariance and \eqref{surv:small-deficiency} give at least +\(2^{s-f_i}=2^{L_i}\) distinct signed subset sums on \(A_i\). + +\emph{Retain representatives with the prescribed leaf counts.} +Partition these sums according to subset size. Some size has at least +\(2^{L_i}/(s+1)\) distinct sums. Choose a maximizing size at most +\(s/2=m/4\), using complementation in \(A_i\), which preserves the +number of distinct sums between complementary sizes. This size exceeds +\(m/6\) for sufficiently large \(n\). Otherwise its number of subsets +would be at most \(2^{s h(1/3)}\), whereas +\[ + \frac{s-\tau-\log(s+1)}{s}\longrightarrow .935 + >\frac{14}{15}>h(1/3). +\] +For each mixer fix such a size and one subset for each distinct sum of +that size. These are analysis choices made before the size guesses and +subblock partitions. The probability that all three guesses \(k_i\) +equal these sizes is at least \((m+1)^{-3}\). + +We next retain many of these representatives with the required finer +counts. Fix one representative \(D\subset A_i\), and write \(l=4\) +for the top mixer and \(l=2\) for either other mixer. In a uniform +partition into \(l\) labeled equal subblocks, prescribe the counts of +the three categories +\[ + D,\qquad A_i\setminus D,\qquad M_i\setminus A_i +\] +to be respectively the smaller-mask counts, their prescribed +complementary counts, and an equal split of the outside category. +These vectors fill every block exactly. In a top block their counts +are \(c_a,g/2-c_a,g/2\); in a local block they are +\(a_{jr},s/2-a_{jr},s/2\). The divisibility of \(m\) by eight makes +all these complementary counts integral. Each category's counts are +as equal as possible. For \(v\) objects, +a most balanced multinomial coefficient is maximal, since transferring +one object from a larger count to a count smaller by at least two +increases the coefficient. There are at most \((v+1)^l\) possible +count vectors, and their coefficients sum to \(l^v\). Each of our +three favorable coefficients is therefore at least +\(l^v/(v+1)^l\). Dividing their product by the multinomial coefficient +for the whole partition, which is at most \(l^m\), shows that \(D\) +survives with probability at least +\[ + (m+1)^{-3l}\ge u^{-3l}. +\] +This survival ensures the finer counts for both \(D\) and its +complement in \(A_i\). + +Let \(Z\in[0,1]\) be the surviving fraction of a representative +family. If \(\mathbb EZ\ge p\), then +\(\mathbb EZ\le p/2+\Pr[Z\ge p/2]\); hence +\(\Pr[Z\ge p/2]\ge p/2\). Apply this with \(p=u^{-3l}\). +The three subblock partitions are independent, so with further +probability at least \(u^{-24}/8\ge u^{-25}\), all three retain +these fractions. Let \(X_i\) consist of the distinct signed weights of +the surviving smaller masks, retaining their associated masks. For +sufficiently large \(n\), +\begin{equation}\label{surv:representative-count} + |X_i|\ge \frac{2^{L_i}}{u^{14}}. +\end{equation} + +We have now retained many distinct weights whose masks already meet +all cardinality prescriptions. It remains to ensure that the low +modular filters keep compatible choices. The next argument first +bounds collisions under the random moduli, and then exposes the +uniform target residues in the order that fixes the top choice before +its children's choices. + +\emph{Hit occupied low-residue classes.} +This collision-to-occupancy argument is the residue-coverage method of +Austrin, Kaski, Koivisto, and Nederlof~\cite[Proposition~3.5]{AKKN16} +and its product-modulus version in Nederlof and +W\k{e}grzycki~\cite[full version, Lemma~3.2]{NW21}; we give the bounds +for the present nested moduli explicitly. +Expose the prime factors forming \(p_i\). For fixed \(X_i\), +the sum of squares of its residue-class sizes modulo \(p_i\) has +expectation at most +\[ + |X_i|+|X_i|^2u^{10}2^{-L_i} + \le u^{15}|X_i|^2 2^{-L_i}, +\] +by \eqref{eq:filter-bounds} and \eqref{surv:representative-count}. +Markov's inequality and a union bound show that, with probability at +least \(1-3/u\), all three sums of squares are at most +\(u^{16}|X_i|^2 2^{-L_i}\). The moduli need not be independent of +one another. Cauchy--Schwarz gives at least +\begin{equation}\label{surv:occupied-residues} + \frac{2^{L_i}}{u^{16}}\ge \frac{p_i}{u^{16}} +\end{equation} +occupied residues for each \(X_i\). + +First expose \(\rho_0\). Assign a surviving smaller mask +\(D_0\subset A_0\) to L and its complement in \(A_0\) to R. As +\(D_0\) varies, the left solution-parent weight is its weight plus +a fixed term: the selected left background weight and the weight of +\(A_L\). Equation~\eqref{surv:occupied-residues} implies that a +uniform \(\rho_0\bmod p_0\) hits one of these weights with +probability at least \(u^{-16}\). On a hit, fix a representative +deterministically, thereby fixing disjoint top masks and parent weights +\(x_L,x_R=t'-x_L\). + +Splitting \(A_j\) between the two children cannot change parent \(j\)'s +weight: their union still uses all of \(A_j\). For each side \(j\), +assign a surviving smaller mask +\(D_j\subset A_j\) to its first child and the complement to its +second child. The first-child weight is the weight of \(D_j\) plus +a now fixed term from its background and its portion of the top mask. +Expose the independent residues \(\rho_L,\rho_R\). They both hit +possible first-child residues with probability at least \(u^{-32}\). +The second-child filters then follow automatically from +\(p_j\mid p_0\) and the parent filters. All prescribed leaf counts +hold by the surviving subblock choices; the selected solution has no +background cardinality constraint to satisfy. + +The product of the conditional probability lower bounds, for large +\(n\), is at least +\[ + u^{-3}\cdot\frac12\cdot\frac18\cdot u^{-3} + \cdot u^{-25}\cdot\frac12\cdot u^{-48} + \ge u^{-100}. +\] +All choices of representatives on hits may be deterministic analysis +choices. They precede both \(q\) and the separating families. For any +subsequent \(q\), one loop iteration has +\(v_L=x_L\bmod P\) and \(v_R=x_R\bmod P\). +\end{proof} diff --git a/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/paper.pdf b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/paper.pdf new file mode 100644 index 0000000000000000000000000000000000000000..e10af466bf74c50a3c383fb610bd9b404e55ef90 --- /dev/null +++ b/preprints/A-Low-Space-Algorithm-for-Worst-Case-Subset-Sum-September-26-2026/paper.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:88f951cb233cf765b963cc3881f761846175bf5932649404d6ef3f69756d78ce +size 503282 diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/README.md b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..2659e8811baf8d34ab40825ff47d65373f62685d --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/README.md @@ -0,0 +1,18 @@ +# [A Modulus Proof of Cannon’s Conjecture](paper.pdf) + +**Author:** OpenAI + +**Date:** September 23, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026, + author = {{OpenAI}}, + title = {{A Modulus Proof of Cannon's Conjecture}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/paper.pdf}{OAI:A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/bibliography.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/bibliography.tex new file mode 100644 index 0000000000000000000000000000000000000000..fb3fda580f68b6f7948ebc21d3504d52fa4a56d7 --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/bibliography.tex @@ -0,0 +1,141 @@ +\begin{thebibliography}{99} + +\bibitem{Agol} +I.~Agol, The virtual Haken conjecture, with an appendix by +I.~Agol, D.~Groves, and J.~Manning, +\emph{Doc. 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A I Math.} \textbf{5} (1980), 73--78. +\href{https://doi.org/10.5186/aasfm.1980.0530}{doi:10.5186/aasfm.1980.0530}. + +\end{thebibliography} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/figures/level-continuum.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/figures/level-continuum.tex new file mode 100644 index 0000000000000000000000000000000000000000..f53e9c7ec1f27c6ef626204bc79449616136f875 --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/figures/level-continuum.tex @@ -0,0 +1,50 @@ +\begin{figure}[htbp] +\centering +\begin{tikzpicture}[x=1cm,y=1cm,font=\small, + line cap=round,line join=round,>=Stealth] + \definecolor{levelblue}{RGB}{54,101,125} + \definecolor{levelochre}{RGB}{164,111,48} + \fill[black!3] (0,1.25) rectangle (7,1.72); + \fill[black!3] (0,-1.72) rectangle (7,-1.25); + \draw[black!45] (0,-1.72) rectangle (7,1.72); + \draw[black!45] (0,1.25)--(7,1.25) (0,-1.25)--(7,-1.25); + \node at (1.9,1.49) {top band: $H_N=0$}; + \node at (1.9,-1.49) {bottom band: $H_N=1$}; + \node[anchor=north west,text=black!65] at (.10,1.15) {$\mathcal Q$}; + \draw[levelblue,line width=2pt] + (0,.13)--(.37,.03)--(.69,.19)--(1.04,.05)--(1.34,.20) + --(1.64,-.04)--(1.98,.08)--(2.28,-.09)--(2.60,.04) + --(2.91,-.13)--(3.19,.06)--(3.53,-.09)--(3.84,.09) + --(4.16,-.02)--(4.48,.15)--(4.81,.01)--(5.13,.18) + --(5.47,.04)--(5.80,.20)--(6.10,.05)--(6.41,.20) + --(6.70,.08)--(7,.20); + \draw[levelblue,line width=1.1pt] + (1.34,.20)--(1.42,.37)--(1.59,.32) + (2.28,-.09)--(2.18,-.28)--(2.38,-.24) + (4.81,.01)--(4.89,-.21)--(5.03,-.15) + (6.10,.05)--(6.04,-.14)--(6.22,-.19); + \node[levelblue,anchor=south] at (1.95,.40) {$C_{N,t}\subset\{H_N=t\}$}; + \draw[levelochre,dashed,thick] + (4.9,1.72) .. controls (4.4,1.32) and (3.88,1.29) .. (3.72,.79); + \draw[levelochre,thick] + (3.72,.79) .. controls (3.50,.34) and (4.24,-.24) .. (4.10,-.80); + \draw[levelochre,dashed,thick] + (4.10,-.80) .. controls (4.00,-1.24) and (4.94,-1.29) .. (5.1,-1.72); + \fill[levelochre] (3.72,.79) circle (1.5pt) (4.10,-.80) circle (1.5pt); + \node[anchor=west] at (3.96,.74) {$H_Nt$}; + \node[levelochre,anchor=west] at (4.27,-.46) {$\eta$}; + \node[anchor=west,text=black!85,align=left] at (7.32,.82) + {strict-side\\extension}; + \draw[black!65,thin] (7.2,.86)--(5.10,1.18); + \node[anchor=west,text=black!85,align=left] at (7.32,-.85) + {strict-side\\extension}; + \draw[black!65,thin] (7.2,-.82)--(5.05,-1.36); +\end{tikzpicture} +\caption{A separating level continuum and a straddling path. The dashed +extensions stay in the strict sublevel and superlevel sets and complete +$\eta$ to a top-to-bottom crossing. That crossing meets $C_{N,t}$, so +$\eta$ itself meets $C_{N,t}$. The continuum is drawn schematically; +neither smoothness nor path connectedness is assumed.} +\label{fig:level-continuum} +\end{figure} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/figures/pair-cost.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/figures/pair-cost.tex new file mode 100644 index 0000000000000000000000000000000000000000..a7cb57ad0e155388121ebfdb49040ad878298818 --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/figures/pair-cost.tex @@ -0,0 +1,54 @@ +\begin{figure}[htbp] +\centering +\begin{tikzpicture}[x=1cm,y=1cm,font=\small, + line cap=round,line join=round,>=Stealth] + \definecolor{costblue}{RGB}{54,101,125} + \definecolor{costochre}{RGB}{164,111,48} + \node[font=\bfseries] at (2.75,4.95) {Source}; + \node[font=\bfseries] at (11.40,4.95) {Target}; + + \fill[costblue!5] (3.25,2.80) circle (1.10); + \draw[costblue,thick] (3.25,2.80) circle (1.10); + \draw[costblue,dashed,thick] (3.25,2.80) circle (.52); + \node[costblue,anchor=south] at (3.25,4.00) {$\mathcal D_{ij}$}; + \fill[black!70] (.55,2.80) circle (1.8pt); + \node[anchor=north] at (.55,2.54) {$x_i$}; + \draw[black!40,thin] (3.25,2.73)--(3.25,1.47); + \fill[costblue] (3.25,2.80) circle (1.8pt); + \node[anchor=north] at (3.25,1.37) {$z_{ij}$}; + \node[align=center] at (2.75,.57) + {$h_i^{-1}E_j\subseteq\overline B(z_{ij},s_{ij})$}; + \node[align=center] at (2.75,.05) + {$s_{ij}\asymp R^2/d_{ij}^{\,2}$}; + + \draw[black!85,thick,->] (5.55,2.80)--(7.25,2.80) + node[midway,above=5pt] {$h_i$}; + + \fill[costochre!7] (9.00,2.80) circle (.50); + \fill[costochre!7] (13.20,2.80) circle (.50); + \draw[costochre,thick] (9.00,2.80) circle (.50); + \draw[costochre,thick] (13.20,2.80) circle (.50); + \draw[costblue,dashed,thick] (13.20,2.80) circle (1.10); + \node[costochre,anchor=south] at (9.00,3.57) {$E_i$}; + \node[costochre,anchor=west] at (14.50,3.65) {$E_j$}; + \draw[costochre!75,thin] (14.38,3.57)--(13.51,3.19); + \draw[black!40,thin] (9.00,2.73)--(9.00,1.47); + \draw[black!40,thin] (13.20,2.73)--(13.20,1.47); + \fill[costochre] (9.00,2.80) circle (1.8pt); + \fill[costochre] (13.20,2.80) circle (1.8pt); + \node[anchor=north] at (9.00,1.37) {$p_i$}; + \node[anchor=north] at (13.20,1.37) {$p_j$}; + \draw[black!85,<->] (9.00,.76)--(13.20,.76) + node[midway,below=3pt] {$d_{ij}\gg R$}; + \node[costblue,align=center] at (11.10,-.30) + {$h_i\mathcal D_{ij}\subseteq\overline B(p_j,C_3R)$}; +\end{tikzpicture} +\caption{The measure cost of a far pair. The dashed source ball contains +$h_i^{-1}E_j$ and has radius $s_{ij}\asymp R^2/d_{ij}^2$. +Its fixed enlargement $\mathcal D_{ij}$, drawn solid, still maps into +the dashed target ball of radius $C_3R$. Here $p_i=h_i z_0$, $z_{ij}=h_i^{-1}p_j$, and +$E_i,E_j$ are the solid puncture balls of radius $A_hR$. +The circles are schematic; no connectedness or boundary regularity of +metric balls is assumed.} +\label{fig:pair-cost} +\end{figure} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/main.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..58bb81a34624fe3e386aa907e3852ba8cf471928 --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/main.tex @@ -0,0 +1,321 @@ +\documentclass[11pt]{article} +\usepackage[T1]{fontenc} +\usepackage{lmodern} +\usepackage[margin=1.05in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{microtype,enumitem,booktabs,aliascnt,flafter} +\usepackage[dvipsnames]{xcolor} +\usepackage{tikz} +\usetikzlibrary{arrows.meta,calc,positioning} +\usepackage{needspace} +\usepackage{hyperref} +\usepackage[nameinlink,noabbrev,capitalise]{cleveref} +\hypersetup{colorlinks=true,linkcolor=MidnightBlue,citecolor=MidnightBlue, + urlcolor=MidnightBlue,pdftitle={A Modulus Proof of Cannon’s Conjecture}, + pdfauthor={OpenAI},bookmarksdepth=2} +\numberwithin{equation}{section} +\newtheorem{theorem}{Theorem}[section] +\newaliascnt{proposition}{theorem} +\newtheorem{proposition}[proposition]{Proposition} +\aliascntresetthe{proposition} +\newaliascnt{lemma}{theorem} +\newtheorem{lemma}[lemma]{Lemma} +\aliascntresetthe{lemma} +\newaliascnt{corollary}{theorem} +\newtheorem{corollary}[corollary]{Corollary} +\aliascntresetthe{corollary} +\theoremstyle{definition} +\newaliascnt{definition}{theorem} +\newtheorem{definition}[definition]{Definition} +\aliascntresetthe{definition} +\theoremstyle{remark} +\newaliascnt{remark}{theorem} +\newtheorem{remark}[remark]{Remark} +\aliascntresetthe{remark} +\crefname{lemma}{Lemma}{Lemmas} +\Crefname{lemma}{Lemma}{Lemmas} +\crefname{proposition}{Proposition}{Propositions} +\Crefname{proposition}{Proposition}{Propositions} +\crefname{corollary}{Corollary}{Corollaries} +\Crefname{corollary}{Corollary}{Corollaries} +\crefname{definition}{Definition}{Definitions} +\Crefname{definition}{Definition}{Definitions} +\crefname{remark}{Remark}{Remarks} +\Crefname{remark}{Remark}{Remarks} +\newcommand{\RR}{\mathbb R} +\newcommand{\NN}{\mathbb N} +\newcommand{\ZZ}{\mathbb Z} +\newcommand{\HH}{\mathbb H} +\newcommand{\Sphere}{\mathbb S^2} +\newcommand{\cF}{\mathcal F} +\newcommand{\cQ}{\mathcal Q} +\newcommand{\Qhat}{\widehat{\mathcal Q}} +\DeclareMathOperator{\Mod}{Mod} +\DeclareMathOperator{\osc}{osc} +\DeclareMathOperator{\diam}{diam} +\DeclareMathOperator{\dist}{dist} +\DeclareMathOperator{\id}{id} +\DeclareMathOperator{\Isom}{Isom} +\DeclareMathOperator{\Stab}{Stab} +\setlist{topsep=4pt,itemsep=2pt,parsep=0pt} +\setlength{\emergencystretch}{1em} + +\title{A Modulus Proof of Cannon's Conjecture} +\author{OpenAI} +\date{September 23, 2026} + +\begin{document} +\maketitle +\begin{abstract} +We prove that every hyperbolic group whose boundary is homeomorphic to +the two-sphere admits a proper cocompact isometric action on hyperbolic +three-space with finite kernel. This resolves Cannon's conjecture +positively. +\end{abstract} + +\setcounter{tocdepth}{1} +\tableofcontents +\newpage + +\section{Introduction} +\label{sec:introduction} + +Cannon's conjecture asks whether a hyperbolic group whose boundary is a +topological two-sphere acts geometrically on hyperbolic three-space. +It links the topology at infinity of a group to its three-dimensional +geometry. Here a group is \emph{hyperbolic} if a Cayley graph for a +finite generating set has uniformly thin geodesic triangles; its boundary +consists of asymptotic classes of geodesic rays, with the usual visual +topology. An isometric action is \emph{geometric} if it is proper and +cocompact. + +The following theorem resolves Cannon's conjecture positively. + +\begin{theorem}[Cannon's conjecture] +\label{thm:main} +Let $G$ be a hyperbolic group with $\partial G$ homeomorphic to $\Sphere$. +There is a homomorphism $\rho:G\to\Isom(\HH^3)$ for which the action +on $\HH^3$ is proper and cocompact. Its kernel is finite. +\end{theorem} + +Properness means that $\{g\in G:\rho(g)K\cap K\ne\varnothing\}$ is +finite for every compact $K\subset\HH^3$; cocompactness means that one +compact set has translates covering $\HH^3$. A finite kernel is allowed, and the image may contain orientation-reversing +isometries. In particular, the theorem does not require a choice of +orientation preserved by $G$. + +For torsion-free $G$, the quotient is a closed hyperbolic +three-manifold, possibly nonorientable. We prove this consequence and +the resulting virtual-structure statements in \Cref{sec:consequences}. + +\paragraph{History and the classical reduction.} +Cannon's 1994 combinatorial Riemann mapping theorem grew out of the +problem of finding an analytic structure on a sphere supplied only +with combinatorial boundary data. It recovers quasiconformal +coordinates from discrete annular moduli \cite[pp.~155--160]{Cannon}. +In their 1998 paper, Cannon--Swenson stated the group-boundary conjecture +and related a geometric action to conformality of the canonical boundary coverings +\cite[Theorem 5.1 and Conjecture 5.1]{CannonSwenson}. +Cannon--Floyd--Parry showed in 1999 that it suffices to find, around +each point in every prescribed neighborhood, an annulus whose discrete +moduli for separating curves stay bounded away from zero +\cite[Theorem 8.2]{CFP}. +Their finite subdivision rules provide a related framework for recursive +planar tilings \cite{CFPFiniteSubdivision}. +These works turn the topological problem into quantitative control of +crossings at small scales. + +Bonk--Kleiner's uniformization theory gives a metric formulation of +this program \cite{BK}. We use the precise criterion in +Bourdon--Kleiner \cite[Corollary 3.5]{BourdonKleiner}: on an +approximately self-similar metric sphere, a uniform bound for the +combinatorial $2$-modulus of all continuous curves of a fixed sufficiently +small minimum diameter yields a quasi-M\"obius parametrization by the +round sphere. The visual boundary has the required self-similarity. +Thus the remaining analytic task is an upper modulus bound for its +fixed-scale coverings. The criterion and its hypotheses are verified +in \Cref{thm:uniformization}. + +A related route uses \emph{Ahlfors regular conformal dimension}: the +infimum of the Hausdorff dimensions of Ahlfors regular metrics +quasisymmetric to the visual metric. This is a version of the +boundary invariant introduced by Pansu \cite{Pansu1989}. +Bonk--Kleiner proved Cannon's conjecture when that infimum is attained +\cite[Theorem 1.1]{BKConformalDimension}; their argument connects the +minimizing metric to quantitative curve families through the Loewner +property \cite[Theorem 1.3]{BKConformalDimension}. The existence of a +minimizing metric is a hypothesis of that criterion. + +The algebraic approaches connect surface subgroups, cubulations, and +Kleinian realizations. Kahn--Markovi\'c constructed almost geodesic +surface subgroups in closed orientable hyperbolic three-manifold groups +\cite[Theorems 1.1--1.2]{KahnMarkovic}. Bergeron--Wise used this +abundance to cubulate those groups, and more generally proved that +quasiconvex codimension-one subgroups separating every distinct boundary +pair yield a proper cocompact cubical action +\cite[Theorem 1.4 and Section 5]{BergeronWise}. +Agol proved virtual specialness for hyperbolic groups with such an +action \cite[Theorem 1.1]{Agol}; these results give the consequences +recorded in \Cref{sec:consequences} once a hyperbolic three-manifold +realization is known. + +In the recognition direction, Markovi\'c showed that enough +quasiconvex surface subgroups separating every boundary pair give a +Kleinian realization for groups whose sphere-boundary action is faithful +and orientation-preserving \cite[Theorem 1.1]{Markovic}. +Ha\"issinsky established a virtual Kleinian criterion for cubulated +hyperbolic groups with planar boundary \cite[Theorem 1.10]{Haissinsky}. +More recently, Groves, Ha\"issinsky, Manning, Osajda, Sisto, and Walsh +constructed group-theoretic drillings and showed that the Toral Relative +Cannon conjecture implies a virtual Kleinian realization for every +residually finite hyperbolic group with sphere boundary +\cite[Theorems A--B and Corollary C]{Drilling}. +The present proof follows the analytic route, establishing the required +modulus bound directly from hyperbolicity and the topology of the boundary. + +After boundary uniformization, the invariant-conformal-structure method +of Sullivan and the detailed circumcenter construction of Tukia +straighten the action \cite{Sullivan,Tukia}. +We state the analytic inputs at their point of use and include the +short argument with unoriented conformal structures, so that +orientation-reversing elements are retained. Properness and +cocompactness then follow from the boundary action on ordered triples +(\Cref{prop:action}). + +\paragraph{The proof in outline.} +Fix a visual metric on $Z=\partial G$. At scale $a^{-n}$, where $a>1$, +cover $Z$ by balls centered on a separated net. Assign nonnegative +weights to the balls so that every path of a fixed minimum diameter +meets balls of total weight at least one. Let $M(n)$ be the least sum +of squared weights. The classical criterion reduces the theorem to +\[ + \sup_n M(n)<\infty. +\] +Assume this fails. Record indices permit comparison of $M(N-l)$ +with $M(N)$, and lead to two growth cases. + +First, crossing duality in a coordinate rectangle produces weights +with squared sum $O(M(N)^{-1})$. A planar regularization turns them +into continuous functions $H_N$ on a slightly enlarged rectangle, +with separating level continua of uniformly positive diameter. +Annular estimates give a nonconstant locally uniform limit $u$ and +a finite measure $\mu$ such that +\[ + \bigl(\osc_{\overline B(x,s)}u\bigr)^2 + \le C\mu\bigl(\overline B(x,C_\mu s)\bigr). +\] +The approximants retain vanishing local squared oscillation sums +after every \emph{fixed} group transformation. A finite-cell +inequality compares two such functions by sweeping through the +separating levels. This is the analytic construction in +\Cref{sec:scalar}. + +The growth of the record moduli determines how we use this scalar +limit. Exponential growth makes $u$ locally H\"older, which allows +normalized magnifications of its variation to converge to a nonconstant +function on a punctured sphere. The level comparison forces each transform with a different +puncture to be constant on the variation set of the first. A second +magnification contradicts this constraint (\Cref{sec:exponential}). + +For subexponential growth, we use the measure bound to distribute +variation among many balls. A tree of separated balls carries nested +value intervals and a probability flow. The transition probabilities +obey linear and quadratic bounds in the ratio of child to parent +interval lengths. These bounds force a definite total probability, +at arbitrarily deep levels, onto nodes with two separated regions of variation +(\Cref{sec:flow}). At a common depth, many expansions have the same +two target regions but distinct punctures. Comparing them in pairs +charges more mass to small balls than their overlap allows +(\Cref{sec:pairs}). This excludes the remaining case. + +Discrete crossing duality is +part of the extremal-length theory developed in +\cite{Schramm,CFPSquaring}. The finite incidence-vector identity is +also the probabilistic modulus formula of +Albin--Poggi-Corradini \cite[Theorem 5.1]{AlbinPoggiCorradini}; we +reprove it in the notation of our cell covers. Pansu's coarse conformal geometry uses +image-diameter energies and condenser capacities \cite[\S6]{Pansu1989}. +Scalar extremals and separating levels also enter Rajala's +uniformization of metric surfaces \cite[Sections 4--6]{RajalaUniformization}. +Here two path envelopes produce the required continua while preserving +finite-cell oscillation bounds. The subsequent level integrations and +pair counts are proved directly for the visual boundary. The two growth +branches use this same scalar construction, and their combination +finishes the theorem in \Cref{sec:completion}. + +\paragraph{Conventions.} +A path is a continuous map of a compact interval, identified with its +image when convenient. A continuum is a +nonempty compact connected set; it need not be path connected. +$B(x,r)$ is open and $\overline B(x,r)=\{y:d(x,y)\le r\}$ is closed. +For real $f$, write $\osc_A f=\sup_A f-\inf_A f$. +Constants in $\lesssim$ and $\asymp$ are independent of the scale +indices being varied. Dependence on a compact region, a fixed group +element, or a subdivision parameter is specified where needed. + +\input{sections/01_geometry} +\input{sections/02_scalar} +\input{sections/03_exponential} +\input{sections/04_flow} +\input{sections/05_pairs} + +\section{Completion of the proof} +\label{sec:completion} + +\begin{proof}[Proof of \Cref{thm:main}] +If $M(n)$ were unbounded, the record selection of \Cref{sec:scalar} +would give either exponential records, excluded by +\Cref{prop:no-exponential-records}, or subexponential growth, +excluded by \Cref{prop:no-subexponential-records}. Thus $\sup_n M(n)<\infty$. +\Cref{thm:uniformization} uniformizes the boundary, and +\Cref{prop:action} supplies the proper cocompact action with finite kernel. +\end{proof} + +\section{Consequences} +\label{sec:consequences} + +\begin{corollary} +\label{cor:torsion-free} +If $G$ is a torsion-free hyperbolic group and $\partial G$ is homeomorphic to $\Sphere$, +then $G$ is the fundamental group of a closed hyperbolic three-manifold. +\end{corollary} +\begin{proof} +Point stabilizers in a proper action are finite, hence trivial when +$G$ is torsion-free. Thus the action in \Cref{thm:main} is free, and +$\HH^3/G$ is a closed hyperbolic three-manifold with fundamental group +$G$. The manifold may be nonorientable. +\end{proof} + +\begin{corollary}[Virtual structure in the torsion-free case] +\label{cor:virtual-structure} +Let $G$ be a torsion-free hyperbolic group with $\partial G$ homeomorphic +to $\Sphere$. Some finite-index subgroup of $G$ is isomorphic to +$\pi_1(\Sigma)\rtimes\ZZ$ for a closed connected orientable surface +$\Sigma$. In particular, $G$ has positive virtual first Betti number. +Moreover, $G$ is virtually compact special and residually finite. +\end{corollary} +\begin{proof} +Let $M^+$ be the orientation cover of the closed hyperbolic manifold in +\Cref{cor:torsion-free}, using the manifold itself when it is orientable, +and let $G^+=\pi_1(M^+)$. Thus $G^+$ is normal of index at most two in +$G$. Agol's virtual-fibering theorem +\cite[Theorem 9.2]{Agol} gives a connected finite cover $N$ of $M^+$ +fibering over the circle with closed connected orientable fiber $\Sigma$. +The fibration sequence gives +$\pi_1(N)\cong\pi_1(\Sigma)\rtimes\ZZ$, with action induced by the +monodromy, and its surjection onto $\ZZ$ gives $b_1(\pi_1(N))\ge1$. + +Bergeron--Wise's cubulation theorem \cite[Theorem 5.3]{BergeronWise} +gives a proper cocompact action of $G^+$ on a CAT(0) cube complex, free +because $G^+$ is torsion-free. Agol's virtual-special theorem +\cite[Theorem 1.1]{Agol} then gives a finite-index subgroup of $G^+$ +with compact special quotient, so $G$ is virtually compact special. +Agol's separability corollary \cite[Corollary 1.3]{Agol}, applied to the +trivial subgroup, also makes $G^+$ residually finite. The finite quotient +$G/G^+$ and intersections of the finitely many $G$-conjugates of +finite-index normal subgroups of $G^+$ then separate every nontrivial +element of $G$. +\end{proof} + +\input{bibliography} +\end{document} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/01_geometry.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/01_geometry.tex new file mode 100644 index 0000000000000000000000000000000000000000..fbc44a2fd526b9718d59dae0853e6e440bb00a33 --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/01_geometry.tex @@ -0,0 +1,293 @@ +\section{Boundary geometry and the modulus criterion} +\label{sec:geometry} + +We collect the geometric estimates used throughout the proof, then state +the classical uniformization input. Let $\Gamma$ be the Cayley graph of +$G$ for a finite symmetric generating set, with unit edge lengths. Write +$e$ for its identity vertex and $|v|=d_\Gamma(e,v)$. +The Gromov product is +\[ + (y|z)_o=\tfrac12\bigl(d_\Gamma(o,y)+d_\Gamma(o,z)-d_\Gamma(y,z)\bigr). +\] +Boundary products are defined by limits along rays, up to a uniformly +bounded additive error. A visual metric $d$ on $Z=\partial G$ satisfies +\begin{equation} + C_v^{-1}a^{-(y|z)_e}\le d(y,z)\le C_va^{-(y|z)_e}, + \qquad y\ne z, + \label{eq:visual} +\end{equation} +for some $a>1$. Set $r_k=a^{-k}$ for integers $k\ge0$. +We use the standard product inequality +$(y|z)_e\ge\min\{(y|w)_e,(w|z)_e\}-O(1)$ and its geometric form: +geodesics with product at least $j-C$ stay a bounded synchronous +distance apart through depth $j$, provided both have that length. +The bound depends on $C$ and the +hyperbolicity constant. These facts, visual metrics, and thin ideal +triangles are recalled in \cite[III.H.3]{BH}. + +\subsection{Expansions} + +Left multiplication by the inverse of a vertex far along a ray magnifies +a small boundary ball. The following formula also controls the complement +of that ball; this second feature will be essential. + +\begin{lemma}[Expansion formula] +\label{lem:expansion} +Let $v$ be the depth-$k$ vertex on a based ray to $x\in Z$, put +$h=v^{-1}$ and $R=r_k$, and set $D_y=\max\{R,d(x,y)\}$. +There are constants $c_E,C_E>0$, independent of these choices, such that +\begin{equation} + c_E\frac{R\,d(y,z)}{D_yD_z} + \le d(hy,hz)\le C_E\frac{R\,d(y,z)}{D_yD_z}. + \label{eq:expansion} +\end{equation} +In particular, on $B(x,CR)$ the map $h$ is bi-Lipschitz with scale +factor $R^{-1}$ and distortion depending only on $C$. +If $d(x,z_0)\ge\varepsilon_*>0$, $R<\varepsilon_*/2$, and $p=hz_0$, then +\begin{equation} + d(hy,p)\lesssim R/D_y\quad(y\in Z),\qquad + d(hy,p)\asymp R/D_y\quad(d(x,y)\le\varepsilon_*/2), + \label{eq:puncture} +\end{equation} +and +\begin{equation} + (v^{-1}|p)_e\ge k-C(\varepsilon_*). + \label{eq:inverse-prefix} +\end{equation} +The constants in the last two estimates may depend on $\varepsilon_*$. +\end{lemma} +\begin{proof} +Base change and thin triangles give +\[ + (y|z)_v=(y|z)_e+k-(v|y)_e-(v|z)_e+O(1), + \qquad (v|y)_e=\min\{k,(x|y)_e\}+O(1). +\] +Thus $a^{-(v|y)_e}\asymp D_y$. Exponentiating the first identity +and using $(hy|hz)_e=(y|z)_v+O(1)$ proves +\eqref{eq:expansion}. With $z=z_0$, the factor $D_{z_0}$ is bounded +above and below, and $d(y,z_0)$ is bounded above. When +$d(x,y)\le\varepsilon_*/2$, the latter is also bounded below. +This proves \eqref{eq:puncture}. Finally, +$(v^{-1}|v^{-1}z_0)_e=k-(v|z_0)_e+O(1)$, and +$(v|z_0)_e$ is bounded in terms of $\varepsilon_*$. +\end{proof} + +\begin{lemma}[Prefixes] +\label{lem:prefix} +Every vertex $v$ lies a uniformly bounded distance from a depth-$|v|$ +vertex on a based ray. With that ray's endpoint as $x$, +\eqref{eq:expansion} remains valid for $h=v^{-1}$ and $R=r_{|v|}$, +with uniform constants. Moreover: +\begin{enumerate}[label=\textup{(\roman*)}] +\item If $d(\xi,\eta)\le Cr_j$, depth-$j$ vertices on any based +rays to $\xi,\eta$ are a bounded distance apart, depending only on $C$. +\item If $|v|=k$ and $(v|\xi)_e\ge k-C$, every geodesic from $e$ +to $v$ stays a bounded synchronous distance from a ray to $\xi$ +through depth $k$. +\end{enumerate} +\end{lemma} +\begin{proof} +Translate a bi-infinite geodesic so that it passes through $v$. +The ideal triangle with third vertex $e$ puts $v$ uniformly near one +of its based sides; the nearby parameter differs from $|v|$ by a +bounded amount. A bounded change of basepoint changes products by a +bounded amount, preserving \eqref{eq:expansion}. The two remaining +assertions follow from \eqref{eq:visual} and the product estimate. +\end{proof} + +Each fixed $g\in G$ acts bi-Lipschitzly on $Z$, with a constant +depending on $g$. The whole action is uniformly quasi-M\"obius: +base-change factors cancel in distance cross-ratios, giving a single +$C\ge1$ such that +\[ + C^{-1}\frac{d(x,z)d(y,w)}{d(x,w)d(y,z)} + \le\frac{d(gx,gz)d(gy,gw)}{d(gx,gw)d(gy,gz)} + \le C\frac{d(x,z)d(y,w)}{d(x,w)d(y,z)} +\] +for every distinct quadruple and every $g$. + +\subsection{Packing and paths} + +\begin{lemma}[Packing] +\label{lem:packing} +There are $Q\ge2$ and $C_P<\infty$ such that an $s$-separated subset +of a ball of radius $t$ has at most $C_P(t/s)^Q$ points whenever +$01$ depends on the valence. Endpoints whose +rays share such a vertex are at visual distance at most $C'r_{k+j}$. +Choose the least $j\ge0$ with $C'r_{k+j}0$ +with its $L\varepsilon$-neighborhood in $V$. Connectedness supplies +a finite $\varepsilon$-chain in $C$ between any two specified +points: the set reachable by such chains is relatively clopen. +Join consecutive points by the first assertion. +\end{proof} + +\subsection{The classical reduction} + +Choose a maximal $r_n$-separated set $T_n\subset Z$ and its cells +$B(q,2r_n)$, $q\in T_n$. These cover $Z$; fixed enlargements have +bounded overlap. For a path family $\mathcal F$, define +\[ + \Mod_2(\mathcal F,T_n)=\min_{\omega\ge0} + \left\{\sum_{q\in T_n}\omega(q)^2: + \sum_{B(q,2r_n)\cap\pi\ne\varnothing}\omega(q)\ge1 + \text{ for every }\pi\in\mathcal F\right\}. +\] +Only finitely many incidence vectors occur, so the minimum exists. +Fix a sufficiently small $d_0>0$ and put +\begin{equation} + \mathcal F_0=\{\pi:\diam\pi\ge d_0\},\qquad + M(n)=\Mod_2(\mathcal F_0,T_n). + \label{eq:macro-modulus} +\end{equation} +We require $d_0<\diam Z/10$ and choose it so that every path of +diameter at least $R/2$ in $\overline B(x,3R)$ has image diameter +at least $d_0$ under a scale-$R$ expansion. This is possible by +\eqref{eq:expansion}. We also impose the smallness requirement in +\Cref{thm:uniformization} before fixing $d_0$ and $M(n)$. +The family is nonempty, and $02a$: the inner balls of radius $2^{-m}/\kappa$ +are disjoint, each is contained in its cell, and each cell is +contained in the radius-$\kappa2^{-m}$ ball about its center. +The modulus is exactly $M(n)$. Finitely many coarse scales have +finite modulus. No Coxeter-group assumption occurs in this criterion. +\end{proof} + +\begin{proposition}[From the boundary to hyperbolic space] +\label{prop:action} +If $(Z,d)$ is quasi-M\"obius homeomorphic to the round sphere, +then $G$ admits a proper cocompact isometric action on $\HH^3$ +with finite kernel. +\end{proposition} +\begin{proof} +Let $\psi:Z\to\Sphere$ be the uniformizing homeomorphism and write +$\mathcal G=\{\psi g\psi^{-1}:g\in G\}$. The boundary cross-ratio estimate +and the two fixed maps $\psi,\psi^{-1}$ give one quasi-M\"obius distortion +function for every element of $\mathcal G$. Fix $f\in\mathcal G$ and $x\in\Sphere$, +keep a fourth point away from $x$, and let two points at equal spherical +distance from $x$ approach $x$. In the cross-ratio inequality the factors +involving the fourth point tend to one, both before and after applying +$f$. Thus the infinitesimal linear distortion has a bound independent +of $f$ and $x$; the radius at which the estimate is accurate need not +be uniform in $f$. The metric characterization of planar +quasiconformality, applied in conformal charts, makes each $f$ +quasiconformal. At its almost-everywhere nonsingular differentiability +points, the same infinitesimal bound controls the ratio of singular values +of $Df$, and hence its analytic dilatation. This gives a common +quasiconformal bound. For a reversing map apply the characterization +after a conformal reflection; see \cite[Theorems 2.5.3--2.5.4]{AIM} +and the metric characterization in \cite[Theorem 1.4 and Remark 1.8(b)]{HK}. + +We recall explicitly the invariant-structure argument, including +orientation reversal. This is the invariant-conformal-structure method of +Sullivan, with the circumcenter construction detailed by Tukia +\cite[pp.~73--76]{Tukia}. Analytic quasiconformal maps have +almost-everywhere defined nonsingular weak differentials, and they and +their inverses preserve null sets \cite[Theorem 3.1.2]{AIM}. +Their differentials satisfy the almost-everywhere composition rule +\cite[Lemma 10 and Theorem 5]{AhlforsBers}. +Since $\mathcal G$ is countable, remove the $\mathcal G$-orbit +of the union of all exceptional sets for these assertions and for all +pairs of maps. Its complement $X$ is invariant and conull. At $x\in X$, +let $\mathcal C_x$ be the space of positive definite quadratic forms on +$T_x\Sphere$ modulo positive scalars. This is a hyperbolic plane, and +pullback by any invertible linear map, of either orientation, is an +isometry between the corresponding fibers +\cite[Section 2.3, equations (2.17)--(2.18) and Theorem 2.3.2]{AIM}. The orbit +$\{f^*q_{\rm round}(x):f\in\mathcal G\}\subset\mathcal C_x$ is uniformly +bounded, by the common quasiconformal bound, and contains the round +form. Its unique hyperbolic circumcenter defines a uniformly bounded +measurable conformal structure $q(x)$. Indeed, circumcenters of the +increasing finite subsets from an enumeration are measurable and +converge to that circumcenter: their radii increase, their centers stay +in a fixed compact ball, and every subsequential limit is the unique +center of the whole orbit. The composition rule permutes this orbit +under pullback, so $f^*q=q$ on $X$ for every $f\in\mathcal G$. Extend $q$ +arbitrarily across the null complement of $X$. + +The measurable Riemann mapping theorem +\cite[Theorem 6]{AhlforsBers} gives a quasiconformal +homeomorphism $F:\Sphere\to\Sphere$ with $F^*q_{\rm round}=q$ almost +everywhere. Invariance and the analytic composition rule show that +every $FfF^{-1}$ is conformal or anticonformal, according to the +orientation of $f$. Such sphere homeomorphisms are M\"obius or +anti-M\"obius. Their unique extensions to hyperbolic isometries therefore +define a homomorphism $\rho:G\to\Isom(\HH^3)$. + +For completeness, properness and cocompactness follow directly +from the action on ordered distinct triples $\mathcal T(Z)$. +On any compact set of triples all pairwise distances are bounded +below. For $|v|\to\infty$, at least two points of such a triple +stay away from the expansion center for $v^{-1}$; their image +distance is $O(r_{|v|})$. Thus $v^{-1}K\cap K=\varnothing$ +eventually for every compact $K\subset\mathcal T(Z)$. +Conversely, expand at one point of a closest pair with scale +comparable to their distance. Formula \eqref{eq:expansion} makes +all three image distances uniformly positive: if the third point +is nearby, all denominator factors have that scale; otherwise +its distances to the pair cancel its denominator factor. +Triples already uniformly separated need no expansion. +Hence the action on triples is proper and cocompact. + +These properties survive boundary conjugacy. Let $I=\Isom(\HH^3)$. +The stabilizer $H$ of a standard ordered boundary triple has two +elements: the identity and reflection in its hyperbolic plane. +Choose $o\in\HH^3$ fixed by $H$, and let $K_o$ be its compact +stabilizer in $I$. The equivariant map +\[ + \mathcal T(\Sphere)\cong I/H\longrightarrow I/K_o\cong\HH^3 +\] +is continuous, onto, and proper: isometries sending $o$ into a +compact set form a compact set. Properness and cocompactness +therefore descend. The kernel fixes $o$, so is finite. +\end{proof} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/02_scalar.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/02_scalar.tex new file mode 100644 index 0000000000000000000000000000000000000000..2525adfe0a57ce29470d5a8dce9851ac64ca93cd --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/02_scalar.tex @@ -0,0 +1,494 @@ +\section{A scalar limit from unbounded modulus} +\label{sec:scalar} + +Assume that the macroscopic moduli $M(n)$ are unbounded. Crossing +duality first gives transverse weights of energy $O(M(n)^{-1})$ along +a subsequence. We turn those weights into continuous functions whose +level continua meet every path straddling the corresponding value. +An annular estimate then yields a nonconstant limit $u$ and a finite +measure controlling its squared oscillation. The approximating functions +retain vanishing local oscillation energy after each fixed group +transformation; later comparisons will use this property as well as the +limit itself. Constants are independent of the approximation index; +thresholds may depend on the fixed compact subset of the domain under +consideration. + +\subsection{Record scales and crossing duality} + +If $\limsup M(n)^{1/n}>1$, choose +$1<\lambda<\limsup M(n)^{1/n}$; otherwise put $\lambda=1$. +In both cases $M(n)/\lambda^n$ is unbounded. Retain increasing record +indices $N$ whose record values tend to infinity. Thus $M(N)\to\infty$ and +\begin{equation} + M(N-l)\leq\lambda^{-l}M(N)\qquad(0\leq l\leq N). + \label{eq:records} +\end{equation} +This inequality survives every further subsequence. + +\begin{lemma}[Localization to a rectangle] +\label{lem:rectangle-localization} +There are coordinate rectangles +$\cQ=[0,1]^2\subset\Qhat=[0,1]\times[-1,2]\subset Z$ and a +subsequence of the record indices such that the left-to-right crossing +modulus of $\cQ$ is at least $cM(N)$, with $c>0$ independent of $N$. +\end{lemma} +\begin{proof} +Cover $Z$ by finitely many coordinate boxes $[-1,1]^2$, each lying in +a chart containing $[-8,8]^2$ of diameter less than $d_0$. A macroscopic +path meeting an inner box must leave its larger box. Follow it to its +first meeting with $\partial[-2,2]^2$. If it exits through $x=2$, +its segment after the last preceding meeting with $x=1$ crosses +$[1,2]\times[-2,2]$ from left to right. The other three exit sides +give analogous strips. Each strip extends by its height in both +transverse directions inside $[-8,8]^2$. + +Consequently there are finitely many crossing families +$\mathcal F_1,\ldots,\mathcal F_J$ such that every macroscopic path +contains a member of one of them. Summing admissible weights gives +\[ + M(N)\leq J\sum_{j=1}^J\Mod_2(\mathcal F_j,T_N) + \leq J^2\max_j\Mod_2(\mathcal F_j,T_N). +\] +One strip realizes this bound along a subsequence. Affine coordinates +give the asserted rectangles. +\end{proof} + +The edge $y=0$ is the top of $\cQ$. The rectangles +$[0,1]\times[-1,0]$ and $[0,1]\times[1,2]$ are its top and bottom +bands, respectively. Coordinates serve only interpolation and topology: +all distances refer to $d$. + +\begin{lemma}[Crossings and blockers] +\label{lem:planar-blocker} +In a closed coordinate rectangle: +\begin{enumerate}[label=\textup{(\roman*)}] +\item every continuum meeting both lateral edges meets every +top-to-bottom path; +\item every compact set meeting all top-to-bottom paths contains +a continuum meeting both lateral edges. +\end{enumerate} +\end{lemma} +\begin{proof} +For (i), suppose a lateral continuum and a top-to-bottom path are +disjoint. Enlarge the rectangle, extending the continuum horizontally +and the path vertically to the corresponding new edges. The extensions +remain disjoint: a new horizontal and vertical segment can meet only at +an original corner, already a common point of the original sets. +Approximate the extended path, within its positive clearance from the +continuum, by a polygonal path with interior in the enlarged rectangle. +After subdivision at intersections it contains a simple polygonal arc +between the top and bottom edges. The Jordan curve theorem, applied +after adjoining a boundary route, shows that this arc separates the +lateral edges. The connected continuum cannot avoid it. + +For (ii), subdivide into finer square grids and mark the closed squares +meeting the blocker $K$. No edge-adjacent chain of unmarked squares +joins top to bottom. Label $A$ the unmarked squares reachable from the +top through unmarked edge-adjacent squares, and append a top row of +$A$ squares. Label all remaining squares and an appended bottom row $B$. +Draw the interfaces between unlike labels. Interior vertices have even +degree; each lateral boundary has an odd number of ends, since its +labels begin with $A$ and end with $B$. There are no top or bottom ends. +Some interface component therefore joins the lateral boundaries: +otherwise every component contributes an even number of ends to the +only lateral boundary it meets. + +Along a path in this component, the adjacent $B$ squares are original +marked squares. An adjacent unmarked square would be reachable, while +an interface with the appended bottom row would give an unmarked +top-to-bottom chain. Successive $B$ squares meet at least at a corner. +Their union is a connected compact lateral crossing. A Hausdorff limit +as the mesh tends to zero is connected, meets both lateral edges, and +lies in $K$. +\end{proof} + +The next finite-dimensional argument belongs to discrete extremal +length. Cannon--Floyd--Parry describe optimal weights through crossing +vectors and their pairing with transverse cuts +\cite[Sections 2.3 and 2.4.3]{CFPSquaring}; the probability formulation +of Albin--Poggi-Corradini gives the same least-norm incidence-vector +identity \cite[Theorem 5.1]{AlbinPoggiCorradini}. We give the argument +for the cell families used here. + +\begin{lemma}[Crossing dual weights] +\label{lem:dual-weights} +For each retained $N$ there are nonnegative weights +$\rho_q=\rho_q^{(N)}$, $q\in T_N$, admissible for top-to-bottom +crossings of $\cQ$, such that +\begin{equation} + \sum_{q\in T_N}\rho_q^2\leq \frac{C}{M(N)}. + \label{eq:dual-energy} +\end{equation} +\end{lemma} +\begin{proof} +Let $P$ minimize Euclidean norm in the convex hull of the finitely many +cell-incidence vectors $v$ of left-to-right crossings. Its coordinates +are nonnegative and sum to at least one, so $P\ne0$. Minimality gives +$\langle P,v\rangle\geq\|P\|^2$, making $P/\|P\|^2$ admissible. +Conversely any admissible $\omega$ satisfies +$\langle\omega,P\rangle\geq1$. Thus the left-to-right modulus is +$\|P\|^{-2}$. By \Cref{lem:planar-blocker}(i), each top-to-bottom +incidence vector has inner product at least one with every $v$, hence +with $P$. Set $\rho=P$ and apply \Cref{lem:rectangle-localization}. +\end{proof} + +\subsection{Continuous functions with separating levels} + +For $\pi\subset\Qhat$ write +$\ell_\rho(\pi)=\sum_{q:B(q,2r_N)\cap\pi\ne\varnothing}\rho_q$. +For $x\in\cQ$, let $b_N(x)$ be the infimum of this cost over paths +from the top edge to $x$ in $\cQ$. Define the raw function +$\min\{1,b_N\}$, assigning exactly zero on the top edge, and extend +it by zero and one to the top and bottom bands. Admissibility gives +value one on the bottom edge. + +Along every path in $\Qhat$, the difference of raw endpoint values is +at most its cost. Inside $\cQ$ this follows by concatenating with +nearly minimizing paths and clipping at one; a path beginning on the +top edge is itself a competitor. A path visiting both bands contains +a crossing of cost at least one. If it visits only the top band, each +endpoint value is bounded by the cost of its segment to that band. +If it visits only the bottom band, each endpoint value is at least one +minus that segment's cost, by concatenation with a top-to-endpoint +competitor. In either case the endpoint difference is bounded by the +cost of the entire path. + +Triangulate $\Qhat$ by a finite coordinate grid containing the band +boundaries, with every triangle of $d$-diameter less than $r_N$. +Interpolate the raw vertex values affinely to obtain a continuous +$U_N^0:\Qhat\to[0,1]$. It is constant on the bands. Continuity alone +does not ensure that one selected level continuum meets every +straddling path. The following two path envelopes give the strict +sublevel and superlevel sets the connections to the bands needed for +that conclusion. Define +\[ + F_N(x)=\inf_{\pi:x\to\mathrm{top}}\max_\pi U_N^0, + \qquad + H_N(x)=\sup_{\pi:x\to\mathrm{bottom}}\inf_\pi F_N, +\] +where paths remain in $\Qhat$ and end in the indicated band. + +\begin{lemma}[Regularization and level continua] +\label{lem:level-continua} +The functions $F_N,H_N$ are continuous, with the prescribed band values, +and for every path $K\subset\Qhat$, +\begin{equation} + \osc_K H_N\leq\osc_K F_N\leq\osc_K U_N^0. + \label{eq:flood-osc} +\end{equation} +For every $00$. +Every path in $\Qhat$ whose endpoint values strictly straddle $t$ +meets $C_{N,t}$. +\end{lemma} +\begin{proof} +We have $F_N\geq U_N^0$ and $H_N\leq F_N$; constant paths give +the band values. Concatenation with nearly optimizing paths gives, +for $x,y\in K$, +\[ + F_N(x)\leq\max\{\max_K U_N^0,F_N(y)\},\qquad + H_N(y)\geq\min\{\inf_K F_N,H_N(x)\}. +\] +If $F_N(x)>F_N(y)$, the first inequality places their values between +$\min_K U_N^0$ and $\max_K U_N^0$. If $H_N(x)>H_N(y)$, the +second places them between $\inf_K F_N$ and $\sup_K F_N$. +This proves \eqref{eq:flood-osc}. Short coordinate segments and +continuity of $U_N^0$ then prove continuity of both functions, +including at the boundary. + +Every point of $\{H_N>t\}$ joins the bottom band within that set: +choose a path with $\inf F_N>t$ and use its tails. Likewise every +point of $\{F_N0$, uniformly for $x\in K$ +and sufficiently large $N$, +\begin{equation} + \osc_{\overline B(x,Jr_N)}H_N + \leq\sum_{\substack{q\in T_N\\d(q,x)\leq C(J)r_N}}\rho_q. + \label{eq:local-osc} +\end{equation} +Here $C(J)$ depends only on $J$ and the ball path constant. +Consequently, for every fixed $g\in G$, compact $K'\subset gU$, +and $J\geq2$, +\[ + \mathcal E_N^{(J)}(H_N\circ g^{-1};K') + \leq\frac{C(g,K',J)}{M(N)}\longrightarrow0. +\] +\end{lemma} +\begin{proof} +Join two points of $\overline B(x,Jr_N)$ inside $B(x,LJr_N)$ +by \Cref{lem:paths}. Vertices of triangles meeting this path lie +in $B(x,(LJ+1)r_N)$; any two such vertices join inside +$B(x,L(LJ+1)r_N)\subset U$ for large $N$. The raw endpoint +inequality bounds every difference of their values by the right side +of \eqref{eq:local-osc}, with $C(J)=L(LJ+1)+3$. It therefore bounds +the interpolant's oscillation along the original path. Apply +\eqref{eq:flood-osc}. + +Squaring and summing costs a bounded factor by \Cref{lem:packing}: +both the number of nearby weights and the number of centers charging +each weight are bounded. The same holds for $br_N$-separated centers, +with constants depending on $b>0$. A fixed $g$ is bi-Lipschitz, +so inverse images of target balls lie in source balls of radius +$C_gJr_N$, their centers are $b_gr_N$-separated, and all these source +balls lie in a fixed compact subset of $U$. The summation bound and +\eqref{eq:dual-energy} finish the proof. +\end{proof} + +The mesh-scale estimate preserves the small dual energy. We next +compare oscillation across a ball of radius $R=r_l$ with the dual +energy in a surrounding annulus. Expansion takes that annulus to a +fixed-size region and takes the mesh $r_N$ to $r_{N-l}$; this is why +the next bound contains $M(N-l)$. + +\begin{lemma}[Annular estimate] +\label{lem:annular} +For every compact $K\subset U$ there are $R_*>0$ and an integer +$m_0$ such that, if $x\in K$, $R=r_l\leq R_*$, and $N-l\geq m_0$, +then any two points joined by a path in $B(x,R/2)$ have +$H_N$-value difference $\Delta$ satisfying +\begin{equation} + \Delta^2\leq C M(N-l) + \sum_{\substack{q\in T_N\\R/4\leq d(q,x)\leq4R}}\rho_q^2. + \label{eq:annular} +\end{equation} +The constant is uniform; $N$ is sufficiently large for the fixed +interior region. +\end{lemma} +\begin{proof} +Choose $R_*$ with $4R_*C_E+2$. Expansion on $B(x,3R)$ separates the $hq$ by +a fixed multiple of $r_{N-l}$. Packing bounds both overlap +multiplicities, giving +\[ + \sum_{q\in\mathcal A}\sigma_q^2\leq C M(N-l). +\] + +Let $I$ be the open interval between the endpoint values. For $t\in I$, +the continuum $C_{N,t}$ meets the given path and exits $B(x,2R)$, +since its diameter exceeds $4R$. By \Cref{lem:paths}, join these +two continuum points in its $r_N/4$-neighborhood and retain a radial +subpath $\eta_t$ between radii $R$ and $2R$, contained in that closed +annulus. Its diameter is at least $R$, so $h\eta_t$ is macroscopic +by the choice of $d_0$ in \Cref{sec:geometry}. + +If a target cell $B(\xi,2r_{N-l})$ meets $h\eta_t$ at $hy$, +choose $q\in T_N$ with $d(q,y)\leq r_N$. For large $m_0$, this +center belongs to $\mathcal A$ and +$d(hq,hy)\leq C_Er_N/R$, so $\omega_\xi$ occurs in $\sigma_q$. +Some level point lies within $r_N/4$ of $y$, hence in +$\overline B(q,2r_N)$. Thus $t$ lies in the closed range interval +$I_q$ of $H_N$ on that ball. Accounting for all target cells gives +\[ + 1\leq\sum_{q\in\mathcal A}\sigma_q\mathbf1_{I_q}(t) + \quad(t\in I), + \qquad + \Delta\leq C M(N-l)^{1/2} + \left(\sum_{q\in\mathcal A}|I_q|^2\right)^{1/2}. +\] +The second inequality follows by integration and Cauchy--Schwarz. +Apply \eqref{eq:local-osc} with $J=2$ and its bounded-overlap +summation. Taking $C(2)r_N1$. +For every compact $K\subset U$ and sufficiently small +$s>0$, uniformly for $x\in K$, +\begin{equation} + \bigl(\osc_{\overline B(x,s)}u\bigr)^2 + \leq C\mu\bigl(\overline B(x,C_\mu s)\bigr). + \label{eq:measure} +\end{equation} +For each $02L$ and consider +indices $l\leq k-b$ above a fixed interior threshold, in an arithmetic +progression of step $b_1$ with $a^{b_1}>16$. The annuli +$\{r_l/4\leq d(x,\cdot)\leq4r_l\}$ are disjoint. For $N$ +sufficiently large relative to $k$, \eqref{eq:annular} and +\eqref{eq:records} give +\[ + |H_N(x)-H_N(y)|^2\leq C\lambda^{-l} + \mu_N\{r_l/4\leq d(x,\cdot)\leq4r_l\}. +\] +Summing over at least $ck$ indices yields +$|H_N(x)-H_N(y)|\leq C_Kk^{-1/2}$. If $\lambda>1$, the single +choice $l=k-b$ gives $C_K\lambda^{-k/2}$ instead. + +For each tolerance this controls a tail uniformly; the finitely many +omitted functions are individually uniformly continuous. Thus the +sequence is equicontinuous on $K$. Arzel\`a--Ascoli on a compact +exhaustion of $U$, followed by weak compactness of the measures on +$Z$, gives the asserted subsequence. The two constant band values +prove nonconstancy. The stronger estimate gives local H\"older exponent +$\log\lambda/(2\log a)$. + +For \eqref{eq:measure}, fix $A>2L$ and choose +$As\leq R=r_l0$. For sufficiently large $n$, +\begin{equation} + b_0|I|\leq + \sum_{\substack{q\in T_n\\B(q,2r_n)\cap K\ne\varnothing}} + \osc_{\overline B(q,2r_n)}f\, + \osc_{\overline B(q,2r_n)}w. + \label{eq:cross-energy} +\end{equation} +Consequently these hypotheses cannot hold for sequences with both +local oscillation energies on $K$ tending to zero, if $b_0$ and +$|I|$ stay bounded below by positive constants. +\end{lemma} +\begin{proof} +Let $I_q(f)$ be the closed range interval of $f$ on the closed cell. +For large $n$ these cells lie in $V$. The interval $w(D_t)$ is covered +by the range intervals of $w$ on cells meeting $D_t$, and each such +cell has $t\in I_q(f)$. Therefore +\[ + b_0\leq\sum_{q:B(q,2r_n)\cap K\ne\varnothing} + \osc_{\overline B(q,2r_n)}w\,\mathbf1_{I_q(f)}(t). +\] +Integrate over $I$ and use +$|I\cap I_q(f)|\leq\osc_{\overline B(q,2r_n)}f$. +Only finitely many interval indicators are integrated, so no +measurable selection of $D_t$ is required. Cauchy--Schwarz gives +the final assertion. +\end{proof} + +\begin{lemma}[Stopping a continuum at a sphere] +\label{lem:stop-continuum} +Let $D$ be a continuum, $p\in Z$, and $r>0$. If +$x\in D\setminus\overline B(p,r)$ and $D\cap B(p,r)\ne\varnothing$, +then $D$ contains a subcontinuum through $x$ meeting the radius-$r$ +sphere and avoiding $B(p,r)$. +\end{lemma} +\begin{proof} +In a compact metric space $X$, a point's component is the intersection +$Q_x$ of its clopen neighborhoods. To verify connectedness of $Q_x$, +suppose it is separated into two compact pieces in disjoint open sets +$O_1,O_2$. Compactness of $X\setminus(O_1\cup O_2)$ gives a finite +intersection $W$ of clopen neighborhoods of $x$ contained in their +union. Its intersection with the $O_i$ containing $x$ is clopen in +$X$ and misses the other piece of $Q_x$, a contradiction. The same +compactness argument shows that every open neighborhood of a component +contains a clopen neighborhood of it. + +Apply this to $X=D\setminus B(p,r)$ and the component $C$ of $x$. +If $C$ missed the sphere, it would have a clopen neighborhood $W$ in +$X$ missing the sphere. Compactness places $W$ a positive distance +from $\overline B(p,r)$, so $W$ is also clopen in $D$. It is nonempty +and misses $D\cap B(p,r)$, contradicting connectedness. Thus $C$ is +the required subcontinuum. +\end{proof} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/03_exponential.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/03_exponential.tex new file mode 100644 index 0000000000000000000000000000000000000000..d47792305d95265f0fd40fa20445ca626610f9ff --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/03_exponential.tex @@ -0,0 +1,328 @@ +\section{Exponential records: comparing two magnifications} +\label{sec:exponential} + +Suppose $\lambda>1$. The scalar limit $u$ is then locally H\"older. +We magnify its variation to a nonconstant function on a punctured +sphere. The approximating level continua force every transform with a different +puncture to be constant wherever this function varies. A second +magnification makes two such transforms vary on the same two disks, +with disjoint value ranges, yielding a contradiction. +Scalar approximation indices throughout belong to the subsequence +of \Cref{prop:scalar-limit}. + +\subsection{Magnifying variation} + +\begin{lemma}[H\"older magnification] +\label{lem:holder-magnification} +Let $f$ be a real-valued, locally H\"older continuous function on an open set $\Omega\subset Z$. +Suppose $O$ is open, $\overline O\subset\Omega$, and $O$ contains a +compact path on which $f$ is nonconstant. Fix $z_0$ with +$\dist(z_0,O)>0$. There are depths $k_i\to\infty$, centers $x_i\in O$, +positive numbers $\sigma_i$, and expansions $h_i=v_i^{-1}$ at +$(x_i,k_i)$ such that, after passage to a subsequence, +\[ + p_i=h_i z_0\longrightarrow b, + \qquad + \frac{\dist(x_i,Z\setminus O)}{r_{k_i}}\longrightarrow\infty. +\] +Every compact subset of $Z\setminus\{b\}$ eventually lies in +$h_i\Omega$, and +\begin{equation} + F_i(z)=\frac{f(h_i^{-1}z)-f(x_i)}{\sigma_i} + \label{eq:blowup} +\end{equation} +converges locally uniformly there to a nonconstant locally H\"older +continuous function $F$. +\end{lemma} + +\begin{proof} +Write $\delta(x)=\dist(x,Z\setminus O)$ and fix $\eta>Q$. +A finite cover of $\overline O$ gives a uniform H\"older bound, +with some exponent $\alpha_0>0$, on a neighborhood of $\overline O$. +For all large $k$ put +\[ + A_k=\sup_{x\in O}\delta(x)^\eta + \osc_{\overline B(x,r_k)}f. +\] +The balls lie in $\Omega$, and +\begin{equation} + c a^{-Qk}\le A_k\le C a^{-\alpha_0 k}. + \label{eq:magnification-bounds} +\end{equation} +For the lower bound, cover a compact variation path $P\subset O$ +by at most $C r_k^{-Q}$ radius-$r_k$ balls centered on $P$, using +\Cref{lem:packing}. Their range intervals cover the interval $f(P)$, +so one ball has oscillation at least $c r_k^Q$; also +$\min_P\delta>0$. The upper bound is the H\"older estimate. + +Fix $0<\alpha<\alpha_0$. Since $A_k a^{\alpha k}\to0$, there are +arbitrarily late indices attaining their maximum over the remaining +tail. At these indices, +\begin{equation} + A_{k+j}\le a^{-\alpha j}A_k\qquad(j\ge0). + \label{eq:magnification-tail} +\end{equation} +Choose $x_k\in O$ attaining at least half the supremum, and set +$\delta_k=\delta(x_k)$ and $\sigma_k=A_k/\delta_k^\eta$. +Boundedness of $f$ and \eqref{eq:magnification-bounds} give +$\delta_k^\eta\ge c r_k^Q$, hence +$\delta_k/r_k\ge c r_k^{Q/\eta-1}\to\infty$. +Expand at $(x_k,k)$ and take a subsequence with $p_k=h_kz_0\to b$. + +For a compact $K\subset Z\setminus\{b\}$, \eqref{eq:puncture} gives +\begin{equation} + h_k^{-1}K\subset\overline B(x_k,C_Kr_k)\subset O + \label{eq:magnification-preimage} +\end{equation} +eventually. The expansion formula gives +$d(h_k^{-1}z,h_k^{-1}w)\le C_Kr_kd(z,w)$ on $K$. +On every fixed multiple of this source ball, $\delta$ is comparable +to $\delta_k$. Thus \eqref{eq:magnification-tail} implies +\begin{equation} + \frac{|f(y)-f(y')|}{\sigma_k}\le C a^{-\alpha j} + \quad\text{if }d(y,y')\le r_{k+j},\quad j\ge0. + \label{eq:magnification-local-holder} +\end{equation} +For sufficiently small $d(z,w)$, choosing $j\ge0$ with +$a^{-j}\ge C_Kd(z,w)>a^{-j-1}$ proves a uniform local +$\alpha$-H\"older estimate for $F_k$ on $K$. + +For boundedness, \Cref{lem:paths} joins $h_k^{-1}z$ to $x_k$ +inside a fixed multiple of $B(x_k,r_k)$. Packing covers this path +by a bounded number of radius-$r_k$ balls centered on the path, each with oscillation +at most $C\sigma_k$. Their range intervals cover the path's image, +so $|F_k(z)|\le C_K$. Compact exhaustion and Arzel\`a--Ascoli now +give a locally uniform, locally H\"older limit. +Finally, $\osc_{h_k\overline B(x_k,r_k)}F_k\ge1/2$. +The lower puncture bound places all these image balls in one compact +set off $b$, so local uniform convergence makes the limit nonconstant. +\end{proof} + +\subsection{A common mesh and escaping level continua} + +Apply \Cref{lem:holder-magnification} to $u$ on $U$, taking a small +variation region $O$ and $z_0$ outside its closure. Call the limit +$W$, its puncture $b$, and retain $x_i,k_i,h_i,\sigma_i$. + +\begin{lemma}[Diagonal approximants] +\label{lem:exponential-diagonal} +After thinning the expansions, there are increasing scalar indices +$N_j$ such that +\[ + f_j(z)=\frac{H_{N_j}(h_j^{-1}z)-u(x_j)}{\sigma_j}, + \qquad z\in h_j\Qhat, +\] +converges locally uniformly to $W$ on $Z\setminus\{b\}$. +For every fixed $g\in G$, compact $K\subset Z\setminus\{gb\}$, +and fixed $J\ge2$, +\begin{equation} + \mathcal E_{N_j}^{(J)}(f_j\circ g^{-1};K)\longrightarrow0. + \label{eq:exponential-translated-energy} +\end{equation} +All indicated enlarged balls eventually lie in the functions' domains. + +If a compact path $P\subset Z\setminus\{b\}$ has endpoint values +of $W$ strictly straddling a compact positive-length interval $I$, +then, for all large $j$ and every $t\in I$, there is a continuum +$D_{j,t}\subset h_j\Qhat$ with +\[ + f_j=t\text{ on }D_{j,t},\qquad D_{j,t}\cap P\ne\varnothing, + \qquad \sup_{t\in I}\dist(b,D_{j,t})\longrightarrow0. +\] +\end{lemma} + +\begin{proof} +For $j\ge4$ put +$K_j=\{d(z,b)\ge1/j\}$ and $L_j=\{d(z,b)\ge1/(2j)\}$. +Choose the $j$th expansion so that $h_j^{-1}L_j\subset U$ and its +normalized $u$-transform differs from $W$ by at most $1/j$ on $L_j$. +\emph{Hold this expansion and its normalization fixed.} Then choose +$N_j>N_{j-1}$ so large that +\[ + \sup_{L_j}\frac{|H_{N_j}(h_j^{-1}z)-u(h_j^{-1}z)|}{\sigma_j} + \le\frac1j, + \qquad \mathcal E_{N_j}^{(j)}(f_j;K_j)\le\frac1j, + \qquad (j+2)r_{N_j}<\frac1{2j}. +\] +The uniform approximation follows from \Cref{prop:scalar-limit}. +With $h_j$ and $\sigma_j$ fixed, \Cref{lem:local-oscillation} bounds +the displayed energy by $C(h_j,K_j,j)/(\sigma_j^2M(N_j))$, so the +energy condition follows by increasing $N_j$. The last condition +keeps all the enlarged balls in $L_j$. This proves local uniform +convergence and vanishing energy at every fixed enlargement off $b$. + +For a fixed $g$, choose a compact neighborhood $K'$ of $g^{-1}K$ +avoiding $b$. Pulling back each target ball and choosing a nearest +source net point gives, by bi-Lipschitz distortion and packing, +\[ + \mathcal E_n^{(J)}(F\circ g^{-1};K) + \le C_g\mathcal E_n^{(J')}(F;K') +\] +for some fixed $J'\ge2$ and all large $n$. Each source center receives +only boundedly many target centers. Eventually $K'\subset K_j$ and +$J'\le j$, proving \eqref{eq:exponential-translated-energy}. + +Uniform convergence makes the endpoint values of $f_j$ straddle $I$. +The source level $\tau_j(t)=u(x_j)+\sigma_jt$ therefore lies in $(0,1)$, +and \Cref{lem:level-continua} supplies +$D_{j,t}=h_jC_{N_j,\tau_j(t)}$, meeting $P$. +Its source continuum has diameter at least $d_1$, so contains a point +at distance at least $d_1/2$ from $x_j$. By \eqref{eq:puncture}, +\[ + \dist(b,D_{j,t})\le d(b,p_j)+Cr_{k_j}\longrightarrow0 +\] +uniformly for $t\in I$. +\end{proof} + +\subsection{Comparison across punctures} + +Let $\mathcal N(F)$ be the points of a continuous function's domain +at which it is not locally constant. + +\Needspace{5\baselineskip} +\begin{lemma}[Transform comparison] +\label{lem:exponential-comparison} +If $c=gb\ne b$ and $V=W\circ g^{-1}$, then +\begin{equation} + V(x)=V(b)\qquad + \bigl(x\in\mathcal N(W)\setminus\{c\}\bigr). + \label{eq:transform-level} +\end{equation} +More generally, for $W_s=W\circ s^{-1}$ and $p_s=sb$, if $p_s\ne p_t$, +\begin{equation} + W_t(x)=W_t(p_s)\qquad + \bigl(x\in\mathcal N(W_s)\setminus\{p_t\}\bigr). + \label{eq:two-transform-level} +\end{equation} +\end{lemma} + +\begin{proof} +Suppose $x\in\mathcal N(W)\setminus\{c\}$ and $V(x)\ne V(b)$. +Choose $\varepsilon>0$ and a coordinate disk about $x$, compactly +contained off $b,c$, on which $|V-V(b)|\ge4\varepsilon$. +It contains a compact variation path $P$ for $W$. Choose a compact +positive-length interval $I$ strictly between its endpoint values, +avoiding $W(c)$. Continuity gives $\epsilon_c>0$ such that +$\overline B(c,\epsilon_c)$ avoids $b$ and its $W$-range has positive +distance from $I$. Consequently, for all large $j$, the continua +$D_{j,t}$ from \Cref{lem:exponential-diagonal} avoid this closed ball. + +Choose $\rho>0$ so that $\overline B(b,\rho)$ avoids $c,P$ and +$|V-V(b)|\le\varepsilon$ there. For $w_j=f_j\circ g^{-1}$, +local uniform convergence gives +\[ + |w_j-V(b)|\ge3\varepsilon\quad\text{on }P, + \qquad |w_j-V(b)|\le2\varepsilon\quad\text{on }\overline B(b,\rho) +\] +for all large $j$. Each $D_{j,t}$ meets $P$ and enters $B(b,\rho)$. +By \Cref{lem:stop-continuum}, it has a subcontinuum joining a chosen +point of $P$ to the radius-$\rho$ sphere and contained in +\[ + K=\{z:d(z,b)\ge\rho,\ d(z,c)\ge\epsilon_c\}. +\] +This subcontinuum lies in the level $f_j=t$ and has $w_j$-oscillation +at least $\varepsilon$. A fixed compact neighborhood of $K$ avoiding +both punctures eventually lies in $h_jU\cap gh_jU$ and contains every +closed radius-$2r_{N_j}$ cell meeting $K$. Hence +\Cref{lem:cross-energy} and Cauchy--Schwarz give +\[ + \varepsilon|I|\le + \bigl(\mathcal E_{N_j}^{(2)}(f_j;K)\bigr)^{1/2} + \bigl(\mathcal E_{N_j}^{(2)}(w_j;K)\bigr)^{1/2}\longrightarrow0, +\] +a contradiction. All sets and $g$ are fixed in this limit. +Finally apply \eqref{eq:transform-level} at $s^{-1}x$ with group +element $s^{-1}t$ to obtain \eqref{eq:two-transform-level}. +\end{proof} + +\subsection{The second magnification} + +We first control repeated punctures. An accumulation direction of +vertices going to infinity is a subsequential boundary limit. + +\begin{lemma}[Stabilizer directions] +\label{lem:stabilizer} +For every $b\in Z$, the vertices of $E=\Stab_G(b)$ have at most +two accumulation directions. +\end{lemma} + +\begin{proof} +Let $\xi$ be a based ray to $b$. For $q\in E$, $|q|\le t$, +thinness of the ideal triangle with sides $[e,q],\xi,q\xi$ puts +$q\xi(n)$ uniformly near $\xi$ when $n$ is sufficiently larger +than $t$. The nearby parameter lies in $[n-t-C,n+t+C]$. +For one common integer $n$, these vertices are distinct as $q$ varies. +Bounded valence therefore gives +\begin{equation} + \#\{q\in E:|q|\le t\}\le C'(t+1). + \label{eq:stabilizer-growth} +\end{equation} + +If another accumulation direction exists, take $q_n\to x\ne b$ and +$q_n^{-1}\to y$ along a subsequence. Base change gives, uniformly +on compact sets avoiding $y$, +\[ + (q_n|q_nz)_e=|q_n|-(q_n^{-1}|z)_e+O(1)\ge |q_n|-O(1). +\] +By \Cref{lem:prefix}, $q_nz\to x$ there, and $q_nb=b$ forces $y=b$. +Choose disjoint small neighborhoods of $b,x$, with a point outside +their union. For large $n$, $q=q_n$ sends the complement of the +first into the second. Its positive iterates never return the outside +point, so $q$ has infinite order. It is therefore loxodromic, with +endpoints $b,x'$; see \cite[III.$\Gamma$.3.10]{BH}. + +If some $h\in E$ moved $x'$, the cyclic subgroups generated by $q$ +and $hqh^{-1}$ would intersect trivially: a nonzero common power +would have the same pair of endpoints. Their $m^2$ products +$q^i(hqh^{-1})^j$, $1\le i,j\le m$, would then be distinct and have +length $O(m)$, contradicting \eqref{eq:stabilizer-growth}. +Thus every element of $E$ fixes both endpoints. It maps a geodesic +line between them to a line at uniformly bounded Hausdorff distance, +so its orbit of $e$ stays a fixed distance from that line. Its only +possible accumulation directions are the two endpoints. +\end{proof} + +\begin{proposition} +\label{prop:no-exponential-records} +The contradiction setup cannot have $\lambda>1$. +\end{proposition} + +\begin{proof} +Let $E=\Stab(b)$ and let $\Lambda_E$ be its at-most-two accumulation +directions. Choose a variation region $O$ for $W$ whose closure avoids +$\{b\}\cup\Lambda_E$. Such a region exists: otherwise $W$ would +be locally constant on the connected sphere minus this finite set, +and continuity would make it constant throughout its domain. + +Apply \Cref{lem:holder-magnification} to $W$ on $Z\setminus\{b\}$, +with this $O$ and $z_0=b$. Write the expansions as $s_i=v_i^{-1}$, +with centers $y_i\in O$, depths $\ell_i\to\infty$, and punctures +$p_i=s_i b\to b_*$. Positive affine normalizations of +$W_i=W\circ s_i^{-1}$ converge locally uniformly off $b_*$ to a +continuous nonconstant $W_*$. + +The punctures have a pairwise distinct subsequence. Indeed, if +$v_i^{-1}b=v^{-1}b$ infinitely often, then $v_i v^{-1}\in E$. +After a subsequence $y_i\to y\in\overline O$. Since $v_i$ lies at +depth $\ell_i$ on a ray to $y_i$, \Cref{lem:prefix} gives $v_i\to y$ +in boundary direction. Bounded right multiplication preserves this +direction, implying $y\in\Lambda_E$, a contradiction. + +Choose two coordinate disks $D_1,D_2$, with compact closures off $b_*$, +having disjoint $W_*$-range intervals and each containing a compact +variation path. To do this, follow a variation path to its first +hitting points of two distinct intermediate values. Just before either +first hitting time the values differ, so the function is not locally +constant at either point. Continuity supplies disks with disjoint +ranges, and non-local constancy supplies a variation path in each. + +For every sufficiently large $i$, the puncture $p_i$ is outside the +closed disks. Uniform convergence of the normalized $W_i$ preserves +both the disjoint range intervals and the positive variation on the +two fixed paths. Positive affine normalization preserves these +properties, so $\mathcal N(W_i)$ meets each disk. +Fix two distinct such indices $i,j$. By +\eqref{eq:two-transform-level}, $W_j$ has the single value $W_j(p_i)$ +at every point of $\mathcal N(W_i)$ in either disk. Taking one point +in each contradicts the disjoint $W_j$-range intervals. +\end{proof} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/04_flow.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/04_flow.tex new file mode 100644 index 0000000000000000000000000000000000000000..15a2c362851b167ee9b7534d26e8a0ecac017661 --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/04_flow.tex @@ -0,0 +1,463 @@ +\section{A probability flow in the subexponential case} +\label{sec:flow} + +Assume now that the unbounded moduli satisfy +\begin{equation} + \limsup_{j\to\infty}M(j)^{1/j}\leq1. + \label{eq:subexponential-growth} +\end{equation} +Let $u,\mu,C_t$ be given by \Cref{prop:scalar-limit}. We build a tree of +small balls carrying nested intervals of values of $u$. At each node, +either two separated variations survive expansion, or many children +carry a substantial fraction of its interval. A probability flow will +force the first alternative at arbitrarily deep levels. + +Choose $x_0\in U$ where $u$ is not locally constant, and choose +$\epsilon_0>0$ with $\overline B(x_0,3\epsilon_0)\subset U$. Put +\[ + K=\overline B(x_0,\epsilon_0),\qquad + K^+=\overline B(x_0,2\epsilon_0), +\] +and, shrinking $\epsilon_0$ if necessary, choose $z_0$ a positive distance +from $K^+$. All centers will lie in $K$ and all source neighborhoods in +$K^+$. Use the constants of \eqref{eq:measure} for this fixed region. + +\subsection{Node intervals and transition probabilities} + +The tree will record both where variation occurs and which values it +carries. A node has a source center $x$, a scale $R$, and a value interval +$J$. Its children have scale $r=\theta R$, where $\theta=a^{-D}$ for +one positive integer subdivision depth $D$ used throughout the tree. Their intervals +are contained in $J$. We will choose probabilities on the children +that control interval length linearly and quadratically; the two +controls have different roles in the final comparison. + +We first define this data for geometric constants $c_0>2L+2$, +$Lc_0+20$. Here $c_0$ is the source-ball enlargement, +$A,B_0$ locate an annulus of possible child centers, and $Hr$ is the +separation required of retained children. The next subsection fixes +these constants, before choosing $D$. We use only scales $R=r_k$ +small enough that all fixed enlargements below lie in $K^+$ and +satisfy \eqref{eq:measure}, and that $(B_0+2)Rc_{\mathrm{in}}+2$ so large that, +with +\[ + A=4Lc_0+20,\qquad B_0=A+10,\qquad + c_{\mathrm{pat}}=\frac{2C_Ec_{\mathrm{in}}}{(A-2)^2}, +\] +we have +\begin{equation} + \frac{c_Ec_0}{(B_0+2)^2}>12c_{\mathrm{pat}}. + \label{eq:flow-constant-choice} +\end{equation} +The constant $c_{\mathrm{pat}}$ will be the target radius factor: +paths joining extrema of the two inner child balls will expand into balls of radius +$c_{\mathrm{pat}}\theta/2$, while the larger source balls will contain +the preimages of radius-$10c_{\mathrm{pat}}\theta$ target balls. +The ratio of the left side of \eqref{eq:flow-constant-choice} to the +right side grows linearly in $c_0$, so this choice is possible. +Next choose +\[ + H>\max\{4(B_0+1),4C_{\mu}c_0,2\}. +\] +The first inequality preserves separation between different branches; +the second makes the measure enlargements at one generation disjoint. +These choices fix $C_Y$ in \eqref{eq:candidate-count}, and we fix +$c_*$ as specified above. Require $\theta<1/4$ and $c_0\theta<1$. +All further lower bounds on $D$ will depend only on this fixed data. + +The uniform upper bound on node scales can be chosen now, before $D$: +all source radius factors are fixed, and the subsidiary scales $r$ +and $s$ used below never exceed $R$. Thus the source neighborhoods +and measure enlargements stay in $K^+$ for every node. We choose the +root scale after $D$ has been fixed. + +\begin{lemma}[Many children at a node that is not good] +\label{lem:bad-node-children} +For sufficiently large $D$, every node that is not good has at least +$c_Ha^D$ mutually $Hr$-separated candidates with $t_y\geq1/8$, +where $c_H>0$ is independent of the node and $D$. +\end{lemma} +\begin{proof} +Fix $b\in[AR,B_0R]$. Each $C_t$, $t\in J$, meets the radius-$b$ +sphere, so the inner intervals of candidates with +$|d(x,y)-b|\leq r$ cover $J$. By \eqref{eq:candidate-count}, two of +them meet the respective quarters in \eqref{eq:good-inner} by at least +$\kappa\Delta$. + +If both have $t_y<1/8$, the lower-quarter outer interval ends below +$j_-+3\Delta/8$, and the upper-quarter interval starts above +$j_-+5\Delta/8$. Indeed each meets its quarter but overlaps $J$ in +length less than $\Delta/8$; the assertion also holds for intervals +extending beyond $J$. Their distance exceeds $\Delta/4$, making the +node good. Otherwise one candidate has $t_y\geq1/8$. Apply this at +radial values spaced by $(H+3)r$: there are at least $c_Ha^D$ such +values, and the resulting centers are more than $Hr$ apart. +\end{proof} + +At a node that is not good, put uniform probabilities on the +candidates in \Cref{lem:bad-node-children}. For large $D$ they satisfy +\eqref{eq:transition-bad}: indeed, $p_y\le c_H^{-1}a^{-D}$ and +$t_y\ge1/8$, while $\gamma,b_*<1$. + +\subsection{The capacity estimate} + +It remains to construct transitions satisfying +\eqref{eq:transition-general}. A single subdivision depth $D$ must +work even when a node's interval $J$ is arbitrarily short. We therefore +integrate over $J$ before choosing $D$; its length will cancel from +the estimate. + +\begin{lemma}[Separated capacity] +\label{lem:separated-capacity} +For sufficiently large $D$, uniformly over all nodes, there is an +$Hr$-separated subset $Y'\subset Y$ such that +\begin{equation} + \sum_{y\in Y'}\min\{a^{-\gamma D}t_y,a^{\tau D}t_y^2\}\geq1. + \label{eq:capacity} +\end{equation} +\end{lemma} +\begin{proof} +Join two candidates in a graph when their distance is at most $Hr$. +Packing bounds its degree, so graph coloring partitions $Y$ into at most +$C_H$ separated classes, with $C_H$ independent of $D$. If the conclusion fails, then +\begin{equation} + \sum_{y\in Y}\min\{a^{-\gamma D}t_y,a^{\tau D}t_y^2\}2+C_E$, define +\[ + \sigma_y^z= + \begin{cases} + \displaystyle\sum_{\xi:\ d(\xi,h_zy)\leq C_Tq}\omega_\xi, + &d(y,z)\leq3s,\\[3pt] + 0,&d(y,z)>3s, + \end{cases} + \qquad \sigma_y=\sum_{z\in\mathcal Z_s}\sigma_y^z. +\] +Within $\overline B(z,3s)$ the candidate images are separated by a +fixed multiple of $q$. Thus every sum has boundedly many terms and +every target weight is charged boundedly many times. Thus +$\sum_y(\sigma_y^z)^2\leq CM(D-D')$ for each $z$. Also each $y$ +lies within $3s$ of boundedly many auxiliary centers. Packing and +Cauchy--Schwarz give +\begin{equation} + \sum_y\sigma_y^2\leq Ca^{QD'}M(D-D'). + \label{eq:capacity-transfer-energy} +\end{equation} + +Fix an unmarked $(b,t)$. Choose $w\in C_t$ on the radius-$b$ sphere +and $z\in\mathcal Z_s$ with $d(w,z)\leq s$. The diameter bound gives +a point of $C_t$ outside $\overline B(w,2s)$. Join these points in the +$r/4$-neighborhood of $C_t$, by \Cref{lem:paths}, and stop at the first +radius-$s$ hit about $w$. The resulting path $\pi$ has diameter at +least $s$ and lies in $\overline B(w,s)\subset\overline B(z,2s)$. +The scale-$s$ expansion $h_z$ therefore makes it macroscopic by the +choice of $d_0$ in \Cref{sec:geometry}. + +The radial bin lies between $(A+1)R$ and $(B_0-1)R$, while $s0$. Cauchy--Schwarz and +\eqref{eq:capacity-transfer-energy} imply +\begin{equation} + \sum_{\text{small }y}t_y^2 + \geq\frac{ca^{-(Q-2)D'}}{M(D-D')}. + \label{eq:small-square-capacity} +\end{equation} +Subexponential growth gives $M(D-D')\leq a^{\tau D/4}$ for large $D$: first +bound $M(j)\leq Ca^{\tau j/8}$ and then absorb $C$ by increasing $D$. Since $D'\leq\beta D+1$ and $(Q-2)\beta<\tau/4$, +\[ + \sum_{\text{small }y}a^{\tau D}t_y^2 + \geq ca^{[3\tau/4-(Q-2)\beta]D} + \geq ca^{\tau D/2}. +\] +On small candidates this is exactly the capacity, contradicting +\eqref{eq:failed-capacity}. Every threshold for $D$ is uniform over nodes. +\end{proof} + +Fix such a $D$. At each good node, divide the positive capacities on a +set $Y'$ from \Cref{lem:separated-capacity} by their sum. These +probabilities satisfy \eqref{eq:transition-general}. At the remaining +nodes use the uniform rule above. Every positive transition retains +a nonempty open child interval $J_y\subset J$. + +\subsection{Common target patterns} + +The probabilities are now fixed. We verify the additional geometric +information carried by a good node: its two source variations expand +into a pair of balls chosen from a finite list, with separated range +intervals. The list depends on the fixed $D$, but not on the node's +generation or interval length. + +Fix a node's expansion $h=v^{-1}$ when constructing it. At a good node, +join the extrema of each inner ball by a path in +$B(y^\pm,c_{\mathrm{in}}r)$. Each path has endpoint variation at least +$\kappa\Delta$. Its points lie at distance at least $(A-2)R$ from $x$, +so \eqref{eq:expansion} puts its image within +$c_{\mathrm{pat}}\theta/2$ of $hy^\pm$. +Conversely, write $D_w=\max\{R,d(x,w)\}$. If $d(y,z)\geq c_0r$, then +$D_z\leq D_y+d(y,z)$ and monotonicity of $s/(D_y+s)$ give +\[ + d(hy,hz)\geq\frac{c_ERc_0r}{D_y(D_y+c_0r)} + \geq\frac{c_Ec_0\theta}{(B_0+2)^2}>12c_{\mathrm{pat}}\theta. +\] +Thus +\begin{equation} + \overline B(hy,10c_{\mathrm{pat}}\theta) + \subset h(B(y,c_0r)). + \label{eq:pattern-containment} +\end{equation} +Choose a fixed finite $c_{\mathrm{pat}}\theta$-net in $Z$. For each +$hy^\pm$ choose a net point within $c_{\mathrm{pat}}\theta$ and take +the closed radius-$3c_{\mathrm{pat}}\theta$ ball about it. The ordered +pair $(\mathcal B^-,\mathcal B^+)$ is the node's \emph{pattern}. +Each ball contains its path image and lies in the corresponding outer +source-ball image. Consequently, for $u\circ h^{-1}$ the two whole-ball +range intervals have distance at least $\Delta/4$, and each ball +contains a path with endpoint variation at least $\kappa\Delta$. +There are finitely many patterns, independently of depth. + +\subsection{The tree and its flow} + +Choose $k_0$ so large that $R_0=r_{k_0}$ satisfies all the source-scale +conditions above and +\[ + 2(B_0+1)R_0<\epsilon_0/2,\qquad (B_0+2)R_0HR/2>H\theta R. +\] +At any level of scale $R$, \eqref{eq:measure} bounds $\Delta_i^2$ by +$C\mu(\overline B(x_i,C_\mu c_0R))$. These enlarged balls are disjoint +because $H>4C_\mu c_0$, and hence +\begin{equation} + \sum_i\Delta_i^2\leq E_0,\qquad E_0=C\mu(Z)<\infty. + \label{eq:level-energy} +\end{equation} + +Give the root probability 1 and let $P_i$ be the product of transitions +to node $i$. Every level has total probability 1. If $i$ has generation +$n$, let $m_i$ count its ancestors at generations $0,\ldots,n-1$ that +are not good. Multiplying the transition bounds and telescoping the +interval ratios yields +\begin{equation} + P_i\leq a^{-\gamma Dn}\frac{\Delta_i}{\Delta_0},\qquad + \Delta_i^2\geq\Delta_0^2P_i + a^{D((b_*+\tau)m_i-\tau n)}. + \label{eq:flow} +\end{equation} +Conditionally, if $i$ is $m$ generations below $j$, nesting gives +\begin{equation} + \frac{P_i}{P_j}\leq a^{-\gamma Dm}\frac{\Delta_i}{\Delta_j} + \leq a^{-\gamma Dm}. + \label{eq:conditional-flow} +\end{equation} + +\begin{lemma}[Levels with substantial good mass] +\label{lem:good-levels} +Infinitely many generations have total probability at least $1/2$ +on good nodes. +\end{lemma} +\begin{proof} +By \eqref{eq:flow}, \eqref{eq:level-energy}, and Jensen's inequality, +\[ + \frac{E_0}{\Delta_0^2} + \geq\sum_iP_i a^{D((b_*+\tau)m_i-\tau n)} + \geq a^{D((b_*+\tau)\sum_iP_im_i-\tau n)}. +\] +Thus +\[ + \frac1n\sum_iP_im_i\leq\frac{\tau}{b_*+\tau}+O(1/n) + =\frac1{11}+O(1/n). +\] +Conservation of probability identifies the left side with the average +bad mass over the first $n$ generations. If good mass were eventually +less than $1/2$, that average would have lower limit at least $1/2$, +a contradiction. +\end{proof} + +\begin{proposition}[Properties of the flow] +\label{prop:probability-flow} +The construction gives a fixed $D$ and a tree with generation-$n$ +centers $Hr_{k_0+Dn}$-separated and descendant displacement +\eqref{eq:descendant-displacement}. Its nonempty value intervals are +nested, its probabilities satisfy \eqref{eq:flow} and +\eqref{eq:conditional-flow}, and infinitely many levels have good mass +at least $1/2$. Every node has a fixed expansion. Each good node has +a pattern from a finite list of ordered target-ball pairs. For that expansion, +each target ball contains a path with endpoint variation at least +$\kappa\Delta_i$, their whole-ball range intervals have distance at +least $\Delta_i/4$, and the balls lie in the images of the respective +outer balls of radius $c_0\theta r_{k_0+Dn}$. +\end{proposition} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/05_pairs.tex b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/05_pairs.tex new file mode 100644 index 0000000000000000000000000000000000000000..604bb21ab4f6dd57762e528f4a76c4ac06efacf9 --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/build/sections/05_pairs.tex @@ -0,0 +1,356 @@ +\section{Same-depth expansions and the measure comparison} +\label{sec:pairs} + +We compare expansions at many nodes of a single generation. Almost +every pair of punctures is sufficiently separated. A level-continuum +argument then forces one of the two charts to spend a definite amount +of oscillation near the other's puncture. Pulling those neighborhoods +back gives more total measure than their overlap permits. + +\begin{proposition} +\label{prop:no-subexponential-records} +The moduli $M(n)$ cannot be unbounded while satisfying +\[ + \limsup_{n\to\infty}M(n)^{1/n}\leq1. +\] +\end{proposition} + +We prove this proposition through the pair comparison and counting +estimates below. Fix the flow of \Cref{prop:probability-flow}, including $D$, and a +compact neighborhood of its centers in $U$. Use the point $z_0$ chosen +in the flow construction, a positive distance from that neighborhood. +At generation $n$ write +\[ + k=k_0+Dn,\qquad R=a^{-k},\qquad p_i=h_i z_0, +\] +where $h_i=v_i^{-1}$ is the expansion already chosen for node $i$. +The centers $x_i$ are $HR$-separated, and +\begin{equation} + P_i\le a^{-\gamma Dn}\frac{\Delta_i}{\Delta_0}, + \qquad \frac{P_j}{P_A}\le a^{-\gamma Dm} + \quad\text{if $j$ lies $m$ generations below $A$}. + \label{eq:pairs-flow-input} +\end{equation} +We use the arbitrarily large generations having good mass at least +$1/2$, supplied by \Cref{lem:good-levels}. + +A good node has a pattern $(\mathcal B^-,\mathcal B^+)$ from a fixed +finite list. Each target ball contains a compact path with endpoint +$u\circ h_i^{-1}$-variation at least $\kappa\Delta_i$, and lies in +the image of its outer source ball. The two target range intervals +have distance at least $\Delta_i/4$. Throughout, a \emph{range interval} +means the interval between the minimum and maximum; metric balls need +not be connected. + +All geometric and counting constants below are independent of the +generation, nodes, and approximating index $N$. Constants and thresholds +in convergence statements may depend on a pair after it has been fixed. + +\subsection{A probability class and separated punctures} + +\begin{lemma}[Bounded puncture multiplicity] +\label{lem:puncture-multiplicity} +For every fixed $C>0$, the balls +$\{\overline B(p_i,CR):i\text{ at generation }n\}$ have uniformly +bounded multiplicity. +\end{lemma} + +\begin{proof} +Centers assigned to the same depth-$k$ vertex have mutual distance +$O(R)$. Their $HR$-separation and \Cref{lem:packing} bound their number. +If several puncture balls share a point, their punctures have mutual +products at least $k-O_C(1)$. By \eqref{eq:inverse-prefix} and +\Cref{lem:prefix}, all corresponding inverse vertices lie in one +bounded Cayley-graph ball. There are boundedly many such vertices, +each with the bounded multiplicity just proved. +\end{proof} + +There are at most $Ca^{Qk}$ nodes. Discarding those with +$P_ia^{-l}. + \label{eq:far-pair} +\end{equation} +Call them \emph{far pairs}. Uniformly for these pairs, +$R/d_{ij}\le a^{-(k-l)}\to0$. + +\subsection{Comparison on a compact common domain} + +Let $K\subset U$ contain all centers, with its closed +$\epsilon$-neighborhood still in $U$. The upper puncture bound gives +\begin{equation} + d(h_i y,p_i)\ge A_hR/2 + \quad\Longrightarrow\quad + d(x_i,y)\le D_y\le2C/A_h. + \label{eq:exterior-preimage} +\end{equation} +Choose $A_h$ so that $2C/A_h<\epsilon/2$ and $A_h/2>2C/d_1$, and set +\[ + E_i=\overline B(p_i,A_hR). +\] +Every $h_iC_{N,t}$ reaches $B(p_i,A_hR/2)$: the diameter bound supplies +a source point at distance at least $d_1/2$ from $x_i$, whose image +has puncture distance at most $2CR/d_1$. + +The target balls lie a uniform distance $\delta_*>0$ from $p_i$. +Indeed, their preimages lie in the outer source balls, where +$D_y\le(B_0+2)R$, so the lower puncture bound applies for large $n$. +Because the pattern is shared, this holds for every $i\in\mathcal I$. +For large $n$, uniformly for far pairs, +\[ + 2A_hR0$ are fixed and +$Ql=QD\lfloor\gamma n/Q\rfloor\le\gamma Dn$, comparison with +\eqref{eq:cost-total-upper} yields +\[ + a^{\gamma Dn}\le Ck^2. +\] +This contradicts $k=k_0+Dn$, excluding the unbounded subexponential case. +\end{proof} diff --git a/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/paper.pdf b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/paper.pdf new file mode 100644 index 0000000000000000000000000000000000000000..84396bb85a95551d68f92f112f3aa7aec7271040 --- /dev/null +++ b/preprints/A-Modulus-Proof-of-Cannons-Conjecture-September-23-2026/paper.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:650697e8e95aa8cbf86c4f3898d399d75d3f1551d683f9db6e254b370aea080b +size 519583 diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/README.md b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..cb29cb83f6ceb1c1abd2cbafd0eb915cc60130ae --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/README.md @@ -0,0 +1,18 @@ +# [A Nearly Quartic Separation Between Randomized and Quantum Query Complexity](quartic-query-separation.pdf) + +**Author:** OpenAI + +**Date:** October 5, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026, + author = {{OpenAI}}, + title = {{A Nearly Quartic Separation Between Randomized and Quantum Query Complexity}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/quartic-query-separation.pdf}{OAI:A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/figures/outward-pointers.tex b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/figures/outward-pointers.tex new file mode 100644 index 0000000000000000000000000000000000000000..dee59367527f629f09cb6aa6786665308517c1d6 --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/figures/outward-pointers.tex @@ -0,0 +1,26 @@ +\begin{figure}[t] +\centering +\begin{tikzpicture}[>=Latex,font=\small, + col/.style={draw,rounded corners=2pt,minimum width=2.7cm,minimum height=1.05cm,align=center}, + cell/.style={draw,fill=blue!6,minimum width=3.7cm,minimum height=0.85cm,align=center}] +\node[col] (left) at (-4,1.8) {$X_j$\\$\cdots\ 0\ \cdots$}; +\node[col,fill=green!7] (win) at (0,1.8) {$X_{i_\ast}$\\$1\quad1\quad\cdots\quad1$}; +\node[col] (right) at (4,1.8) {$X_{j'}$\\$\cdots\ 0\ \cdots$}; +\node[align=center,text width=3.7cm,font=\footnotesize] at (0,3.0) {no incoming pointer can find a zero}; +\node[cell] (cert) at (0,-0.2) {$B_{i_\ast,s_{i_\ast}}$\\certified address and pointers}; +\node[align=center] (addr) at (0,-1.75) {$A_{i_\ast,1},\ldots,A_{i_\ast,r}$\\$s_{i_\ast}=(P(A_{i_\ast,h}))_{h=1}^r$}; +\draw[->] (addr) -- (cert); +\draw[->,thick,blue!65!black] (cert.west) to[out=170,in=-90] (left.south); +\draw[->,thick,blue!65!black] (cert.east) to[out=10,in=-90] (right.south); +\draw[dashed] (win.south) -- (cert.north); +\node[align=center,text width=2.8cm,font=\footnotesize] at (-4,-0.85) {zero witness\\disqualifies $j$}; +\node[align=center,text width=2.8cm,font=\footnotesize] at (4,-0.85) {zero witness\\disqualifies $j'$}; +\end{tikzpicture} +\caption{The relevant cell of a winning column points outward to a zero +in every other column; two such pointers are shown. Only the indicated +zeros are prescribed in the other columns. The cell's address is +computed from the partial-function answers and certified by stored +circuit transcripts. The winner's all-one string prevents every opponent +from disqualifying it, even at an incorrectly decoded address.} +\label{fig:outward} +\end{figure} diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/main.tex b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..f857c437fd0ac612ee260aa9cf3d457c3630df74 --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/main.tex @@ -0,0 +1,27 @@ +\newcommand{\DoNotLoadEpstopdf}{} +\documentclass[11pt]{article} +\input{preamble} +\title{A Nearly Quartic Separation Between\texorpdfstring{\\}{ }Randomized and Quantum Query Complexity} +\author{OpenAI} +\date{October 5, 2026} +\begin{document} +\maketitle +\begin{abstract} +We construct total Boolean functions with a nearly quartic separation +between bounded-error randomized and quantum query complexity. +Writing these complexities as $\R(f)$ and $\Q(f)$, the examples rule +out every universal bound $\R(f)=O((1+\Q(f))^\alpha)$ with +$\alpha<4$. Thus the known quartic upper bound has the optimal +exponent, disproving the conjectured cubic bound. Both complexities +count worst-case bit queries with error at most $1/3$ on every input. +\end{abstract} +\input{sections/01-introduction} +\input{sections/02-construction} +\input{sections/03-quantum} +\input{sections/04-classical} +\input{sections/05-exponent} +\appendix +\input{sections/06-upper-bound} +\bibliographystyle{plain} +\bibliography{references} +\end{document} diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/preamble.tex b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/preamble.tex new file mode 100644 index 0000000000000000000000000000000000000000..73c3db62a6bfa0cff0c013931121f8fd0be587d9 --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/preamble.tex @@ -0,0 +1,28 @@ +\usepackage[T1]{fontenc} +\usepackage{lmodern} +\usepackage[margin=1in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{microtype,enumitem,needspace,placeins,xcolor,tikz,booktabs} +\usetikzlibrary{arrows.meta,positioning,calc} +\usepackage[colorlinks=true,linkcolor=blue!45!black,citecolor=blue!45!black,urlcolor=blue!45!black]{hyperref} +\hypersetup{pdftitle={A Nearly Quartic Separation Between Randomized and Quantum Query Complexity},pdfauthor={OpenAI}} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{definition} +\newtheorem{definition}[theorem]{Definition} +\newtheorem{remark}[theorem]{Remark} +\newcommand{\R}{\mathrm R} +\newcommand{\Q}{\mathrm Q} +\newcommand{\D}{\mathrm D} +\newcommand{\E}{\mathbb E} +\newcommand{\bits}{\{0,1\}} +\newcommand{\bs}{\operatorname{bs}} +\newcommand{\poly}{\operatorname{poly}} +\DeclarePairedDelimiter{\norm}{\lVert}{\rVert} +\DeclarePairedDelimiter{\abs}{\lvert}{\rvert} +\DeclarePairedDelimiter{\ip}{\langle}{\rangle} +\setlist[enumerate]{label=\textup{(\roman*)},leftmargin=*} +\setlength{\emergencystretch}{1.5em} +\allowdisplaybreaks[1] diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/references.bib b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/references.bib new file mode 100644 index 0000000000000000000000000000000000000000..d5938de5ea9400f00079b1134928f92eab6a6cea --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/references.bib @@ -0,0 +1,329 @@ + +@inproceedings{Grover96, + author = {Lov K. 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Sherstov and Andrey A. Storozhenko and Pei Wu}, + title = {An Optimal Separation of Randomized and Quantum Query Complexity}, + journal = {SIAM Journal on Computing}, + volume = {52}, + number = {2}, + pages = {525--567}, + year = {2023}, + doi = {10.1137/22M1468943}, + eprint = {2008.10223}, + archivePrefix = {arXiv}, + note = {Preliminary version in STOC 2021} +} + +@inproceedings{ABKRT21, + author = {Scott Aaronson and Shalev Ben-David and Robin Kothari and Shravas Rao and Avishay Tal}, + title = {Degree vs. Approximate Degree and Quantum Implications of {Huang}'s Sensitivity Theorem}, + booktitle = {Proceedings of the 53rd Annual ACM SIGACT Symposium on Theory of Computing}, + pages = {1330--1342}, + year = {2021}, + publisher = {ACM}, + doi = {10.1145/3406325.3451047}, + eprint = {2010.12629}, + archivePrefix = {arXiv} +} + +@article{Huang19, + author = {Hao Huang}, + title = {Induced Subgraphs of Hypercubes and a Proof of the {Sensitivity Conjecture}}, + journal = {Annals of Mathematics}, + volume = {190}, + number = {3}, + pages = {949--955}, + year = {2019}, + doi = {10.4007/annals.2019.190.3.6}, + eprint = {1907.00847}, + archivePrefix = {arXiv} +} + +@misc{Midrijanis04, + author = {Gatis Midrijanis}, + title = {Exact Quantum Query Complexity for Total {Boolean} Functions}, + year = {2004}, + eprint = {quant-ph/0403168}, + archivePrefix = {arXiv}, + note = {arXiv:quant-ph/0403168} +} + +@article{Ambainis02, + author = {Andris Ambainis}, + title = {Quantum Lower Bounds by Quantum Arguments}, + journal = {Journal of Computer and System Sciences}, + volume = {64}, + number = {4}, + pages = {750--767}, + year = {2002}, + doi = {10.1006/jcss.2002.1826}, + eprint = {quant-ph/0002066}, + archivePrefix = {arXiv} +} + +@inproceedings{BSS03, + author = {Howard Barnum and Michael E. Saks and Mario Szegedy}, + title = {Quantum Query Complexity and Semi-Definite Programming}, + booktitle = {Proceedings of the 18th Annual IEEE Conference on Computational Complexity}, + pages = {179--193}, + year = {2003}, + publisher = {IEEE}, + doi = {10.1109/CCC.2003.1214419} +} + +@article{SpalekSzegedy06, + author = {Robert {\v S}palek and Mario Szegedy}, + title = {All Quantum Adversary Methods Are Equivalent}, + journal = {Theory of Computing}, + volume = {2}, + number = {1}, + pages = {1--18}, + year = {2006}, + doi = {10.4086/toc.2006.v002a001}, + eprint = {quant-ph/0409116}, + archivePrefix = {arXiv} +} + +@article{Nisan91, + author = {Noam Nisan}, + title = {{CREW PRAMs} and Decision Trees}, + journal = {SIAM Journal on Computing}, + volume = {20}, + number = {6}, + pages = {999--1007}, + year = {1991}, + doi = {10.1137/0220062} +} + +@article{NisanSzegedy94, + author = {Noam Nisan and Mario Szegedy}, + title = {On the Degree of {Boolean} Functions as Real Polynomials}, + journal = {Computational Complexity}, + volume = {4}, + number = {4}, + pages = {301--313}, + year = {1994}, + doi = {10.1007/BF01263419} +} + +@article{BBHT98, + author = {Michel Boyer and Gilles Brassard and Peter H{\o}yer and Alain Tapp}, + title = {Tight Bounds on Quantum Searching}, + journal = {Fortschritte der Physik}, + volume = {46}, + number = {4--5}, + pages = {493--506}, + year = {1998}, + eprint = {quant-ph/9605034}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/quant-ph/9605034} +} + +@incollection{BHMT02, + author = {Gilles Brassard and Peter H{\o}yer and Michele Mosca and Alain Tapp}, + title = {Quantum Amplitude Amplification and Estimation}, + booktitle = {Quantum Computation and Quantum Information}, + editor = {Lomonaco, Jr., Samuel J.}, + series = {Contemporary Mathematics}, + volume = {305}, + pages = {53--74}, + year = {2002}, + publisher = {American Mathematical Society}, + doi = {10.1090/conm/305/05215}, + eprint = {quant-ph/0005055}, + archivePrefix = {arXiv} +} + +@misc{DurrHoyer96, + author = {Christoph D{\"u}rr and Peter H{\o}yer}, + title = {A Quantum Algorithm for Finding the Minimum}, + year = {1996}, + eprint = {quant-ph/9607014}, + archivePrefix = {arXiv}, + note = {arXiv:quant-ph/9607014} +} + +@inproceedings{SYZ04, + author = {Xiaoming Sun and Andrew C. Yao and Shengyu Zhang}, + title = {Graph Properties and Circular Functions: How Low Can Quantum Query Complexity Go?}, + booktitle = {Proceedings of the 19th Annual IEEE Conference on Computational Complexity}, + pages = {286--293}, + year = {2004}, + publisher = {IEEE}, + doi = {10.1109/CCC.2004.1313851} +} + +@inproceedings{MPS23, + author = {Nikhil S. Mande and Manaswi Paraashar and Nitin Saurabh}, + title = {Randomized and Quantum Query Complexities of Finding a King in a Tournament}, + booktitle = {43rd IARCS Annual Conference on Foundations of Software Technology and Theoretical Computer Science}, + series = {Leibniz International Proceedings in Informatics}, + volume = {284}, + pages = {30:1--30:19}, + year = {2023}, + publisher = {Schloss Dagstuhl--Leibniz-Zentrum f{\"u}r Informatik}, + doi = {10.4230/LIPIcs.FSTTCS.2023.30}, + eprint = {2308.02472}, + archivePrefix = {arXiv} +} + +@misc{BK26, + author = {Shalev Ben-David and Robin Kothari}, + title = {Randomized Query Complexity Can Beat Certificate Complexity}, + year = {2026}, + eprint = {2609.15063}, + archivePrefix = {arXiv}, + note = {arXiv:2609.15063} +} + +@misc{AIK26, + author = {Andris Ambainis and J{\=a}nis Iraids and Martins Kokainis}, + title = {Near-Optimal Separations of Certificate Complexity from Randomized and Quantum Query Complexity}, + year = {2026}, + eprint = {2609.11664}, + archivePrefix = {arXiv}, + note = {arXiv:2609.11664v2} +} + +@article{Shaltiel03, + author = {Ronen Shaltiel}, + title = {Towards Proving Strong Direct Product Theorems}, + journal = {Computational Complexity}, + volume = {12}, + number = {1--2}, + pages = {1--22}, + year = {2003}, + doi = {10.1007/s00037-003-0175-x} +} + +@article{Drucker12, + author = {Andrew Drucker}, + title = {Improved Direct Product Theorems for Randomized Query Complexity}, + journal = {Computational Complexity}, + volume = {21}, + number = {2}, + pages = {197--244}, + year = {2012}, + doi = {10.1007/s00037-012-0043-7}, + eprint = {1005.0644}, + archivePrefix = {arXiv} +} + +@inproceedings{Yao77, + author = {Andrew Chi-Chih Yao}, + title = {Probabilistic Computations: Toward a Unified Measure of Complexity}, + booktitle = {Proceedings of the 18th Annual Symposium on Foundations of Computer Science}, + pages = {222--227}, + year = {1977}, + publisher = {IEEE}, + doi = {10.1109/SFCS.1977.24} +} diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/01-introduction.tex b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/01-introduction.tex new file mode 100644 index 0000000000000000000000000000000000000000..8a0b208fb30ff4a92d5c352e6caf5dfac02f9b0c --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/01-introduction.tex @@ -0,0 +1,157 @@ +\section{Introduction}\label{sec:introduction} + +How much can a quantum algorithm reduce the number of input bits needed +to compute a total Boolean function? Let $f:\bits^n\to\bits$. We write +$\R(f)$ and $\Q(f)$ for the minimum worst-case numbers of bit queries made +by randomized and quantum algorithms that compute $f$ with error at most +$1/3$ on every input. Quantum queries use the standard oracle +\[ + O_x\lvert i,b,z\rangle=\lvert i,b\oplus x_i,z\rangle. +\] +Computation between queries is unrestricted. In particular, all query +bounds in this paper are worst-case bounds, including over internal +randomness and measurement outcomes. + +Polynomial relations between these two measures express a basic +restriction on quantum speedups for total functions. To ask for the sharp +power without imposing a particular logarithmic correction, define +\begin{equation}\label{eq:alpha} + \alpha_{\mathrm{tot}}= + \inf\left\{\alpha\ge0: + \begin{array}{l} + \text{there exists }C_\alpha<\infty\text{ such that, for every }n\ge1\nobreak\text{ and}\smallskip\\ + f:\bits^n\to\bits,\quad + \R(f)\le C_\alpha(1+\Q(f))^\alpha + \end{array}\right\}. +\end{equation} +The additive $1$ includes constant functions. We prove the following. + +\begin{theorem}\label{thm:main} +The optimal power is $\alpha_{\mathrm{tot}}=4$. +More precisely, $\R(f)=O((1+\Q(f))^4)$ for every total Boolean function. +For each fixed integer $k\ge2$, there are positive constants $c_k,C_k,b_k$ +and total Boolean functions $F_{k,m}$, for all sufficiently large powers +of four $m$, such that +\begin{equation}\label{eq:main-family} + \Q(F_{k,m})\le C_k\sqrt m\,(\log m)^{b_k}, + \qquad + \R(F_{k,m})\ge c_k\frac{m^{2-1/k}}{(\log m)^2}. +\end{equation} +\end{theorem} + +The universal upper bound is known. The contribution is the family in +\eqref{eq:main-family}, which rules out every smaller power, including +the conjectured cubic relation. + +\subsection{Historical context} + +Grover's search algorithm~\cite{Grover96} gives the basic quadratic +speedup for the OR function, with a matching quantum lower bound +\cite{BBBV97}. Beals, Buhrman, Cleve, Mosca, and de Wolf~\cite{BBCMW01} +proved the general polynomial relation $\D(f)=O(\Q(f)^6)$, where +$\D(f)$ is exact deterministic query complexity. Their result builds +on the combinatorial and polynomial measures studied by +Nisan~\cite{Nisan91} and Nisan and Szegedy~\cite{NisanSzegedy94}. +Thus totality rules out the exponential query speedups possible for +partial functions, but it leaves a substantial range of possible powers. + +Pointer constructions introduced by G\"o\"os, Pitassi, and +Watson~\cite{GPW15} and developed by Ambainis, Balodis, Belovs, Lee, +Santha, and Smotrovs~\cite{ABBLSS17} gave a nearly quartic separation +between deterministic and quantum queries. For bounded-error randomized +queries, Aaronson, Ben-David, and Kothari~\cite{ABK16} introduced the +cheat-sheet framework and obtained a power-$5/2$ separation, up to +logarithmic factors. This framework places certificates in an array +whose correct address is determined by answers to partial-function +instances. Improvements in those partial-function separations led to +power $8/3-o(1)$ by Tal~\cite{Tal20}, and then $3-o(1)$ by Bansal +and Sinha~\cite{BS21} and independently Sherstov, Storozhenko, and +Wu~\cite{SSW23}. + +On the upper-bound side, Aaronson, Ben-David, Kothari, Rao, and +Tal~\cite{ABKRT21}, using Huang's sensitivity theorem~\cite{Huang19}, +proved $\D(f)=O(\Q(f)^4)$. They conjectured that randomized complexity +satisfies the stronger relation $\R(f)=O(\Q(f)^3)$ +\cite[Conjecture~2]{ABKRT21}. Theorem~\ref{thm:main} disproves that +conjecture and shows that the quartic upper bound already has the +optimal power for bounded-error randomized complexity. + +There is also a direct connection to algorithms that compare candidate +witnesses. Quantum minimum finding~\cite{DurrHoyer96}, sink finding +\cite{SYZ04}, and king finding in tournaments~\cite{MPS23} provide +related search procedures. Recent constructions of Ben-David and +Kothari~\cite{BK26} and Ambainis, Iraids, and Kokainis~\cite{AIK26} +use comparisons of candidate witnesses to separate certificate +complexity from randomized and quantum query complexity. Certificate +complexity measures the worst-case size of a smallest partial input +assignment that fixes the function value. Their nearly quartic +separations between certificate and quantum complexity concern a +different classical measure, but their comparison-based viewpoint is +particularly relevant here. + +\subsection{The construction and its two analyses} + +The input is organized into $m$ columns. Each column $i$ contains a string +$X_i$ of $m$ bits and an array of certificate cells. The address of the +relevant cell is the vector of answers to several disjoint instances +of a partial function. Quantumly these answers are cheap to obtain on +promised inputs; classically they are hard to guess. Each cell stores +pointers to positions in all the other strings $X_j$, together with a +circuit transcript certifying the address. + +A column wins when its own string is all ones, its address is defined, +and its certificate is correct and points to a zero in every other +column. The total function asks whether a winner exists. There can be +at most one. An incorrect address or transcript simply fails verification; +the input to the total function carries no promise. + +The direction of the pointers matters. A true winner can use its own +certificate to disqualify every opponent. Conversely, no cell in any +opponent can point to a zero in the winner's all-one string. Thus a cheap +quantum comparison favors the winner with high probability even if the +opponent's address instances violate their promises. Comparisons between +two non-winners may have arbitrary probabilities. Section~\ref{sec:quantum} +proves a tournament lemma that permits precisely this behavior. It +produces a short list containing the winner in $\sqrt m$ times a +polylogarithmic number of queries, after which quantum search checks the +certificates. + +The classical proof starts with one independently hidden zero in every +$X_i$ and blank certificate cells. We choose a uniformly random column, +erase its zero, and fill its correctly addressed cell. These two changes +produce a winner. A randomized algorithm can distinguish the two inputs +only by finding the erased zero or querying the filled cell. The first +event is unlikely for a uniformly chosen column; the second requires +either many address queries in that column or a correct guess of an +entire vector of hard answers. An adaptive direct-product argument makes +this last assertion precise without conditioning on the algorithm's +choice of which columns to investigate. + +The tournament analysis is useful independently of this construction. +It uses the actual probabilities of comparisons as multiplicative +weights; fresh coherent workspaces and amplitude amplification sample +those weights exactly. Only comparisons involving a genuine winner +need to be reliable. This extends the candidate-comparison approach +to the arbitrary behavior caused here by off-promise address inputs. +The classical analysis combines the planted input with a standard +per-instance-capped direct-product argument +\cite{Shaltiel03,Drucker12}; the separate cell arrays let this argument +charge the cost of addressing many possible winners. + +Section~\ref{sec:construction} defines the function and its certificates. +Sections~\ref{sec:quantum} and~\ref{sec:classical} prove the two bounds in +\eqref{eq:main-family}; Section~\ref{sec:exponent} derives the optimal +power. Appendix~\ref{sec:upper} gives a self-contained proof of the known +quartic upper bound. The only external lower-bound input is the +Forrelation theorem stated in Section~\ref{sec:construction}. + +\subsection{Conventions} + +We write $[m]=\{1,\ldots,m\}$ and use logarithms to base two, except in +expressions where changing the base only changes an absolute constant. +Constants in bounds for $F_{k,m}$ may depend on the fixed integer $k$. +A partial Boolean function is specified on a subset of $\bits^N$; +its algorithms must be correct on that subset. The quantum routines used +here have a fixed query cap on every input, including inputs outside the +promise. A circuit transcript lists proposed values of the non-input +gates; the actual input bits are read directly when a gate check needs them. diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/02-construction.tex b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/02-construction.tex new file mode 100644 index 0000000000000000000000000000000000000000..21d798a10a80cfb32f4972b0f8da0703d4bf28c4 --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/02-construction.tex @@ -0,0 +1,221 @@ +\section{An addressed certificate with outward pointers} +\label{sec:construction} + +We construct a total function whose accepting certificate belongs to one +column. The certificate must certify the answers to several Forrelation +instances and point to a zero in every other column. The latter requirement +will let a genuine accepting column defeat any competitor, even when that +competitor's Forrelation instances violate their promise. + +Throughout the construction, fix an integer $k\geq 2$ and let $m$ tend to +infinity through powers of four. Constants in $O_k(\cdot)$ may depend on +$k$, which remains fixed as $m$ grows. Write $[m]=\{1,\ldots,m\}$. + +\subsection{The partial function and its exact circuit} + +We use the $k$-fold Forrelation problem introduced by Aaronson and +Ambainis~\cite{AA18}, with the thresholds analyzed by Bansal and +Sinha~\cite{BS21}. Let $H$ be the normalized Walsh--Hadamard matrix of order $m$, and let +$u=m^{-1/2}(1,\ldots,1)^{\mathsf T}$. We identify a bit $a$ with the sign +$(-1)^a$. For a sign vector $z$, write $D_z$ for the diagonal matrix with +diagonal $z$. Given $k$ sign vectors $z_1,\ldots,z_k\in\{\pm1\}^m$, put +\begin{equation}\label{eq:forrelation-form} + \Phi(z_1,\ldots,z_k) + =u^{\mathsf T}D_{z_1}H D_{z_2}H\cdots H D_{z_k}u, + \qquad \delta=2^{-5k}. +\end{equation} +Define the partial Boolean function $P=P_{k,m}$ on $km$ bits by +\begin{equation}\label{eq:forrelation-promise} + P(z_1,\ldots,z_k)= + \begin{cases} + 1,&\Phi(z_1,\ldots,z_k)\geq\delta,\\ + 0,&|\Phi(z_1,\ldots,z_k)|\leq\delta/2, + \end{cases} +\end{equation} +and leave it undefined on all other inputs. The two displayed cases are +disjoint. Query complexity for this partial function requires correctness +only on its domain. + +\begin{lemma}\label{lem:forrelation} +For each fixed integer $k\geq2$, the functions $P_{k,m}$ have the following +properties. +\begin{enumerate} + \item For all sufficiently large powers of four $m$, + \begin{equation}\label{eq:L-def} + \R(P_{k,m})>L, + \qquad + L=\left\lfloor + \frac{m^{1-1/k}}{(\log_2 m)^2} + \right\rfloor. + \end{equation} + \item For every $0<\eta<1/2$, a quantum algorithm uses + $O_k(1+\log(1/\eta))$ bit queries and returns $P_{k,m}$ with error at most + $\eta$ on every input in its domain. The algorithm can be implemented + coherently, retaining its workspace. On every input, promised or not, it + produces a bit when its output register is measured. + \item There is a Boolean circuit $C=C_{k,m}$ of fan-in at most two and + size $S=S_{k,m}=O_k(m(\log m)^2)$ with two output bits $d,b$ such that + \[ + d=1\quad\Longleftrightarrow\quad P_{k,m}\text{ is defined}, + \qquad d=1\quad\Longrightarrow\quad b=P_{k,m}. + \] + The circuit computes these outputs exactly on every input. +\end{enumerate} +\end{lemma} + +\begin{proof} +Theorem~1.3 and Corollary~1.4 of Bansal and Sinha~\cite{BS21} apply to +exactly the normalized form and thresholds in +\eqref{eq:forrelation-form}--\eqref{eq:forrelation-promise}. They give, +for fixed $k$ and error $1/3$, +\[ + \R(P_{k,m})= + \Omega_k\!\left( + \left(\frac{m}{\log(km)}\right)^{1-1/k} + \right). +\] +This exceeds the value of $L$ in \eqref{eq:L-def} for all sufficiently +large $m$. + +For the quantum algorithm, prepare $u$, apply the unitary product in +\eqref{eq:forrelation-form}, in its right-to-left order, and test the +projection onto $u$. Each $D_{z_h}$ uses one phase query, implemented by +the standard bit oracle, while $H$ and the projection require no queries. +The projection succeeds with probability $\Phi^2$. This probability is +at least $\delta^2$ on a 1-input and at most $\delta^2/4$ on a 0-input. +Independent repetitions and a threshold between these two numbers give +error $\eta$ with $O_k(1+\log(1/\eta))$ repetitions. The measurement +outcomes and the final threshold decision can instead be computed into +registers and retained, giving the claimed coherent implementation. + +For the circuit, let $W=\sqrt m\,H$, whose entries are $\pm1$. The scalar +\[ + N=z_1^{\mathsf T}W D_{z_2}W\cdots W D_{z_k}(1,\ldots,1)^{\mathsf T} +\] +is an integer, and +\[ + \Phi=\frac{N}{M_{k,m}}, + \qquad M_{k,m}=m(\sqrt m)^{k-1}. +\] +The denominator is an integer because $m$ is a power of four. Compute +$N$ by $k-1$ unnormalized Walsh--Hadamard transforms, coordinatewise sign +changes, and a final signed sum. Each transform uses $O(m\log m)$ +additions and subtractions by the usual butterfly recursion. All +intermediate integers have absolute value at most $m^{O(k)}$, so +$O_k(\log m)$ bits suffice. Binary additions, subtractions, sign changes, +and comparisons have fan-in-two Boolean circuits of size linear in this +bit length. Consequently the entire arithmetic circuit has Boolean size +$O_k(m(\log m)^2)$. + +Finally, the two tests in \eqref{eq:forrelation-promise} are the exact +integer comparisons +\[ + 2^{5k}N\geq M_{k,m}, + \qquad 2^{5k+1}|N|\leq M_{k,m}. +\] +Set $d$ to the disjunction of these comparisons and $b$ to the first +comparison. This adds only $O_k(\log m)$ gates and proves the last +assertion. +\end{proof} + +The exact circuit serves a different purpose from the quantum algorithm. +The algorithm will propose an address. A transcript of the circuit will +certify that this address consists of defined, correct answers, including +on inputs where an arbitrary proposed address has no reason to be correct. + +\subsection{The total function} + +Set +\begin{equation}\label{eq:r-def} + r=\lceil20\log_2m\rceil, + \qquad \ell=\log_2m. +\end{equation} +The input has $m$ columns. Column $i\in[m]$ contains the following bits: +\begin{enumerate} + \item A string $X_i\in\bits^m$. + \item Strings $A_{i,1},\ldots,A_{i,r}\in\bits^{km}$, with no promise + imposed on them. + \item A cell $B_{i,s}$ for each address $s\in\bits^r$. This cell + contains a pointer $p_{i,s,j}\in[m]$ for each $j\ne i$, encoded by + $\ell$ bits using a fixed bijection, and an alleged evaluation transcript + of $C_{k,m}$ on each $A_{i,h}$, $h\in[r]$. +\end{enumerate} +An evaluation transcript consists of one bit for every non-input gate of +$C_{k,m}$, including its output gates. Circuit inputs are the actual bits +of $A_{i,h}$; they need not be copied into the transcript. We count these +non-input gates in $S$. + +Call column $i$ a \emph{winner} if $X_i=1^m$, every $P(A_{i,h})$ is +defined, and the cell at its true address +\begin{equation}\label{eq:true-address} + s_i=(P(A_{i,1}),\ldots,P(A_{i,r})) +\end{equation} +contains correct evaluation transcripts and pointers satisfying +\begin{equation}\label{eq:outward-pointers} + X_j[p_{i,s_i,j}]=0\qquad\text{for every }j\ne i. +\end{equation} +Define $F_{k,m}$ to be 1 if a winner exists, and 0 otherwise. This is a +total Boolean function: all the preceding conditions are predicates on +the input bits, and no promise is made about the $A$-strings, the pointers, +or the transcripts. + +The addressed transcripts have the certificate role used in cheat-sheet +constructions~\cite{ABK16}, while pointers between columns also occur in +earlier query-complexity separations~\cite{GPW15,ABBLSS17}. Here the pointers have +a specific outward orientation: an accepting column supplies a direct +zero witness against every competitor. In particular, there can be at +most one winner, since a winner's pointer to another column certifies that +the latter is not all ones. Figure~\ref{fig:outward} depicts this +condition. + +\input{figures/outward-pointers} +\FloatBarrier + +We next make certificate verification precise. For a specified pair +$(i,s)$, say that $i$ wins \emph{at address $s$} if $i$ is a winner and +$s=s_i$. + +\Needspace{9\baselineskip} +\begin{lemma}\label{lem:local-tests} +For every input to $F_{k,m}$ and every pair $(i,s)\in[m]\times\bits^r$, +the assertion that $i$ wins at address $s$ is a conjunction of +\[ + K_{k,m}=m+(m-1)+r(S_{k,m}+2) + =O_k(m(\log m)^3) +\] +Boolean tests. Each test can be evaluated exactly with $O(\log m)$ bit +queries. The tests can also be evaluated coherently with the same query +bound, with their indices supplied in superposition. Their number and +indexing convention are the same for every $(i,s)$. +\end{lemma} + +\begin{proof} +Use one test for each bit of $X_i$, requiring it to be 1, and one test +for each $j\ne i$, reading the pointer $p_{i,s,j}$ and requiring the +indicated bit of $X_j$ to be 0. The latter uses $\ell+1$ queries. + +For each of the $r$ transcripts in $B_{i,s}$, use one test per gate, +requiring its claimed value to be the prescribed Boolean function of its +predecessors. A predecessor value is read from the transcript for a +non-input gate and from $A_{i,h}$ for an input wire. Fan-in at most two +therefore makes each such test use at most three queries. Add two output +tests, requiring $d=1$ and $b=s_h$. By induction in a topological order +of the circuit, all gate tests pass if and only if the transcript is the +true evaluation. The output tests then say exactly that $P(A_{i,h})$ is +defined and equals $s_h$. Together with the $X_i$ and pointer tests, +these are precisely the winner conditions at $(i,s)$. + +The wiring of the circuit and the locations of all bits are fixed and +require no queries to compute. A test can load the required bits into +ancillas, compute its result reversibly, and unload the bits by querying +again. The bit oracle is its own inverse. A controlled use of that +oracle, when needed, is likewise implemented by loading, controlled use +of the loaded value, and unloading. Thus coherent evaluation, including +an input-dependent pointer lookup, changes the query count by at most a +constant factor. +\end{proof} + +Two consequences will be used repeatedly. A winning column has one +address at which every test passes; a nonwinning column has a failing +test at every address. Thus an address proposed on an unpromised input +can always be checked against the total definition. diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/03-quantum.tex b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/03-quantum.tex new file mode 100644 index 0000000000000000000000000000000000000000..8f6be253fe44ea8b17c031272a90db280b36b5a6 --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/03-quantum.tex @@ -0,0 +1,298 @@ +\section{Quantum search with probabilistic comparisons}\label{sec:quantum} + +We first prove a general tournament statement. A comparison need not +behave almost deterministically: its outcome probabilities may be +arbitrary, provided one distinguished candidate beats each opponent +with sufficiently high probability. This is the additional feature needed +beyond comparison algorithms for a fixed tournament +\cite{SYZ04,MPS23,BK26}. There is no promised gap between a nonwinner +comparison probability and $1/2$, so ordinary error reduction does not +provide uniformly cheap bounded-error access to a fixed tournament. +After proving the statement, we +construct the comparisons for $F_{k,m}$ and verify the candidates they +produce. + +\subsection{Amplification without changing the sampled distribution} + +The tournament will sample a candidate conditioned on defeating every +previously selected candidate. Amplification must preserve that +conditional distribution while increasing the probability of obtaining +a sample. This is a direct consequence of the +two-dimensional rotation underlying amplitude amplification +\cite{BBHT98,BHMT02}; we give the details because the distribution, +as well as the success probability, is used in the tournament. + +\begin{lemma}[Bounded amplification]\label{lem:amplification} +Let $A$ be a quantum state preparation with a designated success bit. +Its success probability is $p$, and, if $p>0$, its normalized successful +state is $\lvert g\rangle$. Let $0<\gamma\le1/2$ and $0<\eta<1/2$. +There is a procedure using +\[ + O\bigl(\gamma^{-1/2}\log(1/\eta)\bigr) +\] +calls to $A$ and $A^{-1}$ that either reports failure or produces a +successful outcome. Conditional on success, the output state is +$\lvert g\rangle$ up to a global phase. If $p\ge\gamma$, its failure +probability is at most $\eta$. If $p=0$, it always reports failure. +The call bound holds for every $p$ and on every branch. +\end{lemma} + +\begin{proof} +For $00$, sample a pivot $p$ with probability $w_p/W$, append it to +the list, and update +\begin{equation}\label{eq:weights} + w_i\longleftarrow w_i a_{ip}\qquad(i\in[m]). +\end{equation} +When $W=0$, leave the list unchanged and keep all weights zero. The +weights only define this ideal process; the algorithm will not compute +them numerically. + +For $W>0$, complementarity gives the exact drift identity +\begin{align} + \E[W_{\mathrm{new}}\mid w] + &=\frac{1}{W}\sum_{p,i}w_pw_i a_{ip}\notag\\ + &=\frac{W^2-\sum_iw_i^2}{2W}\le\frac W2. + \label{eq:drift} +\end{align} +The same inequality holds when $W=0$, so after $T$ steps +$\E W_T\le m/2^T$. If a candidate $i_\ast$ satisfying +\eqref{eq:dominant} has never been selected, its final weight is at +least +\[ + (1-\epsilon)^T\ge1-T\epsilon>\frac12. +\] +In particular, the process cannot reach zero total weight before +selecting it. Markov's inequality implies +\begin{equation}\label{eq:ideal-miss} + \Pr[i_\ast\text{ absent from the ideal list}] + \le\Pr[W_T\ge1/2]\le\frac{2m}{2^T}. +\end{equation} + +Now fix an arbitrary list of previously selected pivots +$p_1,\ldots,p_t$, where $t + G:=\left\lfloor\frac{mL}{100}\right\rfloor, + \qquad + L=\left\lfloor\frac{m^{1-1/k}}{(\log_2m)^2}\right\rfloor. +\end{equation} +\end{proposition} + +\begin{proof} +Generate a \emph{dummy input} $Y^{(0)}$ as follows. Independently for +each $i\in[m]$, choose $J_i$ uniformly from $[m]$ and put a single zero +at position $J_i$ in $X_i$, setting its other bits to 1. Draw all +$A_{i,h}$ independently from $\mu$, independently also of the $J_i$. +Set all cells $B_{i,s}$ to one fixed blank bit pattern. Since each $X_i$ +has a zero, $F_{k,m}(Y^{(0)})=0$. + +Choose $I$ uniformly from $[m]$, independently of the entire dummy +input. Form a \emph{planted input} $Y^{(1)}$ by setting $X_I=1^m$ and +filling its true-address cell $B_{I,s_I}$ with the correct circuit +transcripts and the pointers $p_{I,s_I,j}=J_j$ for $j\ne I$. +All $A$-strings are in the domain of $P$, so $s_I$ is well defined. +Column $I$ is a winner, and therefore $F_{k,m}(Y^{(1)})=1$. + +Fix a deterministic algorithm making at most $G$ queries, and consider +its run on $Y^{(0)}$. The coupled inputs can differ only at the bit +$X_I[J_I]$ and inside the cell $B_{I,s_I}$. Until one of these locations +is queried, the two executions have identical answers and hence +identical subsequent queries. It follows that the difference between +their output-1 probabilities is at most +\begin{equation}\label{eq:coupling-events} + \Pr(\text{the dummy run queries }X_I[J_I]) + +\Pr(\text{the dummy run queries any bit of }B_{I,s_I}). +\end{equation} +Counting every visit to the indicated cell is an upper bound even if +the queried bit happens to agree with its blank value. + +\paragraph{Finding the removed zero.} +Let $Z$ be the number of columns whose zero is discovered in the dummy +run. Before the zero in a column is found, its location is uniform +among the positions in that column not yet queried. This remains true +conditional on the full adaptive transcript: the other $X$-strings and +all $A$-strings are independent of its zero location, and the blank +cells supply no information about that location. + +Call a discovery early if fewer than $m/2$ distinct positions in its +column were queried before it. Conditional on the preceding transcript, +each query has probability at most $2/m$ of an early discovery. Thus +the expected number of early discoveries is at most $2G/m$. Each +remaining discovery occurs in a column that receives at least $m/2$ +queries, and there are at most $2G/m$ such columns. Hence +\[ + \mathbb E Z\leq\frac{4G}{m}. +\] +The dummy run is independent of $I$, so +\begin{equation}\label{eq:zero-hit} + \Pr(\text{the dummy run queries }X_I[J_I]) + =\frac{\mathbb E Z}{m}\leq\frac{4G}{m^2}. +\end{equation} + +\paragraph{Reaching the planted cell.} +Call a column heavy if, over the entire dummy run, the algorithm makes +more than $L$ queries in total to its strings $A_{i,1},\ldots,A_{i,r}$. +There are at most $G/L$ heavy columns. Independence of $I$ gives +\begin{equation}\label{eq:heavy-probability} + \Pr(I\text{ is heavy})\leq\frac{G}{mL}. +\end{equation} +For the other columns we use Lemma~\ref{lem:adaptive-product}. The +following simulation bounds a joint event and does not condition the +input distribution on a column being nonheavy. + +Fix $i\in[m]$ and a time $t\in\{1,\ldots,G\}$. Give a simulator all +the dummy input outside $A_{i,1},\ldots,A_{i,r}$ for free. This +information is independent of those $r$ strings. The simulator runs +the deterministic algorithm up to its proposed $t$th query, but aborts +before making an $(L+1)$st query to these $r$ strings in total. If it +reaches time $t$ and the proposed query is to a cell $B_{i,s}$, it outputs +the address $s$ as its guess for the vector of $r$ answers. Otherwise, +including if the simulated run stops or aborts, it outputs any fixed +vector. + +The simulator makes at most $L$ queries in total to the target strings, +and in particular at most $L$ to each one. By +Lemma~\ref{lem:adaptive-product}, its probability of guessing $s_i$ +correctly is at most $(2/3)^r$. Whenever the original dummy run queries +$B_{i,s_i}$ at time $t$ and column $i$ is nonheavy, this simulator has +not aborted and outputs the correct address. Thus +\begin{equation}\label{eq:capped-address} + \Pr\bigl(i\text{ is nonheavy and the $t$th query is in }B_{i,s_i}\bigr) + \leq (2/3)^r. +\end{equation} +Union bounding over $t$ and averaging over the independent uniform +choice of $I$, then adding \eqref{eq:heavy-probability}, yields +\begin{equation}\label{eq:cell-hit} + \Pr(\text{the dummy run queries }B_{I,s_I}) + \leq\frac{G}{mL}+G(2/3)^r. +\end{equation} + +Equations~\eqref{eq:coupling-events}, \eqref{eq:zero-hit}, and +\eqref{eq:cell-hit} bound the difference of output probabilities by +\begin{equation}\label{eq:classical-distinguishing} + \frac{4G}{m^2}+\frac{G}{mL}+G(2/3)^r. +\end{equation} +For all sufficiently large $m$, we have $1\leq L\leq m$ and +$G\leq mL/100$. The first two terms are therefore at most $4/100$ +and $1/100$, respectively. Moreover, \eqref{eq:r-def} gives +\[ + G(2/3)^r + \leq\frac1{100}m^{\,2-20\log_2(3/2)}=o(1). +\] +In particular, \eqref{eq:classical-distinguishing} is strictly less +than $1/3$ for large $m$. + +The same bound holds for a randomized algorithm of worst-case query +cost $G$, by fixing its coins and then averaging. Such an algorithm, +if it had worst-case error at most $1/3$, would output 1 with probability +at most $1/3$ on $Y^{(0)}$ and at least $2/3$ on $Y^{(1)}$. Their +output-1 probabilities would differ by at least $1/3$, contradicting +the preceding estimate. Hence $\R(F_{k,m})>G$. +\end{proof} + +For fixed $k$, Proposition~\ref{prop:classical} implies +\[ + \R(F_{k,m})= + \Omega_k\!\left(\frac{m^{2-1/k}}{(\log m)^2}\right). +\] +The heavy-column estimate pays for learning an address, while the +independent-answer estimate makes guessing an unlearned address +negligible even over all $G$ adaptive queries. diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/05-exponent.tex b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/05-exponent.tex new file mode 100644 index 0000000000000000000000000000000000000000..668200e19a40300031b8b57bca5b8c288c13c4f4 --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/05-exponent.tex @@ -0,0 +1,41 @@ +\section{The optimal power}\label{sec:exponent} + +We combine the quantitative bounds before recalling the universal upper +bound in the appendix. + +\begin{proof}[Proof of Theorem~\ref{thm:main}] +For each fixed $k\ge2$, Proposition~\ref{prop:quantum} gives +$\Q(F_{k,m})\le C_k\sqrt m(\log m)^{b_k}$ for suitable constants. +Proposition~\ref{prop:classical} gives +\[ + \R(F_{k,m})> + \left\lfloor\frac m{100} + \left\lfloor\frac{m^{1-1/k}}{(\log m)^2}\right\rfloor + \right\rfloor + \ge c_k\frac{m^{2-1/k}}{(\log m)^2} +\] +for sufficiently large $m$, after decreasing $c_k>0$. +This proves \eqref{eq:main-family}. + +Now fix $0\le\alpha<4$ and choose an integer $k\ge2$ such that +$2-1/k>\alpha/2$. The integer $k$ remains fixed as $m$ tends to infinity. +The preceding bounds imply +\[ + \frac{\R(F_{k,m})}{(1+\Q(F_{k,m}))^\alpha} + \ge c_{k,\alpha} + \frac{m^{2-1/k-\alpha/2}} + {(\log m)^{2+\alpha b_k}} + \longrightarrow\infty. +\] +Hence no exponent smaller than four belongs to the set in +\eqref{eq:alpha}. Conversely, Theorem~\ref{thm:quartic-upper} proves +$\R(f)\le\D(f)=O((1+\Q(f))^4)$ for every total Boolean function. +Therefore four does belong to that set, and its infimum is four. +\end{proof} + +Separate address arrays force a classical algorithm to invest in many +columns, while quantum comparisons locate a candidate before its +certificate is checked. Quantum search then supplies the quadratic +saving in checking the local tests. The direct-product estimate prevents +a classical algorithm from bypassing the addressing cost by guessing +certificate locations. diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/06-upper-bound.tex b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/06-upper-bound.tex new file mode 100644 index 0000000000000000000000000000000000000000..d25b3bb787f1a85fe9e4cbd2c0eef87b9d7aa4e3 --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/build/sections/06-upper-bound.tex @@ -0,0 +1,202 @@ +\section{The universal quartic bound}\label{sec:upper} + +For completeness, we prove the upper bound used in +Theorem~\ref{thm:main}. The argument is the one of Aaronson, Ben-David, +Kothari, Rao, and Tal~\cite{ABKRT21}, combining Huang's signed-cube +method~\cite{Huang19} with the adversary bound and the deterministic +degree--block-sensitivity inequality. No part of the construction is +used in this appendix. + +For a total Boolean function $f$, let $\D(f)$ be its exact deterministic +query complexity and $\deg(f)$ its degree as a real multilinear polynomial. +The degree is unchanged by replacing input or output bits by signs. +A nonempty set $B\subseteq[n]$ is a \emph{sensitive block at $x$} if +flipping every bit in $B$ changes $f(x)$. The block sensitivity $\bs(f)$ +is the maximum, over $x$, of the number of pairwise disjoint sensitive +blocks at $x$. + +\begin{theorem}[\cite{ABKRT21}]\label{thm:quartic-upper} +Every total Boolean function satisfies +\[ + \R(f)\le\D(f)=O((1+\Q(f))^4). +\] +\end{theorem} + +We establish the three ingredients separately. All matrix norms below +are operator norms for the Euclidean norm. + +\begin{lemma}[Nonnegative spectral adversary bound] +\label{lem:adversary} +Let $f$ be a nonconstant total Boolean function. Let $\Gamma$ be a nonzero +real symmetric matrix, indexed by inputs, with nonnegative entries and +$\Gamma_{xy}=0$ whenever $f(x)=f(y)$. Let +\[ + (\Gamma_i)_{xy}=\Gamma_{xy}\,\mathbf1_{\{x_i\ne y_i\}}. +\] +Then, for an absolute constant $c>0$, +\[ + \Q(f)\ge c\frac{\norm{\Gamma}}{\max_i\norm{\Gamma_i}}. +\] +\end{lemma} + +\begin{proof} +This is the spectral adversary argument of +Barnum, Saks, and Szegedy~\cite{BSS03}; see also +\v{S}palek and Szegedy~\cite{SpalekSzegedy06}. +Purify all randomness and defer measurements. A bounded-query algorithm +can be represented with a fixed number of queries, with at most a +constant-factor overhead: branches that have finished can perform +ineffective queries, and controlled queries can be simulated with two +bit queries. Let $\lvert\psi_x^t\rangle$ be its normalized pure state +on input $x$ after $t$ queries. + +By the Perron--Frobenius theorem, $\Gamma$ has a nonnegative unit +eigenvector $v$ of eigenvalue $\norm{\Gamma}$. Track +\[ + W_t=\sum_{x,y}v_xv_y\Gamma_{xy} + \langle\psi_x^t\mid\psi_y^t\rangle. +\] +Initially the states are input-independent, so +$W_0=v^\top\Gamma v=\norm{\Gamma}$. Input-independent unitaries +preserve every overlap. + +Immediately before a query, write the normalized state as +\[ + \lvert\psi_x\rangle=\sum_i\lvert i\rangle\lvert\phi_{x,i}\rangle, + \qquad \sum_i\norm{\phi_{x,i}}^2=1. +\] +The bit oracle acts identically +on inputs $x,y$ at that index unless $x_i\ne y_i$. When they differ, +the overlap changes in magnitude by at most +$2\norm{\phi_{x,i}}\norm{\phi_{y,i}}$, since the difference between +the relevant unitary and the identity has norm at most two. Put +$u_i(x)=v_x\norm{\phi_{x,i}}$. Nonnegativity of the weights gives +\begin{align*} + \abs{W_{t+1}-W_t} + &\le2\sum_i u_i^\top\Gamma_i u_i\\ + &\le2\max_i\norm{\Gamma_i}\sum_i\norm{u_i}^2 + =2\max_i\norm{\Gamma_i}. +\end{align*} +The last equality follows from normalization of each query state and +$\sum_xv_x^2=1$. + +At the end, measure the output bit. For opposite-output inputs, one +output-one probability is at most $1/3$, and the other is at least +$2/3$. Splitting the two states by that output and applying +Cauchy--Schwarz bounds their overlap in absolute value by +$2\sqrt2/3$. Hence the final value satisfies +\[ + \abs{W_{\mathrm{final}}} + \le\frac{2\sqrt2}{3}\sum_{x,y}v_xv_y\Gamma_{xy} + =\frac{2\sqrt2}{3}\norm{\Gamma}. +\] +The required total change in $W$ divided by the per-query bound proves +the assertion. +\end{proof} + +Let $S_f$ be the adjacency matrix of the \emph{sensitivity graph}: its +vertices are $\bits^n$, and two vertices are adjacent if they differ +in exactly one bit and have different function values. Write +$\lambda(f)=\norm{S_f}$. + +\begin{lemma}\label{lem:bs-lambda} +For every nonconstant total Boolean function, +\[ + \bs(f)=O(\Q(f)^2),\qquad + \lambda(f)=O(\Q(f)). +\] +\end{lemma} + +\begin{proof} +Choose an input $x$ with $b=\bs(f)$ disjoint sensitive blocks. Take +$\Gamma$ to be the adjacency matrix of the star whose center is $x$ +and whose leaves are the $b$ inputs obtained by flipping those blocks, +with zero entries elsewhere. Its norm is $\sqrt b$. Each coordinate +belongs to at most one block, so $\Gamma_i$ has at most one undirected +edge and norm at most one. Lemma~\ref{lem:adversary} gives +$\Q(f)=\Omega(\sqrt b)$. This recovers the usual block-sensitivity +lower bound for quantum queries~\cite{BBCMW01}. + +For the second assertion, use $\Gamma=S_f$. The edges in any one +coordinate form a partial matching, whose adjacency matrix has norm +at most one. Another application of Lemma~\ref{lem:adversary} gives +$\Q(f)=\Omega(\lambda(f))$, as in~\cite{ABKRT21}. +\end{proof} + +\begin{lemma}[\cite{ABKRT21}, using \cite{Huang19}] +\label{lem:degree-lambda} +Every nonconstant total Boolean function satisfies +$\deg(f)\le\lambda(f)^2$. +\end{lemma} + +\begin{proof} +Write the function with sign inputs and sign outputs, and set +$d=\deg(f)\ge1$. Choose a monomial supported on a set of $d$ variables +with nonzero coefficient, and fix all other variables to any signs. +Its coefficient survives: any different monomial that could contribute +to that coefficient would strictly contain its support and have degree +larger than $d$. The restricted sign function $g$ on the $d$-cube +therefore has nonzero correlation with parity. For some sign +$\sigma\in\{-1,1\}$, the set +\[ + U=\{x\in\{-1,1\}^d:g(x)=\sigma x_1\cdots x_d\} +\] +has size greater than $2^{d-1}$. Every cube edge with both endpoints in +$U$ changes $g$, since parity changes across each edge. + +Define a signed adjacency matrix of the cube recursively by +\[ + H'_1=\begin{pmatrix}0&1\\1&0\end{pmatrix}, + \qquad + H'_{j+1}=\begin{pmatrix}H'_j&I\\I&-H'_j\end{pmatrix}. +\] +Its entrywise absolute value is the ordinary cube adjacency matrix. +Induction gives $(H'_j)^2=jI$, and its trace is zero. Thus $H'_d$ has +eigenvalues $\pm\sqrt d$, each with multiplicity $2^{d-1}$. The +$\sqrt d$-eigenspace intersects the space of vectors supported on $U$ +nontrivially, because their dimensions sum to more than $2^d$. +Choose a nonzero real vector $v$ in this intersection, and put +$u=\abs v$ entrywise. If $A_U$ is the unsigned adjacency induced on +$U$, then +\[ + u^\top A_Uu\ge v^\top H'_dv=\sqrt d\,\norm v^2 + =\sqrt d\,\norm u^2. +\] +All edges of $A_U$ are sensitivity edges of the restriction, and hence +of the original function. Extending $u$ by zero to the full input +cube gives $\lambda(f)\ge\sqrt d$, as required. +\end{proof} + +\begin{lemma}[\cite{Midrijanis04}]\label{lem:degree-bs} +Every total Boolean function satisfies +$\D(f)\le\bs(f)\deg(f)$. +\end{lemma} + +\begin{proof} +Consider the following deterministic algorithm. If the function +restricted by the queries so far is nonconstant, select a monomial +of maximum degree in that restricted polynomial and query all its +variables. Continue until the restriction is constant. + +Fix the actual full input $x$. In a given round, let $S$ be the +selected monomial's support. Fix all other still-unqueried variables +to their values in $x$. The coefficient on $S$ remains nonzero, since +no monomial in the current restriction strictly contains $S$. +The resulting function on $S$ is nonconstant. Some assignment to $S$ +therefore differs in value from the actual assignment $x|_S$. The +nonempty subset of coordinates on which these two assignments differ +is a sensitive block at the original input $x$. + +Different rounds query disjoint sets, so these sensitive blocks are +disjoint. There are at most $\bs(f)$ rounds. Restrictions do not +increase degree, and each round queries at most $\deg(f)$ variables. +The stated deterministic bound follows. +\end{proof} + +\begin{proof}[Proof of Theorem~\ref{thm:quartic-upper}] +For nonconstant $f$, Lemmas~\ref{lem:bs-lambda} and +\ref{lem:degree-lambda} give both $\bs(f)=O(\Q(f)^2)$ and +$\deg(f)=O(\Q(f)^2)$. Lemma~\ref{lem:degree-bs} then gives +$\D(f)=O(\Q(f)^4)$. Since a deterministic algorithm is also randomized, +$\R(f)\le\D(f)$. Constant functions require no queries. +\end{proof} diff --git a/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/quartic-query-separation.pdf b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/quartic-query-separation.pdf new file mode 100644 index 0000000000000000000000000000000000000000..6464e4cc1ccfbeeefc1a7b89486626af9eae6cdb --- /dev/null +++ b/preprints/A-Nearly-Quartic-Separation-Between-Randomized-and-Quantum-Query-Complexity-October-5-2026/quartic-query-separation.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:a99f1c38d086a33591b6204ae3957fe3f25c8f31d97c48087325a18fd66daf3e +size 433829 diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/README.md b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..5d7fe33864c549fba29c4cf1b4a9b088da98f09c --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/README.md @@ -0,0 +1,17 @@ +# [A negative solution to the finite lattice representation problem](paper.pdf) + +**Author:** OpenAI + +**Date:** September 24, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026, + author = {{OpenAI}}, + title = {{A negative solution to the finite lattice representation problem}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/paper.pdf}{OAI:A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026}}, + year = {2026} +} +``` diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/figures/boolean-faces.tex b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/figures/boolean-faces.tex new file mode 100644 index 0000000000000000000000000000000000000000..39f54abb93fbdc56426dda55d89275263ad076ef --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/figures/boolean-faces.tex @@ -0,0 +1,29 @@ +\begin{figure}[htbp] +\centering +\begin{tikzpicture}[x=1cm,y=1cm, + face/.style={fill=white,inner sep=3pt}, + every node/.style={font=\small}] +\node[face] (x) at (0,0) {$x=\{1\}$}; +\node[face] (u1) at (-3,1.45) {$u_1=\{1,2\}$}; +\node[face] (u2) at (0,1.45) {$u_2=\{1,3\}$}; +\node[face] (u3) at (3,1.45) {$u_3=\{1,4\}$}; +\node[face] (w12) at (-3,3) {$\{1,2,3\}$}; +\node[face] (w13) at (0,3) {$\{1,2,4\}$}; +\node[face] (w23) at (3,3) {$\{1,3,4\}$}; +\node[face,draw,rounded corners=2pt,align=center] (all) at (0,4.6) + {$\{1,2,3,4\}$\\full union}; +\draw (x)--(u1) (x)--(u2) (x)--(u3); +\draw (u1)--(w12) (u1)--(w13); +\draw (u2)--(w12) (u2)--(w23); +\draw (u3)--(w13) (u3)--(w23); +\draw[densely dashed] (w12)--(all) (w13)--(all) (w23)--(all); +\end{tikzpicture} +\caption{The original Boolean faces containing $x$. Each pair among +$u_1,u_2,u_3$ has a proper union, but their total union is full. +All displayed subset relations survive the private insertions. +In the extension configuration of Proposition~\ref{ext:reduction}, +solid edges correspond to restrictions of compatible homomorphisms +on actual nested domains. The dashed edges reach the full union, +for which a common extension is forbidden.} +\label{fig:boolean-faces} +\end{figure} diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/figures/tested-chain.tex b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/figures/tested-chain.tex new file mode 100644 index 0000000000000000000000000000000000000000..e8458c6f33686e064f5425ef0a3be7aae3ea0ae5 --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/figures/tested-chain.tex @@ -0,0 +1,24 @@ +\begin{figure}[htbp] +\centering +\begin{tikzpicture}[x=1cm,y=1cm, + vertex/.style={circle,fill=black,inner sep=1.8pt}, + every node/.style={font=\small}] +\node[vertex,label=left:{$x_i$}] (lo) at (0,0) {}; +\node[vertex,label=left:{$x_{i+1}$}] (mid) at (0,1.15) {}; +\node[vertex,label=left:{$x_j$}] (hi) at (0,3.2) {}; +\node[vertex,label=right:{$v_{ij}$}] (shortcut) at (2.5,1.6) {}; +\draw (lo)--(mid); +\draw[densely dashed] (mid)--(hi); +\draw[thick] (lo)--(shortcut)--(hi); +\node[align=left,anchor=west] at (3.45,1.6) + {$x_i\prec v_{ij}\prec x_j$\\two covering steps}; +\node[align=center] at (0.5,-.55) {selected chain segment}; +\end{tikzpicture} +\caption{One shortcut in a tested chain. The two thick edges are covers +in the entire subgroup interval; the selected chain on the left can +have arbitrarily many intermediate vertices and is not required to be +saturated. Fences, coatom witnesses, and the $M_{16}$ tests are omitted. +The proof compares the restrictions imposed by every short route with +those imposed by traversing a long chain.} +\label{fig:tested-chain} +\end{figure} diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/main.tex b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..a185fed327bdd8ff14808d8ccbd3f11d4c8d3120 --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/main.tex @@ -0,0 +1,29 @@ +\documentclass[11pt]{article} +\input{preamble} +\title{A negative solution to the\\finite lattice representation problem} +\author{OpenAI} +\date{September 24, 2026} +\begin{document} +\maketitle +\begin{abstract} +We give a negative solution to the finite lattice representation problem. +We prove that there is a finite nonempty lattice that is not the full +congruence lattice of any finite nonempty algebra of any finite signature. +\end{abstract} +\tableofcontents + +\input{sections/introduction} +\input{sections/framework} +\input{sections/classification} +\input{sections/growth} +\input{sections/lifts} +\input{sections/packets} +\input{sections/rigidity} +\input{sections/lattices} +\input{sections/extensions} +\input{sections/gluing} + +\bibliographystyle{plain} +\bibliography{references} +\end{document} + diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/preamble.tex b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/preamble.tex new file mode 100644 index 0000000000000000000000000000000000000000..62c42623957201c239b211c3f4dd95dc5dcb84a6 --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/preamble.tex @@ -0,0 +1,59 @@ +\usepackage[T1]{fontenc} +\usepackage[utf8]{inputenc} +\usepackage{lmodern} +\usepackage[margin=1in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{booktabs,longtable,array,enumitem} +\usepackage{microtype} +\usepackage{needspace,etoolbox} +\usepackage{xcolor} +\usepackage{tikz} +\usetikzlibrary{arrows.meta,positioning} +\usepackage{hyperref} +\hypersetup{colorlinks=true,linkcolor=blue!45!black,citecolor=blue!45!black,urlcolor=blue!45!black,pdftitle={A negative solution to the finite lattice representation problem},pdfsubject={A group-theoretic obstruction to finite congruence-lattice representation},pdfauthor={OpenAI}} +\usepackage[nameinlink,capitalize,noabbrev]{cleveref} +\usepackage{url} +\urlstyle{same} +\setlength{\emergencystretch}{2em} +\numberwithin{equation}{section} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{definition} +\newtheorem{definition}[theorem]{Definition} +\newtheorem{convention}[theorem]{Convention} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\newtheorem{example}[theorem]{Example} +\BeforeBeginEnvironment{theorem}{\Needspace{5\baselineskip}} +\BeforeBeginEnvironment{lemma}{\Needspace{5\baselineskip}} +\BeforeBeginEnvironment{proposition}{\Needspace{5\baselineskip}} +\BeforeBeginEnvironment{corollary}{\Needspace{5\baselineskip}} +\BeforeBeginEnvironment{definition}{\Needspace{5\baselineskip}} +\BeforeBeginEnvironment{convention}{\Needspace{5\baselineskip}} +\BeforeBeginEnvironment{remark}{\Needspace{5\baselineskip}} +\BeforeBeginEnvironment{example}{\Needspace{5\baselineskip}} +\pretocmd{\subsection}{\Needspace{8\baselineskip}}{}{\PackageError{article-layout}{Failed to patch subsection spacing}{}} +\DeclareMathOperator{\Aut}{Aut} +\DeclareMathOperator{\Inn}{Inn} +\DeclareMathOperator{\Out}{Out} +\DeclareMathOperator{\Soc}{soc} +\DeclareMathOperator{\Core}{core} +\DeclareMathOperator{\Rad}{rad} +\DeclareMathOperator{\Con}{Con} +\DeclareMathOperator{\rank}{rank} +\DeclareMathOperator{\GL}{GL} +\DeclareMathOperator{\SL}{SL} +\DeclareMathOperator{\Sp}{Sp} +\DeclareMathOperator{\SO}{SO} +\DeclareMathOperator{\GU}{GU} +\DeclareMathOperator{\SU}{SU} +\DeclareMathOperator{\Hom}{Hom} +\DeclareMathOperator{\End}{End} +\newcommand{\F}{\mathbb F} +\newcommand{\N}{\mathbb N} +\newcommand{\Z}{\mathbb Z} +\newcommand{\Q}{\mathbb Q} +\newcommand{\C}{\mathbb C} +\newcommand{\id}{\operatorname{id}} diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/references.bib b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/references.bib new file mode 100644 index 0000000000000000000000000000000000000000..fa30f431113886cfbda4bbaa5234796069a8cf12 --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/references.bib @@ -0,0 +1,435 @@ +@article{GratzerSchmidt1963, + note = {\href{https://acta.bibl.u-szeged.hu/13983/1/math_024_fasc_001_002_034-037.pdf}{Introduction scan, pp.~34--37}}, + author = {Gr{\"a}tzer, George and Schmidt, E. Tam{\'a}s}, + title = {Characterizations of congruence lattices of abstract algebras}, + journal = {Acta Scientiarum Mathematicarum (Szeged)}, + volume = {24}, + year = {1963}, + pages = {34--59}, + url = {https://acta.bibl.u-szeged.hu/13983/1/math_024_fasc_001_002_034-037.pdf} +} + +@article{PalfyPudlak1980, + note = {\href{https://doi.org/10.1007/BF02483080}{DOI}; \href{https://math.hawaii.edu/~ralph/Classes/619/PalfyPudlak.pdf}{article scan}}, + author = {P{\'a}lfy, P{\'e}ter P{\'a}l and Pudl{\'a}k, Pavel}, + title = {Congruence lattices of finite algebras and intervals in subgroup lattices of finite groups}, + journal = {Algebra Universalis}, + volume = {11}, + year = {1980}, + pages = {22--27}, + doi = {10.1007/BF02483080}, + url = {https://math.hawaii.edu/~ralph/Classes/619/PalfyPudlak.pdf} +} + +@incollection{PalfyTwisted, + note = {\href{https://doi.org/10.1017/9781108692397.020}{DOI}; \href{https://real.mtak.hu/102571/1/twisted.pdf}{author version}}, + author = {P{\'a}lfy, P{\'e}ter P.}, + title = {Subgroups of twisted wreath products}, + booktitle = {Groups St Andrews 2017 in Birmingham}, + editor = {Campbell, C. 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Locators refer to the corrected \href{https://arxiv.org/abs/1803.01174v2}{arXiv:1803.01174v2} (2018)}, +} + +@article{CPSvdK1977, + note = {\href{https://doi.org/10.1007/BF01390106}{DOI}}, + author = {Cline, Edward and Parshall, Brian and Scott, Leonard and van der Kallen, Wilberd}, + title = {Rational and generic cohomology}, + journal = {Inventiones Mathematicae}, + volume = {39}, + year = {1977}, + pages = {143--163}, + doi = {10.1007/BF01390106} +} + +@article{BNP2004, + note = {\href{https://doi.org/10.1016/j.jalgebra.2003.04.003}{DOI}}, + author = {Bendel, Christopher P. and Nakano, Daniel K. and Pillen, Cornelius}, + title = {Extensions for {Frobenius} kernels}, + journal = {Journal of Algebra}, + volume = {272}, + number = {2}, + year = {2004}, + pages = {476--511}, + doi = {10.1016/j.jalgebra.2003.04.003} +} + +@article{BNPPSS2015, + author = {Bendel, Christopher P. and Nakano, Daniel K. and Parshall, Brian J. and Pillen, Cornelius and Scott, Leonard L. and Stewart, David I.}, + title = {Bounding cohomology for finite groups and {Frobenius} kernels}, + journal = {Algebras and Representation Theory}, + volume = {18}, + number = {3}, + year = {2015}, + pages = {739--760}, + doi = {10.1007/s10468-014-9514-7}, + url = {https://arxiv.org/abs/1208.6333v1}, + note = {\href{https://doi.org/10.1007/s10468-014-9514-7}{DOI}. Preprint locators refer to \href{https://arxiv.org/abs/1208.6333v1}{arXiv:1208.6333v1}, titled {\emph{Bounding extensions for finite groups and Frobenius kernels}}}, +} + +@article{GaribaldiNakano2016, + note = {\href{https://doi.org/10.4153/CJM-2015-042-5}{DOI}; \href{https://www.cambridge.org/core/services/aop-cambridge-core/content/view/8D44F6A8D2D19D18AC8A1F5CA17A554B/S0008414X00017132a.pdf/bilinear_and_quadratic_forms_on_rational_modules_of_split_reductive_groups.pdf}{published PDF}}, + author = {Garibaldi, Skip and Nakano, Daniel K.}, + title = {Bilinear and quadratic forms on rational modules of split reductive groups}, + journal = {Canadian Journal of Mathematics}, + volume = {68}, + number = {2}, + year = {2016}, + pages = {395--421}, + doi = {10.4153/CJM-2015-042-5}, + url = {https://www.cambridge.org/core/services/aop-cambridge-core/content/view/8D44F6A8D2D19D18AC8A1F5CA17A554B/S0008414X00017132a.pdf/bilinear_and_quadratic_forms_on_rational_modules_of_split_reductive_groups.pdf} +} + +@article{DowdSin1996, + note = {\href{https://doi.org/10.1080/00927879608542648}{DOI}; section and page locators use the \href{https://people.clas.ufl.edu/sin/files/representations-of-algebraic-groups-in-characteristic-2.pdf}{author version}}, + author = {Dowd, Michael F. and Sin, Peter}, + title = {On representations of algebraic groups in characteristic two}, + journal = {Communications in Algebra}, + volume = {24}, + number = {8}, + year = {1996}, + pages = {2597--2686}, + doi = {10.1080/00927879608542648}, + url = {https://people.clas.ufl.edu/sin/files/representations-of-algebraic-groups-in-characteristic-2.pdf} +} + +@article{Schaffer1999, + note = {\href{https://doi.org/10.1080/00927879908826749}{DOI}}, + author = {Schaffer, Mark}, + title = {Twisted tensor product subgroups of finite classical groups}, + journal = {Communications in Algebra}, + volume = {27}, + number = {10}, + year = {1999}, + pages = {5097--5166}, + doi = {10.1080/00927879908826749} +} + +@article{Steinberg1963, + note = {\href{https://doi.org/10.1017/S0027763000011016}{DOI}; \href{https://www.cambridge.org/core/services/aop-cambridge-core/content/view/02AE5498AF62BCAB6B313C75016E6015/S0027763000011016a.pdf/representations_of_algebraic_groups.pdf}{published PDF}}, + author = {Steinberg, Robert}, + title = {Representations of algebraic groups}, + journal = {Nagoya Mathematical Journal}, + volume = {22}, + year = {1963}, + pages = {33--56}, + doi = {10.1017/S0027763000011016}, + url = {https://www.cambridge.org/core/services/aop-cambridge-core/content/view/02AE5498AF62BCAB6B313C75016E6015/S0027763000011016a.pdf/representations_of_algebraic_groups.pdf} +} + +@book{SteinbergNotes, + author = {Steinberg, Robert}, + title = {Lectures on {Chevalley} Groups}, + publisher = {Yale University, Department of Mathematics}, + address = {New Haven, CT}, + year = {1967}, + note = {Notes prepared by John Faulkner and Robert Wilson; \href{https://www.math.utah.edu/~ptrapa/math-library/steinberg/steinberg-yale-notes.pdf}{original Yale scan}, with acknowledgment dated June 1968. Locators use original pagination}, + url = {https://www.math.utah.edu/~ptrapa/math-library/steinberg/steinberg-yale-notes.pdf} +} + +@incollection{Conrad2014, + author = {Conrad, Brian}, + title = {Reductive group schemes}, + booktitle = {Autour des sch{\'e}mas en groupes, Vol.~I}, + series = {Panoramas et Synth{\`e}ses}, + volume = {42--43}, + publisher = {Soci{\'e}t{\'e} Math{\'e}matique de France}, + address = {Paris}, + year = {2014}, + pages = {93--444}, + note = {Page locators refer to the \href{https://math.stanford.edu/~conrad/papers/luminysga3.pdf}{author version (390 pp.)}}, + url = {https://math.stanford.edu/~conrad/papers/luminysga3.pdf} +} + +@article{Hasa2014, + author = {H{\"a}s{\"a}, Jokke}, + title = {Growth of cross-characteristic representations of finite quasisimple groups of {Lie} type}, + journal = {Journal of Algebra}, + volume = {407}, + year = {2014}, + pages = {275--306}, + doi = {10.1016/j.jalgebra.2014.02.031}, + eprint = {1112.3941v2}, + archivePrefix = {arXiv}, + primaryClass = {math.RT}, + url = {https://arxiv.org/html/1112.3941v2}, + note = {\href{https://doi.org/10.1016/j.jalgebra.2014.02.031}{DOI}; \href{https://arxiv.org/html/1112.3941v2}{arXiv:1112.3941v2}. Table locators use this version} +} + +@article{Luebeck2001, + author = {L{\"u}beck, Frank}, + title = {Small degree representations of finite {Chevalley} groups in defining characteristic}, + journal = {LMS Journal of Computation and Mathematics}, + volume = {4}, + year = {2001}, + pages = {135--169}, + doi = {10.1112/S1461157000000838}, + url = {https://www.cambridge.org/core/services/aop-cambridge-core/content/view/7E6B3F033AEC9B401CABF62A6B87792F/S1461157000000838a.pdf/small-degree-representations-of-finite-chevalley-groups-in-defining-characteristic.pdf}, + note = {\href{https://doi.org/10.1112/S1461157000000838}{DOI}; \href{https://www.cambridge.org/core/services/aop-cambridge-core/content/view/7E6B3F033AEC9B401CABF62A6B87792F/S1461157000000838a.pdf/small-degree-representations-of-finite-chevalley-groups-in-defining-characteristic.pdf}{published PDF}} +} + +@article{LiebeckSeitzClassical1998, + author = {Liebeck, Martin W. and Seitz, Gary M.}, + title = {On the subgroup structure of classical groups}, + journal = {Inventiones Mathematicae}, + volume = {134}, + number = {2}, + year = {1998}, + pages = {427--453}, + doi = {10.1007/s002220050270}, + url = {https://link.springer.com/article/10.1007/s002220050270}, + note = {\href{https://doi.org/10.1007/s002220050270}{DOI}; \href{https://www.researchgate.net/publication/225672765_On_the_subgroup_structure_of_classical_groups}{author-uploaded text}} +} + +@article{Steinberg1981, + author = {Steinberg, Robert}, + title = {Generators, Relations and Coverings of Algebraic Groups, {II}}, + journal = {Journal of Algebra}, + volume = {71}, + number = {2}, + year = {1981}, + pages = {527--543}, + doi = {10.1016/0021-8693(81)90193-9}, + url = {https://www-users.cse.umn.edu/~reiner/REU/REU2019notes/steinberg-covering-groups.pdf}, + note = {\href{https://doi.org/10.1016/0021-8693(81)90193-9}{DOI}; \href{https://www-users.cse.umn.edu/~reiner/REU/REU2019notes/steinberg-covering-groups.pdf}{original article PDF}} +} + +@book{BrayHoltRoneyDougal2013, + author = {Bray, John N. and Holt, Derek F. and Roney-Dougal, Colva M.}, + title = {The Maximal Subgroups of the Low-Dimensional Finite Classical Groups}, + series = {London Mathematical Society Lecture Note Series}, + volume = {407}, + publisher = {Cambridge University Press}, + address = {Cambridge}, + year = {2013}, + isbn = {9780521138604}, + doi = {10.1017/CBO9781139192576}, + url = {https://www.cambridge.org/core/books/maximal-subgroups-of-the-lowdimensional-finite-classical-groups/30A44E29EC099FA81BA309096F8A4DA0}, + note = {\href{https://doi.org/10.1017/CBO9781139192576}{DOI}; 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Artin}}, + journal = {Abhandlungen aus dem Mathematischen Seminar der Universit{\"a}t Hamburg}, + volume = {11}, + year = {1935}, + pages = {73--75}, + doi = {10.1007/BF02940714}, + note = {\href{https://doi.org/10.1007/BF02940714}{DOI}} +} + +@article{Warning1935, + author = {Warning, Ewald}, + title = {Bemerkung zur vorstehenden Arbeit}, + journal = {Abhandlungen aus dem Mathematischen Seminar der Universit{\"a}t Hamburg}, + volume = {11}, + year = {1935}, + pages = {76--83}, + doi = {10.1007/BF02940715}, + note = {\href{https://doi.org/10.1007/BF02940715}{DOI}} +} + +@article{PudlakTuma1980, + author = {Pudl{\'a}k, Pavel and T{\r u}ma, Ji{\v r}{\'i}}, + title = {Every finite lattice can be embedded in a finite partition lattice}, + journal = {Algebra Universalis}, + volume = {10}, + year = {1980}, + pages = {74--95}, + doi = {10.1007/BF02482893}, + note = {\href{https://doi.org/10.1007/BF02482893}{DOI}} +} + +@article{RepnitskiiTuma2008, + author = {Repnitski{\u\i}, Vladimir and T{\r u}ma, Ji{\v r}{\'i}}, + title = {Intervals in subgroup lattices of countable locally finite groups}, + journal = {Algebra Universalis}, + volume = {59}, + number = {1--2}, + year = {2008}, + pages = {49--71}, + doi = {10.1007/s00012-008-2045-5}, + url = {https://ka.karlin.mff.cuni.cz/preprint/alg07_01.pdf}, + note = {\href{https://doi.org/10.1007/s00012-008-2045-5}{DOI}; \href{https://ka.karlin.mff.cuni.cz/preprint/alg07_01.pdf}{author preprint}} +} + +@article{Seitz1987, + author = {Seitz, Gary M.}, + title = {The maximal subgroups of classical algebraic groups}, + journal = {Memoirs of the American Mathematical Society}, + volume = {67}, + number = {365}, + year = {1987}, + pages = {iv+286}, + doi = {10.1090/memo/0365}, + note = {\href{https://doi.org/10.1090/memo/0365}{DOI}} +} + +@article{CavallinTesterman2019, + author = {Cavallin, Mika{\"e}l and Testerman, Donna M.}, + title = {A new family of irreducible subgroups of the orthogonal algebraic groups}, + journal = {Transactions of the American Mathematical Society, Series B}, + volume = {6}, + year = {2019}, + pages = {45--79}, + doi = {10.1090/btran/28}, + url = {https://infoscience.epfl.ch/server/api/core/bitstreams/702600e9-aef0-4ffb-8d9e-4964ee89d3b1/content}, + note = {\href{https://doi.org/10.1090/btran/28}{DOI}; \href{https://infoscience.epfl.ch/server/api/core/bitstreams/702600e9-aef0-4ffb-8d9e-4964ee89d3b1/content}{published article PDF}} +} diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/classification.tex b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/classification.tex new file mode 100644 index 0000000000000000000000000000000000000000..6044865a15f75edcfb9c2c2ce488912f36358569 --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/classification.tex @@ -0,0 +1,950 @@ +\section{Tested chains and the classification reduction} +\label{sec:classification} +\label{cls:section} + +All constants called absolute in this section are independent of the finite +group, the lattice, the Lie rank, the characteristic, the field degree, and +the length of the chain. A bound depending on a fixed rank bound is stated +as such. We use the labels and factor transport of +Lemma~\ref{frm:labels} and Proposition~\ref{frm:active-transport}. + +For $k\ge2$, write $M_k$ for the height-two lattice with $k$ atoms; +thus $M_{16}$ has eighteen elements. + +\begin{definition}[A tested chain]\label{cls:tested-chain} +Let $D0$; the applicable +classical bounds are recorded in \cite[Tables~3--6]{Hasa2014}. +Above an absolute classical rank, every perfect central cover of a +finite simple classical group is a central quotient of its usual +simply connected fixed-point group, uniformly over all finite fields, +including the standard graph twists +\cite[Theorem~1.1 and p.~528]{Steinberg1981}. +The central-cover deduction and preservation of representations +are proved in Lemma~\ref{lift:finite-covers}. +After passing to that cover, defining-characteristic irreducibles +have the Steinberg highest-weight and tensor-product parametrization +\cite[Theorems~1.1 and~1.3]{Steinberg1963}, including the twisted +fixed-point groups \cite[Theorem~43]{SteinbergNotes}. +\end{enumerate} +\end{proposition} + +The clauses of Proposition~\ref{cls:literature} are literature inputs. +We first control the actions on simple factors and the resulting chains +of projected cores. Numerical field and dimension estimates will enter in +Section~\ref{grw:section}, after the reduction obtained here. No classification of arbitrary subgroup +chains is assumed. + +For a transitive action of a group $K$ on a factor set, with point +stabilizer $K_\omega$, a tower +$K_\omega=K_r\leq\cdots\leq K_0=K$ describes successive invariant +block systems. We call the induced coset actions of $K_{j-1}$ on +$K_{j-1}/K_j$ its \emph{action levels}. The action kernels remain in +these stabilizer groups. + +\begin{proposition}[Factor actions at a maximal step]\label{cls:factor-actions} +Consider a strict labelled cover and its one-coordinate maximal subgroup +$M$ in an almost simple group, as supplied by +Proposition~\ref{frm:projection}. Mark its active nonabelian chief factor. +There are absolute positive integers $b_0,r_0$ with the following property. +\begin{enumerate}[label=\textup{(C\arabic*)}] +\item\label{cls:cat-actions} +The action on the simple factors of the marked chief factor is obtained +through at most $r_0$ transitive action levels. Each level either has +degree at most $b_0$, or is the natural action of $A_d$ or $S_d$. +\end{enumerate} +\end{proposition} + +\begin{proof} +We spell out the factor actions. A subspace or paired-flag +stabilizer has at most a bounded number of Levi components. A tensor +product of two spaces has two component groups. Extension-field, +subfield, form, and almost simple cases have one, except for the +bounded low-dimensional coincidences. A direct-sum decomposition or +a tensor-induced decomposition has the full symmetric action on its +blocks, with a possible alternating restriction from the determinant +or spinor condition. A block contributes at most a bounded number of +simple factors; for instance an orthogonal plus-type four-space +contributes two. Taking a point inside a block and then the block +itself accounts for this extra bounded level. In the alternating +case, the intransitive and affine alternatives have bounded component +actions, while the imprimitive, diagonal, and product-action +alternatives have this same full block action. Exceptional types have +bounded rank and hence bounded numbers of components. Central, +determinant, and form quotients do not split a simple component into +more factors. This proves \ref{cls:cat-actions}; the explicit +$\mathcal C_2$ and $\mathcal C_7$ component quotients can also be read +in \cite[proofs of Lemmas~5.4 and~5.9]{BurnessLiebeckShalev2017}. +\end{proof} + +Several structural consequences of the maximal-subgroup descriptions +will be needed when we reduce to classical groups of large rank. +For a classical target and a classical active source type of sufficiently +large rank, a cover with more than one active simple factor belongs to the +geometric block or tensor cases. A soluble classical component has absolutely +bounded natural dimension: a linear group in growing dimension contains +a growing special linear simple section, and the corresponding assertion +for a form group follows from its natural hyperbolic subspaces. +For a fixed nonabelian simple type, the possible natural classical +realizations have boundedly many dimensions. Outside the bounded list +of low-order isomorphisms, its field, family, and dimension are determined +by its type; dual, form, and special-isogeny conventions add only +boundedly many choices. Finally, a geometric stabilizer has boundedly +many component slots apart from repeated blocks. Thus fixing the inactive +simple labels, repetition degrees, and bounded structural choices leaves +boundedly many possible omitted dimensions. These facts use the full +geometric stabilizers in Proposition~\ref{cls:literature}(L1), not a bound +on the orders of the components. Their numerical field and order data +will be established in Section~\ref{grw:section}. + +\subsection{A uniform lemma for natural giant actions} + +The shortcuts will put the relevant factor stabilizers inside one fixed +projected bottom group. We need to control their composition types and +indices simultaneously. The next two lemmas do this for bounded +stabilizer towers, including the overgroups that arise when equal-type +strips are merged. + +For a finite group $H$, write $\operatorname{cf}_{\mathrm{na}}(H)$ +for its set of nonabelian simple composition-factor types. Only these +types will be bounded; the set of cyclic-prime factors need not be. + +\begin{lemma}[Bounded routes]\label{cls:routes} +Fix positive integers $r,b$. Suppose +\[ + A=H_r\leq H_{r-1}\leq\cdots\leq H_0=H +\] +and every induced action on $H_{j-1}/H_j$ is either of degree at most +$b$ or is a natural alternating or symmetric action. There are +constants $h,c,k$, depending only on $r,b$, such that: +\begin{enumerate}[label=\textup{(\roman*)}] +\item the interval $[A,H]$ has height at most $h$; +\item the set $\{[H:U]:A\leq U\leq H\}$ has cardinality at most $k$; +\item for every such $U$, its nonabelian composition types belong to +\[ + \operatorname{cf}_{\mathrm{na}}(H) + \cup\{A_{d-j}:A_d\in\operatorname{cf}_{\mathrm{na}}(H),\ 0\leq j\leq c\} + \cup\mathcal E_{r,b}, +\] +where $\mathcal E_{r,b}$ is a fixed finite set of types. +\end{enumerate} +The conclusions also hold for stabilizers of all invariant quotient +blocks of the action on $H/A$. +\end{lemma} +\begin{proof} +We induct on $r$. The assertion for one step follows from primitivity +of a natural giant, or from the bounded index in the other case. +For the induction put $N=\operatorname{core}_H(H_1)$. For an +arbitrary $U\in[A,H]$, the group $A(U\cap N)$ lies in $[A,H_1]$, +and its intersection with $N$ is $U\cap N$. The induction hypothesis +therefore controls the intersection chain and its types. A strict +increase in $U$ must increase $U\cap N$ or $UN/N$, since equality of +both gives equality of orders. Furthermore +\[ + [H:U]=[H/N:UN/N]\,[N:U\cap N], +\] +and the possible second factors are a fixed multiple of the possible +indices $[H_1:A(U\cap N)]$. Thus it remains to control the images. + +If $H/N$ has bounded degree, its order is at most $b!$ and there is +nothing more to prove. Otherwise it is $A_d$ or $S_d$, and $H_1/N$ +is its natural point stabilizer. Project the remaining route into +$H_1/N$. A natural-giant step projects either to the same action or +to a trivial action, because it is primitive; a bounded-degree step +retains bounded degree. Starting with the natural $A_{d-1}$ in +$H_1/N$, retain an alternating group normal in the current projected +group and supported on all but at most $r$ points. A natural-giant +quotient either kills this alternating group, which is then retained +in the next subgroup, or maps it onto the natural alternating socle +of its image. In the latter case equality of orders gives the same +degree, and its point stabilizer removes one supported point. +A step of bounded degree retains the alternating group once its +order exceeds $b!$. After a step, take the union of all conjugates +of the retained support in the new subgroup. The overlapping-support +argument in the next paragraph supplies a normal alternating group +on that union, without further loss of points. +Apart from a possible sign on the large support, the residual +quotient acts on the omitted points and has order at most $2r!$. +For $d>2r+b+10$, each step therefore loses at most one supported +point, and the terminal image contains the alternating group +supported on at least $d-r$ points. Here the identification +of the next point stabilizer uses +$\operatorname{Aut}(A_e)=S_e$ for $e\geq7$; the degree-six exception +and all smaller first degrees are absorbed in the fixed finite +universe. Thus we may take $c=r$ in the large-degree argument. + +An overgroup of an alternating group supported on $d-c$ points has +bounded height and boundedly many possible indices. To see this +directly, assume $d>2c+4$. The supports of any two conjugates overlap +in at least three points, so their alternating groups generate the +alternating group on the union of their supports. The union of +all conjugate supports is an orbit of the overgroup; its conjugate +alternating groups generate the alternating group on that orbit. +The orbit omits at most $c$ points. Modulo the +alternating group on that orbit, the overgroup has order at most +$2c!$. Its large simple type is therefore $A_{d-j}$ with +$0\leq j\leq c$, and its possible indices belong to the finite list +of falling factorials $(d)_j$ divided or multiplied by integers +bounded in terms of $c$. The excluded small $d$ add only bounded +groups. Combining this with the intersection induction proves +all three conclusions. Invariant quotient blocks correspond +exactly to the overgroups $U$ already considered. +\end{proof} + +\begin{lemma}[A common index palette]\label{cls:index-recipes} +Fix positive integers $R,b,K$. Consider any collection of the +routes in Lemma~\ref{cls:routes}, each of length at most $R$ and +bounded degree at most $b$, such that all their natural giant +degrees belong to one set $\mathcal D$ with $|\mathcal D|\leq K$. +The union, over all groups and routes in the collection, of all +indices $[H:U]$ with $A\leq U\leq H$ has cardinality bounded by a +function of $R,b,K$. The same holds through a bounded number of +operations, each consisting of a permitted route followed by an +arbitrary invariant quotient-block choice, with a fresh route +inside the chosen block stabilizer permitted at the next operation. +\end{lemma} +\begin{proof} +Put $d_0=2R+b+10$ and $M=d_0!$, and define the positive rational +atoms +\[ + \Gamma(\mathcal D)= + \{u/v:1\leq u,v\leq M\} + \cup\{(d)_j:d\in\mathcal D,\ d>d_0,\ 0\leq j\leq R\}. +\] +We claim that every index on a route of length $r$ is a product of +at most $L_r=r(r+3)/2$ atoms or their inverses. Induct on $r$, +putting $N=\operatorname{core}_H(H_1)$ and +$B=A(U\cap N)$. Since $U\cap N\trianglelefteq U$, we have +$A\leq B\leq H_1$ and $B\cap N=U\cap N$. Consequently +\begin{equation}\label{cls:route-index-identity} + [H:U]=[H/N:UN/N]\, + \frac{[H_1:B]}{[H_1:AN]}. +\end{equation} +The image factor is bounded by $M$ when the first action is small. +Otherwise the supported alternating-group calculation in +Lemma~\ref{cls:routes} gives +\[ + [H/N:UN/N]=\frac{\varepsilon(d)_j}{t},\qquad + 0\leq j\leq r,\quad \varepsilon\in\{1,2\},\quad1\leq t\leq2j!. +\] +It therefore uses at most two atoms. The numerator $[H_1:B]$ +uses at most $L_{r-1}$ atoms by induction. + +The denominator is controlled across the whole collection, not +just held fixed within one route. Project the suffix route into +$H_1/N$. Its degree is exactly +\begin{equation}\label{cls:route-denominator} + [H_1:AN]=\prod_{j=2}^{r} + [H_{j-1}N/N:H_jN/N]. +\end{equation} +Under any homomorphism with kernel $C$, a natural step $L_0>L_1$ +projects to the same full natural action or to a trivial action: +maximality gives $L_1C=L_1$ or $L_0$. A bounded step keeps bounded +degree. Thus every factor on the right of +\eqref{cls:route-denominator} is an allowed natural degree, a +bounded integer, or one, and is a single atom. In particular no +arbitrary scalar-kernel divisor enters the denominator. +Equation~\eqref{cls:route-index-identity} gives +$L_r\leq L_{r-1}+2+(r-1)$, proving the claim. + +There are at most $M^2+K(R+1)$ atoms, so the union of all index +palettes has cardinality at most +\[ + \bigl(1+2(M^2+K(R+1))\bigr)^{L_R}. +\] +Only integral values of these rational recipes occur as actual +indices. Invariant quotient blocks correspond to the overgroups +$U$ already allowed. If $H'$ is any such block stabilizer, apply +the argument anew to the next full route inside $H'$; it is not +necessary that $H'$ itself admit a natural-step route from $H$. +Indices multiply through a bounded number of these operations, +giving the final assertion. +\end{proof} + +\begin{lemma}[Uniform active actions]\label{cls:uniform-actions} +Suppose a tested chain has $T_a\not\cong T_b$, and project at one +coordinate of the socle of $b$. Let $H_*$ be the image of the factor +stabilizer in $a$. Then: +\begin{enumerate}[label=\textup{(\roman*)}] +\item $H_*$ has at most five nonabelian chief factors; +\item there is one set of nonabelian types, of absolutely bounded +cardinality, which contains the types of every whole projected +stabilizer group in $H_*$ of an active factor, of an intermediate +fiber, or of an invariant quotient block used along a two-edge +shortcut, and the types of all their induced images; +\item equal-type stretches of chain vertices have absolutely +bounded length; +\item the set of ratios $m_{x_i}/m_{x_j}$, $iv_{jN}>x_j$; take an empty route for $j=N$. +The first downward step is strict, because a proper subdirect group +cannot contain the nontrivial full coordinate product at the bottom. +Two strict covers give a concatenated route of length at most +$2r_0$. A strict cover followed by an equal-type merge instead +makes the endpoint factor stabilizer an overgroup of the first +route's terminal stabilizer. + +Starting at $x_j$, the middle $v_{ij}$ and the lower endpoint $x_i$ +are reached by at most two further original covers. An equal-type +operation takes an invariant quotient block. A strict operation +supplies a fresh full local route inside the actual current +projected factor stabilizer $U\leq H_*$. Indeed the image of the +original $D$-stabilizer lies in $U$ and already has the full local +permutation image, whereas $U$ acts through the labelled-node +stabilizer because $a$ lies below that node. The kernel of the +original-coordinate projection centralizes that coordinate and acts +trivially on its sections. Thus these are equal local permutation +images; no equality of the stabilizer groups themselves is needed. + +The factor maps and equal-type strips respect the original $b$ +coordinates. Here is the intersection identity behind this assertion. +For labels $x\leq z$ used in a route, work modulo $F_b$ and write +\[ + x\cap N_b=P_x^{I_b},\qquad + N_z\cap N_b=R_z^{I_b},\qquad F_z\cap N_b=Q_z^{I_b}. +\] +These product descriptions follow from saturation and +Proposition~\ref{frm:active-transport}. Since $F_z\leq D\leq x$ and +$N_z=F_z(N_z\cap N_b)$, intersection and the quotient map give +\[ + \frac{x\cap N_z}{F_z} + \cong \frac{x\cap N_z\cap N_b}{F_z\cap N_b} + =\prod_{i\in I_b}\frac{P_x\cap R_z}{Q_z}. +\] +In an equal-type comparison this is the subdirect subgroup of $S_z$ +whose strips describe the merge. Because it is a full product over +$I_b$, no strip can link factors in different original coordinates: +such a link would prohibit independent elements in the two factors. +For a strict split followed by a merge inside $[x_i,x_j]$, repeat this +identity with $x_j$ as upper vertex. The fenced endpoint comparison +makes $x_i$ saturated in those coordinates, and the strict shortcut +cover makes its middle saturated there. Thus the merge cannot cross +those local starting fibers either. +Altogether, every required factor, fiber, and quotient-block +stabilizer uses at most four original covers, interpreted as full +local routes or quotient operations. Four successive operations, +each with route length at most $2r_0$, give a conservative common +bound, including all intermediate block stabilizers. + +We establish the type pool before the degree and index pools. For +fixed route parameters let +\[ + \Phi(\mathcal P)=\mathcal P +\mathbin{\cup}\{A_{d-j}:A_d\in\mathcal P,\ 0\leq j\leq c,\ d-j\geq5\} +\mathbin{\cup}\mathcal E, +\] +where $c$ and the finite exceptional set $\mathcal E$ are supplied +by Lemma~\ref{cls:routes}. If the whole current projected group has +nonabelian composition types in $\mathcal P$, that lemma puts the +types of every route prefix and every quotient-block overgroup in +$\Phi(\mathcal P)$. This includes any kernel of the corresponding +permutation action. Retain the original types at every iteration. +Starting with $\operatorname{cf}_{\mathrm{na}}(H_*)$, of cardinality +at most five, a bounded number of iterations gives one pool of +absolute bounded cardinality for all these projected groups. +Their induced images have no additional composition types. This +proves (ii); it makes no claim about entire unprojected stabilizers +in the original group. + +For an equal-type stretch, fix its highest vertex. Equal-type +transport identifies all earlier vertices with strip subgroups +of that socle, whose support partitions strictly change along the +stretch. Equal support partitions and subgroup inclusion would +force equality of orders and hence equality of subgroups, including +the diagonal twists. The preceding coordinate compatibility +restricts these to invariant partitions of a single original +$b$-coordinate fiber. Transitivity ensures that a strict change +appears on that chosen fiber. All their block stabilizers are +overgroups of a single route terminal supplied by the shortcut +from $b$ to the highest vertex. The height assertion of +Lemma~\ref{cls:routes} proves (iii). + +Each full giant of large degree $d$ contributes the composition +type $A_d$ to its actual starting projected group. Every such group is a route +prefix already covered by the preceding pool. Hence the set +$\mathcal D$ of giant degree values occurring anywhere in these +bounded operations has absolute bounded cardinality. The values +may be large. Apply Lemma~\ref{cls:index-recipes} with this entire +set $\mathcal D$, and multiply indices through the bounded number +of operations. This yields a common index palette across all the +actions, including arbitrary quotient-block choices followed by +fresh full routes. In particular it is a union bound, not merely +a separate cardinality bound for each action. + +More explicitly, put $q_i=m_{x_i}/m_b$. The original shortcut from +$b$ to $x_i$ realizes $q_i$ as the degree on its active-factor fiber: +a strict/strict path gives a route degree, and a strict/merge path +gives a quotient-block degree. The common recipe palette bounds +the cardinality of $\{q_i\}$. Since +$m_{x_i}/m_{x_j}=q_i/q_j$, its quotient palette also has bounded +cardinality. This proves (iv). +\end{proof} + +\subsection{The core reduction} + +\begin{lemma}[Killed layers and core gaps]\label{cls:core-gaps} +In the initial projection, consider chain vertices strictly above the +original starting vertex $a$, and write +\[ + K_i=H_*P_i,\qquad C_i=\operatorname{core}_{K_i}(H_*), + \qquad Q_i=C_i\cap P_i, +\] +and let $R_i/Q_i$ be its active nonabelian chief factor. For $i0$. + +The quotient $P/E$ is abelian and $E$ is perfect, so $P'=E$. +Every $m\in M$ therefore normalizes $E$. The finite automorphism +Theorem \cite[Theorems~30 and~36]{SteinbergNotes} lifts $m$ to an +element $\widetilde m\in\mathcal I(X)$. The commutator +$\widetilde mF_0\widetilde m^{-1}F_0^{-1}$ has $\nu=0$ and fixes +$E$ pointwise. It is therefore the identity. Thus $m$ normalizes +$E_e=(X^{F_0^e})'$ for every divisor $e$ of $r$. + +We have $r>1$, since $r=1$ would give $T\leq M$. If $r$ were +composite, choose $11},\qquad \Omega(f_j/f_i)\leq2, +\] +where $\Omega$ counts prime factors with multiplicity. Four +successive endpoints would give +\[ + \Omega(f_4/f_1)=\sum_{i=1}^3\Omega(f_{i+1}/f_i)\geq3, +\] +a contradiction. All discarded sets and pigeonhole choices have +bounds depending only on $R$, proving the first assertion. + +For any desired rank threshold, remove the boundedly many endpoints +below a sufficiently larger threshold. If a remaining shortcut +middle had bounded rank, its lower endpoint, being a simple section +of it, would have rank bounded by Lemma~\ref{cls:envelopes}. The +larger threshold was chosen to exclude this. Arbitrarily long +chains remain, proving the second assertion. +\end{proof} + +\subsection{The configuration passed to the growth argument} + +\begin{proposition}[Reduction to classical one-factor comparisons] +\label{cls:reduction} +If Theorem~\ref{cls:chain-rigidity} is false, then for every $s$ and +$R$ there is a retained chain of at least $s$ vertices, with all its +original two-edge shortcuts and normal-group tests, such that: +\begin{enumerate}[label=\textup{(\roman*)}] +\item all endpoint types are distinct classical types; their ranks, +and the ranks of all shortcut middle types, exceed $R$; +\item all endpoint multiplicities are equal. Thus each comparison, +projected to one upper active coordinate, has one active simple +factor; +\item the killed kernels of all endpoint and shortcut comparisons +are soluble. Every endpoint inner comparison has exactly its one +active simple factor as a nonabelian composition factor; +\item there is a pool of absolutely bounded cardinality containing +all nonabelian simple types in every projected active-factor and fiber +stabilizer in the fixed $H_*$, and in their induced images, used in +these comparisons. No assertion concerns the entire unprojected +original stabilizers. The splitting multiplicities +and invariant-block indices have boundedly many possible values; +\item each shortcut is either two strict steps, both with one +active simple factor and all other inner composition factors +soluble, or a strict split followed downwards by an equal-type +merge. The latter is geometric. In geometric steps the inactive +dimensions have boundedly many possible values once their simple +labels and bounded structural choices are fixed; when all inactive +components are soluble these dimensions are absolutely bounded. +\end{enumerate} +All bounds described as absolute are uniform over the original +groups. This proposition introduces no new lattice tests at the +retained bottom. +\end{proposition} +\begin{proof} +Take counterexamples of lengths tending to infinity, retaining the +original endpoints initially. A lower simple type is a section of +an upper one, so equality of the endpoint types of a segment forces +equality throughout that segment. Lemma~\ref{cls:uniform-actions} +bounds the lengths of these equal-type stretches. Choose one +vertex from each stretch and discard the original initial stretch. +There are arbitrarily many remaining vertices, and none has the +type of the original $a$. Their shortcut middles are above a +retained lower vertex, so also cannot have type $T_a$. +Lemma~\ref{cls:alternating} now excludes all large alternating +types at both endpoints and middles. Sporadic groups and all other +bounded-order coincidences form a finite list. Bounded-rank Lie +types can be removed using Lemma~\ref{cls:bounded-rank}. This gives +(i), with arbitrarily large minimum rank. + +All later coordinate projections still use the original tests. +For a retained upper endpoint or middle $u$, condition +\ref{cls:test-alternating} applies to $a0$, it is one. This proves (ii). Next apply +Lemma~\ref{cls:core-gaps} in the original fixed projection: deleting +the at most five nonsoluble transitions leaves an arbitrarily long +stretch. All shortcut cores between its endpoints lie in the +corresponding soluble gap. Passing to any later active coordinate +takes subgroups and images of these soluble killed kernels, and +hence preserves solubility. Lemma~\ref{cls:core-gaps} and +Proposition~\ref{frm:active-transport} give (iii). + +The common type pool and index bounds are precisely +Lemmas~\ref{cls:uniform-actions} and~\ref{cls:index-recipes}; none of +these bounds counts abelian factors. They remain valid under all +the preceding thinning, giving (iv). + +Read a shortcut downwards from its upper endpoint. Its first +cover cannot be a proper subdirect merge, because the lower endpoint +is a nontrivial full product. If both covers are strict, their +positive integral splitting multiplicities multiply to the endpoint +ratio one. Both are therefore one. Their killed kernels are +soluble by (iii), and their tails are soluble by +Proposition~\ref{frm:active-transport}. If the second cover is an +equal-type merge, the first must split; the only unbounded-rank +maximal-subgroup cases with such an active split are the geometric +block and tensor cases described after +Proposition~\ref{cls:factor-actions}. The +merge stays inside each original upper coordinate. Its possible +indices are already covered by (iv). + +The inactive nonabelian labels in a shortcut belong to the pool in +(iv). To see this, write its local inner group as $P\trianglelefteq K$, +with soluble killed kernel $Q$ and active chief factor $R/Q\cong T^a$. +The faithful conjugation argument in +Proposition~\ref{frm:active-transport} gives +$P/Q\hookrightarrow\operatorname{Aut}(T^a)$. The kernel of the +factor-permutation map on $P/R$ lies in +$\operatorname{Out}(T)^a$ and is soluble. Since $P$ is normal in $K$, +its permutation image is normal in the full local permutation image. +Lemma~\ref{cls:uniform-actions} identifies that full image with an +image of one of the projected stabilizers counted in (iv). Its normal subgroup +therefore has its nonabelian composition types in the same pool. Thus +all nonabelian composition types outside the active chief factor +$R/Q$ lie in this pool. The active type $T$ can still vary along the chain. + +Apply now the structural observations following +Proposition~\ref{cls:factor-actions}. There are boundedly many choices +of inactive simple labels by (iv), and the repetition indices also +have boundedly many values. The resulting omitted dimensions +therefore have boundedly many possible values. When all inactive +components are soluble, their individual natural dimensions are +absolutely bounded. This proves (v) and all the assertions passed +to the next section. +\end{proof} diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/extensions.tex b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/extensions.tex new file mode 100644 index 0000000000000000000000000000000000000000..2def0d2958e714ad2e023a651e24338169440b2c --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/extensions.tex @@ -0,0 +1,365 @@ +\section{From subgroup intervals to extensions} +\label{ext:section} + +We now apply the decorated lattice of Proposition~\ref{lat:decorated-lattice}. +The reductions in this section use its tests in both orientations. The +simple group attached to the top of the original group interval will be +denoted by $T$. The simple group attached to an interval of extension +domains will later be denoted by $R$; these groups need not be isomorphic. + +\begin{lemma}\label{ext:almost-simple} +Let $T$ be a finite nonabelian simple group and let +$\operatorname{Inn}(T)\le H\le\operatorname{Aut}(T)$. +Every nontrivial normal subgroup of $H$ contains $\operatorname{Inn}(T)$. +In particular, $H$ has trivial soluble radical and has characteristic +socle $\operatorname{Inn}(T)$. +\end{lemma} +\begin{proof} +An automorphism $\sigma$ centralizing every inner automorphism satisfies +$c_{\sigma(t)}=c_t$ for every $t\in T$. Since $Z(T)=1$, this implies +$\sigma(t)=t$ for every $t$, so +$C_{\operatorname{Aut}(T)}(\operatorname{Inn}(T))=1$. +If $K\trianglelefteq H$, then +\[ + [K,\operatorname{Inn}(T)]\le K\cap\operatorname{Inn}(T). +\] +Simplicity makes the intersection either trivial or all of +$\operatorname{Inn}(T)$. In the first case the centralizer calculation +gives $K=1$. This proves the assertions. +\end{proof} + +\begin{lemma}\label{ext:soluble-interval} +A nontrivial fenced interval cannot be an interval in a finite soluble +group. Consequently, if +$\operatorname{Inn}(T)\le B\le H\le\operatorname{Aut}(T)$, the interval +$[B,H]$ is not nontrivially fenced. +\end{lemma} +\begin{proof} +Lemma~\ref{frm:labels} would give a nonabelian simple composition factor +of the soluble top group. For the second assertion, quotient by +$\operatorname{Inn}(T)$, which is contained in the bottom $B$. +The resulting interval lies in the soluble group +$\operatorname{Out}(T)$, by Schreier's Theorem. +\end{proof} + +\subsection{Minimality in both orientations} + +Let $\mathcal L$ be the lattice in +Proposition~\ref{lat:decorated-lattice}. Suppose that one of $\mathcal L$ +and $\mathcal L^{\mathrm{op}}$ is a finite group interval. Among all +representations of either orientation choose +\[ + [D,G]\cong\mathcal M, + \qquad \mathcal M\in\{\mathcal L,\mathcal L^{\mathrm{op}}\}, +\] +with $|G|$ minimal. Minimizing over both orientations is the same +kind of reduction used in the subgroup-interval and signalizer setting +of \cite[Theorem~3 and Section~6]{Aschbacher2008}; see also the comparison in +\cite[Section~4]{PalfyTwisted}. We give the needed complementary-socle +argument in full. Quotienting by $\operatorname{core}_G(D)$ preserves +the interval; hence this core is trivial. The global fence and +Lemma~\ref{frm:labels} give +\begin{equation}\label{ext:top-socle} + S=\operatorname{soc}(G)=\prod_{i\in I}T_i\cong T^m, + \qquad G=DS, +\end{equation} +where $T$ is nonabelian simple and $D$ acts transitively on the factor +set $I$. Proposition~\ref{lat:decorated-lattice} applies to the chosen +orientation $\mathcal M$. + +\begin{proposition}\label{ext:trivial-intersection} +In this minimal representation, $D\cap S=1$. +\end{proposition} +\begin{proof} +Put $E=D\cap S$. For every $Y\in[D,G]$, the identity $G=DS$ gives +\[ + Y=D(Y\cap S). +\] +Thus $Y\mapsto Y\cap S$ is an isomorphism from $[D,G]$ to the interval +of $D$-invariant subgroups between $E$ and $S$; its inverse is +$K\mapsto DK$. + +First suppose that $E$ is subdirect in $S$. By the subdirect-power +description in Lemma~\ref{frm:subdirect}, its simple factors are +full diagonal strips on a partition $\Pi$ of $I$. Every subgroup +between $E$ and $S$ is subdirect. Its strips split the blocks of $\Pi$, +and their diagonal identifications are forced by their containment of +$E$. Therefore the preceding interval is anti-isomorphic to the +lattice of $D$-invariant equivalence relations refining $\Pi$. + +Fix $i_0\in I$, let $A=D_{i_0}$, and let $B$ be the stabilizer in $D$ +of the block of $\Pi$ containing $i_0$. The block correspondence for a +transitive action identifies these equivalence relations with $[A,B]$: +the block containing $i_0$ associated with $U\in[A,B]$ is $U i_0$, +and all its other blocks are its $D$-translates. Conversely, the +setwise stabilizer of the block containing $i_0$ recovers $U$. +It follows that $\mathcal M^{\mathrm{op}}\cong[A,B]$. But +$|B|\le |D|<|G|$, contrary to the choice of $G$ over both orientations. + +The coordinate projections of $E$ have equal order, since $D$ is +transitive on $I$. If they are proper and nontrivial, +Proposition~\ref{frm:strict-product}, applied with the possibly unlabelled +lower endpoint $D$, and the global fence imply that $E$ is the product +of those projections. Choose a proper original Boolean vertex $Y$ +of the decorated lattice. Its forward label equals the top label, +so $Y\cap S$ is subdirect by Proposition~\ref{frm:equal-transport}. +It is proper, because $YD$. It contains $S_Z$. Therefore, if $L=N_Z\cap E$, then +\[ + N_Z=FL,\qquad L/W\cong S_Z. +\] +In particular $L/W$ is a perfect normal subgroup of +$E/W=\prod_i(P_i/Q_i)$. + +Every perfect normal subgroup $V$ of a direct product $\prod_iB_i$ is +the product of its intersections with the factors. To see this, for +$v,w\in V$ the element $[v,e_i(w_i)]$ lies in $V\cap B_i$ and is +the $i$th coordinate of $[v,w]$. Hence +$V'\le\prod_i(V\cap B_i)\le V$, and $V=V'$ gives equality. +Apply this observation to $L/W$. It splits as a product of its +coordinate intersections, each a direct product of copies of $T_Z$. +Taking full inverse images gives $L=R_Z^{I_Y}$ and +\eqref{frm:product-active-preimage}--\eqref{frm:coordinate-chief}. +Conjugation by $Z$ permutes these coordinate intersections and commutes +with $L/W\cong S_Z$, so the resulting support map is $Z$-equivariant. +Transitivity of $D$ on $I_Y$ makes the multiplicity $a_Z$ the same in +every coordinate. + +Any $K_Z$-normal subgroup strictly between $Q_Z$ and $R_Z$ would +transport to a $Z$-normal subgroup strictly between $W$ and $L$. +Its image would be a proper nontrivial normal subgroup of $Z/F$ +inside $S_Z$. This proves the chief-factor assertion and also the +transitivity of $K_Z$ on the $a_Z$ simple factors of $R_Z/Q_Z$. + +We have $Z=DN_Z=DL$. Since $L\le N_Y$ fixes $I_Y$, for a chosen +coordinate $i$ this gives +\[ + Z_i=D_iL,\qquad K_Z=\rho(D_i)R_Z. +\] +The group $R_Z$ acts by inner automorphisms on $R_Z/Q_Z$ and fixes +its simple factors. Thus $\rho(D_i)$ and $K_Z$ have the same image +on that factor set. The kernel of $\rho$ centralizes the ambient +coordinate and so acts trivially on this section. This identifies the +action with the original fiber action and proves +\eqref{frm:product-support} and its assertions about stabilizers. + +For the additional projected-core assertion, let +$C_Z=\operatorname{core}_{K_Z}(H_*)$. The subgroup $Q_Z$ is normal +in $K_Z$ and lies in $P_X$, because $F_Z\le D\le X$. +By~\eqref{frm:inner-bottom} it lies in $H_*$, and therefore +$Q_Z\le C_Z\cap P_Z$. Conversely, transport $C_Z\cap P_Z$ over all +coordinates. Its product is normal in $Z$ and is contained in +$P_X^{I_Y}\le X0$ with the following properties. +\begin{enumerate}[label=\textup{(C\arabic*)},start=2] +\item\label{cls:cat-geometric} +For unbounded-rank classical active types, a geometric +defining-characteristic step changes natural dimension by taking a +subspace or quotient, a repeated natural module, a tensor product, or +restriction of scalars. Subfield steps leave natural dimension +unchanged and multiply the field exponent by a prime. An +extension-field step, read upwards from the active factor, has +\begin{equation}\label{grw:matrix-field-convention} + n_t=b n_s,\qquad + \epsilon_s f_s=b\epsilon_t f_t, + \qquad f_t=\frac{\epsilon_s}{b\epsilon_t}f_s, +\end{equation} +where $b$ is the prime degree between natural matrix fields. +A twisted-tensor step has +\begin{equation}\label{grw:twisted-field-convention} + n_t=n_s^b,\qquad f_s=b f_t, +\end{equation} +exactly; here $b$ is prime, after bounded source-rank cases are +removed. All other changes of field exponent +belong to a fixed finite set of positive rational factors. +\item\label{cls:cat-inactive} +If there is one active simple component and the other geometric +components are soluble, their natural dimensions are absolutely +bounded. The active dimension in a subspace case is comparable with +the ambient dimension; a totally singular summand and its dual may +represent the same active component twice. A nontrivial parabolic +radical in these cases has order between $q^{c n_t}$ and $q^{C n_t^2}$. +For a fixed ambient group, once the active slot, other component +dimensions, and the bounded flag/form choices are fixed, there are +boundedly many possible orders of the full inner stabilizer divided by +the order of its active simple factor, with multiplicity included. +\item\label{cls:cat-symplectic} +A symplectic-type step of unbounded active rank is +cross-characteristic. Its source is symplectic or orthogonal over a +prime field of order $r$, of natural dimension $2d+O(1)$, and its +target natural dimension is $n_t=r^d$. If $P=M\cap T$, then +\[ + c n_t^2\leq |P|/|T_s|\leq C n_t^2. +\] +Its target field exponent is at most $|T_s|^C$. +\item\label{cls:cat-nonlinear} +After the twisted-tensor case in +\ref{cls:cat-geometric} is separated off, a defining-characteristic almost simple +irreducible step has a single nonzero restricted, nonnatural +Frobenius digit, up to a common Frobenius twist. This restricted +module may have further tensor factors in a very special +characteristic. Its dimension is at least $c n_s^2$. Its source and target field +exponents differ by a rational factor from a fixed finite set. +Natural, dual-natural, and natural-size special-isogeny representations +are included among the geometric cases instead. +\item\label{cls:cat-cross} +For a cross-characteristic almost simple step, +\[ + q_s^{c n_s}\leq n_t\leq |T_s|^C, + \qquad f_t\leq |T_s|^C. +\] +The upper degree bound also holds in defining characteristic. +For this and the preceding irreducible case, the homomorphism from the +ambient automorphism normalizer of the source simple group to its +automorphism group has kernel of absolute bounded order. In +particular, a subgroup of that normalizer has order at most +$C$ times the order of its induced automorphism group of the source. +\end{enumerate} +\end{proposition} + +\begin{proof} +For the dimension and field statements, take the full stabilizers of +the indicated structures. On a nondegenerate direct summand the +active group has its natural module; on a totally singular summand +the dual summand has the contragredient module. A tensor stabilizer +acts as the tensor product of the component natural modules. +Restriction of scalars multiplies dimension by its degree $b$ and +gives $\epsilon_s f_s=b\epsilon_t f_t$ for the natural matrix +fields. For example, the mixed $\operatorname{GU}_m(q)$ row in +$\operatorname{Sp}_{2m}(q)$ has $b=2$ and equal usual exponents, +since $\epsilon_s=2$ and $\epsilon_t=1$. It is a restriction of +scalars, with a direct sum after scalar extension, and is not a +twisted-tensor row. A subfield inclusion changes only the field. +If an ordinary field degree were composite, its proper intermediate +field structure would be preserved by the normalizer, contradicting +maximality. The classical stabilizer descriptions with prime degree +are given explicitly in +\cite[proofs of Lemmas~5.5 and~5.7]{BurnessLiebeckShalev2017}. +Unitary conjugation and the diagram maps have bounded order, which +accounts for the permitted bounded ratios in the remaining field +operations. The +twisted-tensor assertion is proved separately in +Lemma~\ref{cls:twisted-tensor} below. + +The only soluble classical component groups have bounded natural +dimension: a linear group in growing dimension contains a growing +special linear simple section, and the corresponding assertions for +the form groups follow by their natural hyperbolic subspaces. +Thus the omitted dimensions in a one-active-component subspace or +tensor stabilizer are bounded. The explicit block description of a +parabolic gives a radical of order $q^e$, with $e\leq Cn_t^2$ and +$e\geq c n_t$ whenever that radical is nontrivial in the retained +large-rank cases. For example, the linear radical attached to a +$k$-space has exponent $k(n_t-k)$; the symplectic and orthogonal +exponents count the off-diagonal blocks subject to one symmetric or +alternating relation. The smallest nonzero retained exponent is +linear in $n_t$. The other factors are the displayed classical +groups and scalar groups. Consequently their orders are determined +by the dimensions, field, form signs, and the bounded choices of +interchanged flags. Intersecting the full stabilizer with the ambient +socle adds only its prescribed determinant or spinor condition; it +does not introduce a freely chosen subgroup of a scalar group. This +proves \ref{cls:cat-inactive}. + +For a symplectic-type normalizer put $N=n_t=r^d$, and let $W$ be +the projective image of its normal $r$-group, of order $r^{2d}$. +The full inner-normalizer rows, including their minimal-field +conditions, are given in +\cite[Section~2.2.6, pp.~70--71, Table~2.9]{BrayHoltRoneyDougal2013}. +Their small exceptions disappear on retaining $d\geq4$. +Ordinary linear conjugation fixes scalars pointwise, so it preserves +the nondegenerate scalar commutator pairing +$W\times W\to\mu_r$. Moreover the projective linear centralizer +of $W$ is $W$: a centralizing operator twists the representing +matrices by a character of $W$, that character is implemented by +an element of $W$ through the pairing, and the remaining centralizer +is scalar by irreducibility. + +In the linear and unitary rows, the normal group is an exponent-$r$ +extraspecial group for odd $r$, and a central product +$C_4\circ2^{1+2d}$ for $r=2$. In both cases the ordinary projective +normalizer has quotient $\operatorname{Sp}_{2d}(r)$ on $W$. +Indeed every symplectic change of generators lifts to a center-fixing +automorphism and is implemented by the irreducible representation +with its specified central character. For $r=2$, multiplying a +generator by the central element of order four restores its required +square; thus a square form attached to a pure extraspecial subgroup +is not an invariant of this scalar-extended normalizer. +In the unitary case an implementing operator preserves the Hermitian +form up to a multiplier, which is removed by a scalar using the +surjective finite-field norm. +The standard tensor generators of $W$ have determinant one: for odd +$r$ this holds for the cyclic shift and diagonal root-of-unity +generators, and for $r=2$ their determinants are +$(-1)^{2^{d-1}}=1$. The map from this normalizer to the abelian +quotient of the projective linear or unitary group by its simple +socle therefore factors through $\operatorname{Sp}_{2d}(r)$. +That group is perfect in the retained range, so the map is trivial. +Hence the full ordinary projective normalizer is already the inner +intersection $P$. Quotienting by the entire ambient scalar center +leaves kernel exactly $W$, and +\[ + P/W\cong\operatorname{Sp}_{2d}(r),\qquad + |P|/|T_s|=(2,r-1)N^2. +\] +This uses the quotient, without requiring the extension to split. + +The pure symplectic and orthogonal form rows have $r=2$. +Here the extraspecial square form is invariant. The cited inner +rows give $P/W=O_{2d}^{\varepsilon}(2)$ or +$\Omega_{2d}^{\varepsilon}(2)$, with active simple group +$T_s=\Omega_{2d}^{\varepsilon}(2)$ and index at most two. +These are the inner rows after the determinant and spinor conditions; +the scalar kernel of the natural cover is removed in $W$. +Consequently $N^2\leq |P|/|T_s|\leq2N^2$ in every retained row. +There is no extra factor from $r-1$ or the ambient field exponent. + +The target-field bound uses the minimal-field condition of the +maximal row. For odd $r$, the degree +$e=\operatorname{ord}_r(p)$ divides $r-1$; the usual target exponent +is $e$ in the linear row and $e/2$ in the unitary row. +The binary and pure form rows have usual exponent one. +Thus $f_t\leq\max(1,r-1)\leq |T_s|$. +The representation characteristic is different from $r$, and the +active source is over the prime field of order $r$. +This proves \ref{cls:cat-symplectic}. + +For an absolutely irreducible representation of a central cover +$\widetilde T_s$, the dimension is at most +$|\widetilde T_s|^{1/2}$: the square of each simple-module dimension +is bounded by the dimension of the group algebra. The field-of-definition bound can be obtained directly, including in +modular characteristic. For a finite group $K$ in characteristic $p$, +there are at most $|K|$ absolute simple module types, by the semisimple +quotient of its group algebra. Frobenius permutes these types, so an +absolute simple representation has a Frobenius orbit of length +$a\leq |K|$. An isomorphism with its $p^a$-Frobenius twist descends the +representation to $\mathbb F_{p^a}$: choose a finite field containing +its matrices and an intertwiner, scale the intertwiner to have norm +one, and apply matrix Hilbert's Theorem~90. The scalar norm adjustment +is possible because finite-field norms are surjective. Apply this +with $K=\widetilde T_s$. The Schur multipliers of the +large classical groups have order at most a polynomial in $|T_s|$; +the finitely many exceptional multipliers do not change the bound. +Forms cost an extension of degree at most two. Maximality outside +the subfield collection makes these bounds applicable to the target +field itself. For the cross-characteristic lower bound, the +classical tables in \cite[Section~3, Tables~3--6]{Hasa2014} give +degree at least $q_s^r/3$ once the source rank $r\geq6$, including +the smaller Weil degrees. Their excluded families have bounded +rank. As $n_s\leq2r+1$, this is at least $q_s^{n_s/4}$ after +increasing the rank threshold. This proves the numerical assertions +of \ref{cls:cat-cross}. + +For the defining-characteristic quadratic bound, use +\cite[Theorem~5.1 and Table~2]{Luebeck2001} in rank $r>11$. +Modules outside that table have dimension greater than $r^3/8$ +in type $A$, and greater than $r^3$ in types $B,C,D$. +Every listed nontrivial, nonnatural, nondual degree is at least $r^2/2$. +Consequently the retained restricted module has dimension at +least $r^2/2\geq n_s^2/10$. Type $B$ in characteristic two is +read through its type-$C$ natural simple quotient, as in our +parameter convention; the natural-size special-isogeny cases are +already assigned to geometry. + +A single occupied ordinary Frobenius digit has full source period: +any shift strictly between zero and $f_s$ moves it to a different +position in the unique finite restricted label. Returning through +$f_s$ applies at most the bounded diagram operation. An internal +tensor decomposition of that digit changes neither its occupied +position nor this uniqueness argument. Thus the minimal scalar +field degree is $f_s$ times one of the bounded diagram periods. +The matrix degree is separately $\epsilon_t f_t$. The +form-compatible minimal-field argument in +Lemma~\ref{cls:normalizer} bounds the ratio of this matrix degree +to the minimal degree outside the geometric collections. +This gives the fixed finite rational set of usual exponent ratios +and proves \ref{cls:cat-nonlinear}. +Lemma~\ref{cls:normalizer} below supplies +the final normalizer assertion. +\end{proof} + +\begin{lemma}[Irreducible normalizers]\label{cls:normalizer} +In a non-geometric absolutely irreducible step of +Proposition~\ref{cls:catalogue}, let $Y$ denote the simple source +inside the ambient projective classical group $T$. In particular, +the maximal subgroup is not in a subfield collection. Then +\[ + \bigl|\ker\bigl(N_{\operatorname{Aut}(T)}(Y) + \longrightarrow\operatorname{Aut}(Y)\bigr)\bigr|\leq C +\] +for an absolute $C$. Moreover +$|\operatorname{Out}(Y)|\leq C n_Y f_Y$ for a large-rank classical +source with parameters $(n_Y,p^{f_Y})$. +\end{lemma} +\begin{proof} +Lift the irreducible projective representation to the perfect central +cover of $Y$. A projective linear element centralizing its image +commutes with that representation up to a linear character of the +perfect cover, hence commutes exactly. Schur's Lemma makes it scalar, +so it disappears projectively. + +If a semilinear element in this kernel has scalar-field action $\sigma$, +the representations $\rho^\sigma$ and $\rho$ are isomorphic. If +$\sigma$ has order $a$ on the scalar field $E$, its intertwiner $A$ +satisfies +\[ + A\sigma(A)\cdots\sigma^{a-1}(A)=cI, + \qquad c\in E^{\sigma,*}. +\] +Surjectivity of the scalar norm adjusts $A$ so that the product is +one; matrix Hilbert's Theorem~90 then gives a model over $E^\sigma$. +An invariant bilinear form is a line defined by linear equations +over the minimal field, and invariant quadratic-form coefficients +satisfy linear equations there as well. In characteristic two, +two invariant quadratic forms with the same polarization differ +by the square of an invariant linear form. Absolute irreducibility +makes that difference zero, so the prescribed quadratic form itself +descends up to scalar. Matching finite-field form classes costs at +most a quadratic extension. For a unitary group the involution on +the minimal field is either nontrivial, giving Hermitian descent +and surjective norms, or trivial, giving a preserved bilinear +structure and hence a geometric form case. A larger field period would +therefore provide a proper subfield structure normalized by the +whole irreducible normalizer, contrary to this step being outside the +subfield collection. + +To justify the assertion about the whole +normalizer, put an absolutely irreducible model over its minimal +field $E_0$. A normalizing matrix intertwines this model with the +model obtained by a source automorphism and a field automorphism; +both have entries in $E_0$. The intertwining equations therefore +have coefficients in $E_0$. Their solution space over the algebraic +closure is one-dimensional by absolute irreducibility. It consequently +has a nonzero $E_0$-rational solution, necessarily invertible. Up to a +scalar, the normalizer thus preserves the projective $E_0$-structure. +The same argument applies after dualizing in a graph component, and +the uniqueness of the invariant form gives the already allowed +quadratic extension. A graph operation contributes at most another +factor of two in unbounded rank. This bounds the kernel independently +of the ambient field degree. + +Finally the diagonal, field, and graph +description of automorphisms gives respectively factors at most +$n_Y$, $f_Y$, and an absolute constant in the outer group. +\end{proof} + +Twisted tensor subgroups and their normalizers were studied in detail by +Schaffer \cite{Schaffer1999}; the algebraic and finite tensor structures +used here are those of \cite[Section~4(5)]{LiebeckSeitzClassical1998}. +The next lemma proves the precise maximality consequence and field relation +needed for these tested chains. + +\begin{lemma}[Twisted tensor maximality]\label{cls:twisted-tensor} +An almost simple irreducible maximal subgroup with a nontrivial +Steinberg tensor decomposition is, in growing source rank, a geometric +twisted-tensor step with the exact dimension and field relations in +\ref{cls:cat-geometric}. Its tensor-orbit degree is prime. +\end{lemma} +\begin{proof} +Let $S$ be the simple source, $M$ the almost simple maximal subgroup, +and $T$ the ambient simple classical group. Work over an algebraic +closure on the cover supplied by Lemma~\ref{lift:finite-covers}, and +write the irreducible module as +\[ + V=\bigotimes_{i\in I}V_i, + \qquad + \mathcal A_i=\operatorname{End}(V_i)\otimes1 + \ \leq\operatorname{End}(V), +\] +where $V_i$ are the nonzero ordinary restricted Frobenius digits, +with their indicated twists. The dimensions of these nontrivial +digits tend to infinity with the source rank. + +We first verify preservation of the actual tensor structure. A +source field automorphism translates ordinary digit positions, +applying the diagram operation when a position passes the source +period; inner, diagonal, and diagram automorphisms act on the +restricted modules at those positions. Ambient semilinear +operations give the same shifts, and a graph operation dualizes +the modules. Uniqueness of the finite restricted highest-weight +parametrization matches the resulting whole digit modules. Tensor +their individual intertwiners, with the matching permutation, to +obtain an intertwiner of $V$. The discrepancy between a projective +and linear intertwining identity is a linear character of the +perfect cover and is trivial. Absolute irreducibility makes the +space of whole-module intertwiners one-dimensional. Every actual +normalizing operator therefore differs from this tensor intertwiner +by a scalar and permutes the embedded algebras $\mathcal A_i$. +For a graph operation the corresponding map on endomorphisms is an +anti-isomorphism, which has the same conclusion. This argument +preserves a whole ordinary digit even if that restricted module +has an internal tensor decomposition in a very special +characteristic. + +Replace each digit by its full connected special linear group, or +by its full connected bilinear-form group when required. Bilinear +self-duality makes each ordinary digit self-dual separately. +Unitary descent acts on the special linear factors, permitting +duals. In characteristic two every nontrivial irreducible self-dual +digit has an alternating form: a nonalternating invariant form +would give an invariant linear functional by taking square roots +of its diagonal. The tensor product of at least two nondegenerate +alternating spaces has a quadratic form with the product +polarization and value zero on pure tensors +\cite[Proposition~2.2(iv)]{LiebeckSeitzClassical1998}. +It agrees with the prescribed finite quadratic form, after a scalar +normalization of the polarization: their difference is the square +of an invariant linear form, which vanishes by nontrivial absolute +irreducibility. These constructions give a connected semisimple +tensor subgroup $K$ in the ambient form group. + +The groups are intrinsic to the algebras $\mathcal A_i$ and their +restricted adjoint involutions. Hence the actual ambient Frobenius +$F$ and the full finite normalizer preserve $K$. In growing +classical rank, finite ambient automorphisms have lifts commuting +with $F$; diagonal lifts satisfy this projectively because +$F(x)x^{-1}$ is central. Graph and field lifts also commute, with +only the bounded-rank triality and exceptional graph cases removed. +This is the setup of +\cite[Theorem~2 and Section~4]{LiebeckSeitzClassical1998}. +Henceforth view $K$, and later $K'$, in the ambient adjoint group. Thus $M$ normalizes the terminal derived subgroup +$H=(K^F)^{(\infty)}$. Since $H$ is perfect it lies in $T$, and +$S\leq H$ because $S$ is a perfect subgroup of $K^F$. + +For each orbit of $F$ on the factors, fixed points are obtained by +choosing one coordinate fixed by the corresponding power of $F$; +see \cite[Proposition~2.8(ii)]{LiebeckSeitzClassical1998}. +Consequently $H$ is a central product of classical components, one +per orbit. It is proper in $T$ also as a finite group. To check +this uniformly, put $q=p^{f_t}$, let the individual digit dimensions +be $d_1,\ldots,d_k$, put $d_{\min}=\min_i d_i$, and write +$n_t=\prod_i d_i$. The earlier bound for nontrivial digits gives +$d_{\min}\to\infty$ with the source rank. +Elementary classical order bounds give +\[ + |H|\leq q^{2\sum_i d_i^2},\qquad + |T|\geq q^{n_t^2/8}. +\] +For $k\geq2$, +$\sum_i d_i^2/n_t^2\leq k/d_{\min}^{2(k-1)}\leq2/d_{\min}^2$. +Thus $H1$. Number the factors by +$\mathbb Z/b\mathbb Z$, and group the cosets of its unique subgroup +of order $u$. The normalizer's permutation normalizes the regular +cyclic descent action and preserves this block system. The +algebra for a block $B$ is the algebra generated by its +$\mathcal A_i$, namely $\operatorname{End}(\bigotimes_{i\in B}V_i) +\otimes1$. Replace each block by its full special linear or +bilinear-form group. For a characteristic-two quadratic target +use the full symplectic group on each grouped alternating space. +The resulting quadratic tensor form is unchanged: it has the +same polarization and vanishes on every fully pure original +tensor, and such tensors span $V$. Hence this grouped subgroup +$K'$ still preserves the prescribed ambient form and is invariant +under $F$ and $M$. + +Its terminal derived fixed-point subgroup $H'$ has one classical +component on dimension $n_s^u$ over the field with usual exponent +$v f_t$, with the unitary parity or orthogonal sign prescribed by +the return map. For $n_s\geq16$, the elementary bounds +$Q^{d^2/8}\leq|\operatorname{Cl}_d(Q)|\leq Q^{2d^2}$ give +\[ + |S|\leq q^{2uv n_s^2} + 16u$ and $n_s^{2u(v-1)}>16v$. +As before $M$ normalizes $H'$ and $S\leq H'$. Its properness in +$T$ forces $H'\leq M$, and perfectness then forces $H'=S$, +contradicting the first inequality. Therefore $b$ is prime. +\end{proof} + +\subsection{Estimates along a two-edge shortcut} + +We record how the catalogue applies to the reduced configurations. +In the estimates below, a \emph{nonlinear} cover means a +non-geometric defining-characteristic irreducible cover as in +\ref{cls:cat-nonlinear}; a \emph{crossing} cover means an almost simple +cross-characteristic cover or a symplectic-type cover. +The field estimates constrain prime degrees, the dimension estimates +can be iterated along the chain, and the inner order quotients will +multiply through intermediate vertices. + +\begin{enumerate}[label=\textup{(G\arabic*)},ref=G\arabic*] +\item\label{grw:input-fields} +For a geometric or defining-characteristic almost simple cover, +\ref{cls:cat-geometric} and \ref{cls:cat-nonlinear} express the field +ratio as a fixed rational factor times the contribution of a subfield, +extension-field, or twisted-tensor degree. An exceptional degree is +prime or belongs to a fixed bounded set of positive integers. +All bounded rational corrections, including two, are fixed before +any prime coloring is made. The restriction-of-scalars and +twisted-tensor formulas are \eqref{grw:matrix-field-convention} +and \eqref{grw:twisted-field-convention}, respectively. +The mixed unitary restriction of degree two is a bounded geometric +case, with $\epsilon_s/\epsilon_t\in\{1/2,1,2\}$. +A natural space and its dual give a separate dimension operation, +not an additional restriction degree. Other form and special-isogeny +rows retain their own fixed rational field factors; no telescoping +of $\epsilon$ factors through those rows is used. +Lemma~\ref{cls:twisted-tensor} supplies distinct tensor positions +modulo $f_s$, including the unitary alternatives. Thus there is no +matrix-field factor of two in \eqref{grw:twisted-field-convention}, +and the dimension formulas for a two-step subfield/extension or +subfield/twisted-tensor path are exact. + +\item\label{grw:input-geometric} +The geometric dimension operations in \ref{cls:cat-geometric}, +together with Proposition~\ref{cls:reduction}(v), give boundedly +many omitted dimensions once the active slot, permutation data, +and inactive simple labels are fixed. In paths with no replication +and no inactive nonabelian factor, these dimensions are bounded +integers; ordinary tensor factors other than the active one then +have bounded dimensions. An unbounded replication degree belongs +to the bounded-cardinality pool in Proposition~\ref{cls:reduction}. + +\item\label{grw:input-degrees} +Clause~\ref{cls:cat-nonlinear} gives $n'\ge c n^2$ on a nonlinear +cover, with nontrivial Steinberg tensor decompositions already +assigned to geometry. Clauses~\ref{cls:cat-symplectic} and +\ref{cls:cat-cross} give the common crossing estimate +\begin{equation}\label{grw:cross-bounds} + n'\ge \exp(c n\log q),\qquad n',f'\le |T|^C. +\end{equation} +For an almost simple cover the upper degree bound also holds in +defining characteristic. +Every ascending same-characteristic geometric step decreases natural +dimension by at most a fixed factor, by +\ref{grw:input-fields}--\ref{grw:input-geometric}. It also decreases +$n\log q$ by at most a fixed factor. For restriction of scalars, +\eqref{grw:matrix-field-convention} gives +\[ + n_t\log q_t + =\frac{\epsilon_s}{\epsilon_t}n_s\log q_s + \ge\tfrac12 n_s\log q_s, + \qquad n_t=b n_s\ge n_s. +\] +For a twisted-tensor step, +\eqref{grw:twisted-field-convention} gives +$n_t\log q_t=(n_s^b/b)\log q_s\ge n_s\log q_s$ when $n_s,b\ge2$. +The other geometric rows have fixed positive lower factors. A +same-characteristic nonlinear step has both lower-bound properties +as well, by its quadratic degree bound and fixed positive field ratio. + +\item\label{grw:input-multipliers} +In a one-factor almost simple cover the inner order quotient is at +most $|\operatorname{Out}(T)|$. Clause~\ref{cls:cat-symplectic} +bounds the symplectic-type quotient between $cN^2$ and $CN^2$, +where $N$ is the target natural dimension; the target dimension +and field exponent are at most $|T|^C$ for source $T$. +For a parabolic or unipotent subspace cover with one active factor, +no inactive nonabelian factor, and bounded field ratio, +\ref{cls:cat-inactive} makes the target dimension $n'$ comparable +to the source dimension $n$ and places the inner quotient between +$q^{c n'}$ and $q^{C n^2}$. For fixed target type and parameters +that quotient has boundedly many possibilities. This is a bound +on cardinality; the quotient itself is usually very large. +\end{enumerate} + +A strict split followed by an equal-type merge is geometric. +Every shortcut containing an almost simple irreducible or a +symplectic-type cover has one active simple factor at both covers +and no other nonabelian inner +composition factor, by Proposition~\ref{cls:reduction}. For those +shortcuts, the next lemma transfers the normalizer bound to the +actual lower coordinate stabilizer. + +\begin{lemma}[Transport of a coordinate stabilizer]\label{grw:input-normalizers} +Suppose that the last cover is an almost simple irreducible cover with +source $Y$, and that all three shortcut multiplicities agree, as in +every application below. Denote the lower node's full upper-coordinate +stabilizer image by $M_{ij}$, and let $P_B$ be the inner projection in +the first cover. Then +\begin{equation}\label{grw:normalizer-input} + |M_{ij}|\le C\,|P_B|\,n'^{C}(1+f')^{C}. +\end{equation} +\end{lemma} +\begin{proof} + Write the actual shortcut as +$U=z_i\prec V\prec W=z_j$, and work modulo $F_W$. +In one $W$-coordinate the last cover has +$Y\trianglelefteq P_A\le\operatorname{Aut}(Y)$. Its killed kernel +from the middle is soluble by Proposition~\ref{cls:reduction} and +normal in $P_A$, hence is trivial. The active subgroup in that +coordinate is therefore the actual simple group $Y$. +Proposition~\ref{frm:active-transport} gives a $V$-equivariant bijection +$\beta:I_V\longrightarrow I_W$ because the multiplicities agree. +For $\alpha\in I_V$ and $t=\beta(\alpha)$, the actual stabilizers in +$U$ coincide: $U_\alpha=U_t$. Let $\rho_V,\rho_W$ be their middle +and upper coordinate actions, and let +$\phi:N_{\operatorname{Aut}(T_j)}(Y)\longrightarrow\operatorname{Aut}(Y)$ +be conjugation. The quotient-induced actions satisfy +\[ + \phi\circ\rho_W|_{U_t}=\rho_V|_{U_\alpha}, + \qquad \phi(M_{ij})=M_B, +\] +where $M_B$ is the actual first-cover coordinate stabilizer image. + +The inner-intersection assertions use the original lower endpoint $a$ +from Definition~\ref{cls:tested-chain}. All retained comparisons +start strictly above this $a$, so none uses an excluded middle +$v_{0j}$. Condition +\ref{cls:test-alternating} makes $a$ an intersection of coatoms in +$[a,V]$ and $[a,W]$ for every retained middle and upper endpoint. +Proposition~\ref{frm:projection} in these original-$a$ projections +identifies the inner part of a saturated image with its transported +inner projection. For $U\prec V$ the coatom case of that Proposition +also applies directly. In particular, +\[ + M_B\cap\operatorname{Inn}(Y)=P_B. +\] +There is no assumption that a meet of coatoms in the original global +interval is a meet of coatoms in every smaller interval. +The bounded kernel from Lemma~\ref{cls:normalizer} now gives +\[ + |M_{ij}|\le C|M_B| + \le C|P_B|\,|\operatorname{Out}(Y)| + \le C|P_B|n'f', +\] +which implies \eqref{grw:normalizer-input}. This includes diagonal, +field, and graph operations. All higher-core losses are already +kernels of the displayed actual coordinate actions; no uncontrolled +factor from the field of the final target is inserted. +\end{proof} + +\subsection{Finite colors for field degrees} + +For a positive rational $x$, let $v_\ell(x)$ be its valuation at a prime +$\ell$. If $S$ is a finite set of primes, put +\[ + \Omega_S^+(x)=\sum_{\ell\notin S}\max\{v_\ell(x),0\}, + \qquad + \Omega_S^-(x)=\sum_{\ell\notin S}\max\{-v_\ell(x),0\}. +\] +Both sums have finite support. + +\begin{lemma}[Finite prime complexity]\label{grw:prime-colors} +Let $x_1,\ldots,x_s$ be positive real numbers whose pair ratios are +positive rationals. Suppose that, for every $i1$ is prime or belongs to a fixed bounded set of integers. +In the first case put $x_i=n_i$, and in the second put $x_i=\log n_i$. +In either case $x_j/x_i=b_{ij}$ has uniformly bounded prime complexity. +Lemma~\ref{grw:prime-colors}, with $\mathcal C=\{1\}$, gives a +homogeneous triangle with $b_{ij}=1$, a contradiction. Notice that +field ratios alone would not suffice: ratios $r_j/r_i$ of distinct +primes are compatible on arbitrarily many vertices. It is the exact +dimension formula that excludes this possibility. +\end{proof} + +\begin{proposition}[Purely geometric paths]\label{grw:no-geometric} +An arbitrarily long reduced chain cannot have exclusively geometric +two-edge shortcuts. This includes strict split/equal-type merge +shortcuts. +\end{proposition} + +\begin{proof} +Color by the two cover categories, the endpoint family, and whether a +split and merge occur. There are finitely many colors. The endpoint +characteristic is common because every step is in defining +characteristic. If both an increasing and a decreasing exceptional +field move occur, Lemma~\ref{grw:opposite-fields} applies. Otherwise +all exceptional primes in a pair ratio have the same sign. The product +of the two bounded rational factors belongs to a fixed finite set, and +at most two exceptional degrees occur. A bounded exceptional degree +has uniformly bounded prime complexity as well. Apply +Lemma~\ref{grw:prime-colors} to $x_i=f_i$. We may therefore assume +that all endpoint fields and families agree. + +The exceptional degrees at the individual covers are now bounded +integers. Indeed, with no opposite field moves their product, or its +reciprocal, is a member of the fixed finite set of bounded twisting +ratios, because $f_j/f_i=1$. Each positive degree divides the numerator +or denominator of one of these finitely many rationals. + +Fix a lower endpoint $i$. We show that its upper natural dimension has +only boundedly many possible values. For block and parabolic shapes, +the ambient dimension is the active dimension, or twice that dimension +when its dual is present, plus the dimensions of the omitted blocks. +The dimensions of nonabelian omitted blocks are determined, with bounded +ambiguity, by the bounded-cardinality pool of inactive types. Soluble +omitted blocks have bounded dimensions. A tensor shape multiplies the +active dimension by a product of the omitted dimensions. A replicated +base multiplies it by a replication degree from its bounded-cardinality +pool. A form change has the same natural dimension, with the bounded +natural-module exceptions included in the family color. Field +restriction multiplies dimension by one of the bounded degrees just +obtained, and a twisted-tensor step raises it to one of those degrees. +Thus one geometric cover gives a bounded list of possible outputs from +a fixed input. Two covers give a list whose size is at most the product +of the two bounds. For a split followed by a merge the second step has +the same simple label, so gives no new natural dimension at all. + +All labels now have the same family and field. Their strict growth in +order makes their natural dimensions distinct. There cannot be more +upper endpoints than the bounded number of possible outputs from the +fixed lower endpoint. This contradicts arbitrary length. +\end{proof} + +\subsection{Multiplicative inner quotients} + +From now on each comparison contains a nonlinear or crossing step. +There is no splitting. The multiplicity is the common integer $m$ +from Proposition~\ref{cls:reduction}, also at the two covers of every +chosen shortcut. Let $P_{ij}\le T_j$ be the saturated inner projection +of the lower node at an upper coordinate, and let +$M_{ij}\le\operatorname{Aut}(T_j)$ be its full induced coordinate +stabilizer. Applying Proposition~\ref{frm:projection} with the +original $a$ and condition~\ref{cls:test-alternating}, as explained +in Lemma~\ref{grw:input-normalizers}, gives +$P_{ij}=M_{ij}\cap T_j$. + +\begin{lemma}[Index quotients]\label{grw:indices} +The positive integers +\[ + e_{ij}=|P_{ij}|/|T_i| +\] +satisfy $e_{ik}=e_{ij}e_{jk}$ for every $iz_i$, the original test \ref{cls:test-normal} provides +a fenced interval or a labelled bottleneck at $U$. If $U=z_i$, +the endpoint itself is labelled. Since $F_j\trianglelefteq z_j$ +and $F_j\le D$, apply Lemma~\ref{frm:labels} or +Corollary~\ref{frm:bottleneck} in the quotient by $F_j$, with +bottom $D/F_j$. The soluble-normal conclusion gives +\eqref{grw:normal-containment}. For +\textup{(\ref{grw:normal-commuting})}, the full inverse image of +$\overline K$ is normal in this same $U$ and contained in $D$, +so the commuting-normal conclusion kills one product. +Since $D\le z_i$, a killed product has its coordinate subgroup +in $P_{ij}$. +\end{proof} + +For \textup{(\ref{grw:normal-soluble})} we use the enlargement +\begin{equation}\label{grw:normal-enlargement} + \overline U=(z_i/F_j)\widehat R; +\end{equation} +for \textup{(\ref{grw:normal-commuting})} we use +$\overline U=\langle z_i/F_j,\widehat R,\widehat Q\rangle$. +Properness and normality in this same enlargement are checked +in each application. If one tested product contains a transported +active subgroup known to map onto the original lower labelled +socle, it is not killed, so the other product is killed. +Containment in $P_{ij}$ alone does not imply that a product +is killed and cannot replace the normality and bottom-containment +hypotheses on $\overline K$. Solubility here is a property of +the quotient product; its full inverse image need not be soluble. +No normality of the lower core $F_i$ in the enlargement, or full +supplementation dichotomy at an unlabelled bottleneck, is used. + +\Needspace{5\baselineskip} +\subsection{A small projective group and a parabolic} + +\begin{lemma}[Small coordinate stabilizers]\label{grw:small-parabolic} +There is an absolute constant $c_0>0$ with the following property. +Let $T$ be a classical simple group of sufficiently large natural +dimension $n$, over parameter $q=p^f$, and let +$M\le\operatorname{Aut}(T)$ have order $m$. If +\[ + n>2(m^2+m), +\] +then $M$ normalizes a proper parabolic subgroup of $T$ whose unipotent +radical has order at least $q^{c_0 n}$. Consequently the coordinate +normal test excludes $M=M_{ij}$ whenever, in addition, +$q_j^{c_0 n_j}>|M_{ij}|$. +\end{lemma} + +\begin{proof} +Use the natural-space field $E=\mathbb F_{p^e}$; thus $e=f$, or $e=2f$ +in the unitary case. Apart from the bounded-rank graph exceptions +already excluded, automorphisms in the form cases are represented by +projective semilinear similarities. In the linear case there may also +be correlations, which interchange the natural space and its dual. +The ordinary orthogonal graph operation is a similarity in this +description; characteristic-two type $B$ uses its symplectic natural +quotient. + +First suppose that $M$ acts on the natural-space side. Choose one +semilinear representative $s_g$ for each projective element, with +$s_1=1$. The products satisfy +$s_gs_h=c(g,h)s_{gh}$ for nonzero scalars $c(g,h)\in E$. +For an unknown vector $v\in E^n$ impose +\[ + B(s_gv,s_hv)=0\quad(g,h\in M) +\] +in a bilinear or Hermitian form case, and impose also +$Q(s_gv)=0$ in a quadratic form case. In a plain linear space no +equations are necessary. Field automorphisms and semilinear maps are +$\mathbb F_p$-linear. These are therefore at most $e(m^2+m)$ scalar +polynomial equations of degree at most two in $en$ prime-field +variables. Their sum of degrees is less than $en$. + +For completeness, the elementary polynomial count giving a nonzero +solution is as follows. If $F_1,\ldots,F_t$ have total degree sum less +than the number $N$ of prime-field variables, the number of their common +zeros, reduced modulo $p$, is +\[ + \sum_{x\in\mathbb F_p^N} + \prod_{a=1}^t(1-F_a(x)^{p-1}). +\] +Every expanded monomial has degree less than $N(p-1)$, so some variable +has exponent less than $p-1$. The sum over that variable is zero in +$\mathbb F_p$, including exponent zero. The displayed sum is zero. +All our equations vanish at zero, so their common zero set has another +element. This is the needed Chevalley--Warning argument +\cite{Chevalley1935,Warning1935}. + +Choose such a nonzero $v$ and put +\[ + U=\operatorname{span}_E\{s_gv:g\in M\}. +\] +Then $1\le\dim U\le m$. Scalar discrepancies between representatives +do not change this span, so $U$ is $M$-stable. The imposed equations +make $U$ totally singular in the form cases. In particular, in +characteristic two we used the quadratic equations as well as the +polar equations. Thus the stabilizer of $U$ is a proper parabolic +normalized by $M$. + +Now let $T$ be linear and suppose $M$ contains correlations. Put +$H=M\cap\operatorname{P\Gamma L}(V)$ and choose $d\in M\setminus H$. +On subspaces the correlation has the form +\[ + d(S)=\operatorname{ann}(F(S)) +\] +for an invertible semilinear map $F:V\longrightarrow V^*$. +Choose representatives $s_h$, $h\in H$, and impose +\[ + F(s_hv)(s_kv)=0\qquad(h,k\in H). +\] +Again there are at most $e|H|^2$ quadratic scalar equations. The same +count gives $v\ne0$. Let +$U=\operatorname{span}_E\{s_hv:h\in H\}$ and $W=d(U)$. +The equations say $U\le W$. Since $H$ is normal in $M$, both subspaces +are $H$-stable. Moreover $d(W)=d^2(U)=U$, because $d^2\in H$. +Thus the flag $U|M_{ij}|$. +\end{proof} + +\subsection{Eliminating every crossing path} + +Put $\mathcal E_0(x)=x$ and +$\mathcal E_{h+1}(x)=\exp(\mathcal E_h(x))$. + +\begin{lemma}[Repeated crossing growth]\label{grw:towers} +Suppose every comparison in a reduced homogeneous chain has a crossing. +For every fixed $h,C$ and every sufficiently distant pair $i\mathcal E_h(a_i^C). +\] +The required distance is a constant depending only on $h,C$ and the +constants in the catalogue. Also $n_j>a_i^C$ for every fixed $C$ after +a fixed separation and a sufficiently large minimum rank. +\end{lemma} + +\begin{proof} +Every ascending same-characteristic geometric step preserves both +natural dimension and $n\log q$ up to fixed positive lower factors, +as established in \ref{grw:input-degrees}. The same holds for a +same-characteristic nonlinear step by its quadratic degree bound and +fixed positive field ratio. If the last cover crosses, a preceding +same-characteristic cover leaves $n'\log q'$ at least a fixed multiple +of $n_i\log q_i$. A preceding crossing has the same consequence +from $n'\ge\exp(c n_i\log q_i)$ and $\log q'\ge\log2$ at sufficiently +large rank. The last crossing then gives the endpoint lower bound. +If only the first cover crosses, it gives +$n'\ge\exp(c n_i\log q_i)$, and the last cover preserves natural +dimension up to a fixed factor. Decreasing $c$ and increasing the +fixed minimum-rank threshold, we obtain in every case +\[ + n_{i+1}\ge\exp(c n_i\log q_i). +\] +Write +$u=n_i\log q_i$. Classical order formulas give +\[ + \log a_i\le C_1 n_i^2\log q_i\le C_2u^2. +\] +After the first step every additional comparison gives at least the +map $x\mapsto F(x)=\exp(c\log(2)x)$. For fixed $C_3$, +\[ + \frac{F(\exp(cu))}{\exp(C_3u^2)}\longrightarrow\infty + \qquad(u\longrightarrow\infty). +\] +If $L(u)/R(u)\longrightarrow\infty$ and $R(u)\longrightarrow\infty$, +then $F(L(u))/\exp(R(u))\longrightarrow\infty$ as well. Induction +therefore shows that $h+2$ comparisons dominate +$\mathcal E_h(\exp(C_3u^2))$, and hence +$\mathcal E_h(a_i^C)$ when $C_3\ge CC_2$. This also proves the last +assertion. The target prime characteristic need not be bounded in +this argument: its only use in the iteration was $\log q\ge\log2$. +\end{proof} + +\begin{proposition}[No characteristic crossings]\label{grw:no-crossing} +After passage to a reduced homogeneous chain, neither cover of any +comparison changes the defining characteristic. +\end{proposition} + +\begin{proof} +Suppose otherwise, and color by the two step categories. Every pair in +the resulting arbitrarily long chain has a crossing. There are three +possibilities for its last step $A$. + +\smallskip\noindent +\emph{The last step is geometric in the same characteristic.} +The first step $B$ crosses. Hence $n',f'\le a_i^C$ by +\eqref{grw:cross-bounds}. An ordinary geometric last step changes +dimension by bounded factors, except for an extension degree. By +\eqref{grw:matrix-field-convention} that degree is +$b=\epsilon'f'/(\epsilon_jf_j)\le2f'$. A last subfield degree can be +arbitrarily large but leaves dimension unchanged. A twisted-tensor +last step has exponent $b=f'/f_j\le f'$ by +\eqref{grw:twisted-field-convention}. Therefore +\[ + n_j\le (C n')^{C(1+f')}+C(1+f')n'+C + \le\exp(a_i^{C'}) +\] +for a fixed $C'$. Lemma~\ref{grw:towers} contradicts this bound on a +sufficiently distant pair. + +\smallskip\noindent +\emph{The last step is symplectic type.} +Its source $Y$ is a symplectic or orthogonal group over a prime field, +say of order $r$, and its target dimension is $r^{d}$ with +$2d+O(1)=n'$. +First suppose $B$ is in the same characteristic. Then $r=p_i$ and +$f'=1$. In a subfield first step the formula $1=\rho f_i b$, with +$\rho$ in a fixed finite set of positive rationals, bounds both $f_i$ +and $b$; in the untwisted formula such a proper step is impossible. +An ordinary extension degree in $B$ satisfies +$b=\epsilon_i f_i\le2f_i$, because the target here has $f'=1$ and +$\epsilon'=1$; a twisted-tensor exponent satisfies $b=f_i$. +The ordinary geometric formulas give a fixed-height tower +bound on $n'$ in terms of $a_i$. If $B$ is nonlinear, its irreducible +degree is at most $a_i^C$, giving the same conclusion. Since +$p_i\le a_i$, the formula $n_j=p_i^{d}$ gives +$n_j\le\mathcal E_h(a_i^{C'})$ for fixed $h,C'$. This contradicts +Lemma~\ref{grw:towers}. + +It remains in this case that $B$ also crosses. Let $b_{ij},s_{ij}$ +be the inner multipliers of $B,A$. By +\ref{grw:input-multipliers}, +\[ + 1\le b_{ij}\le a_i^C, + \qquad c n_j^2\le s_{ij}\le C n_j^2, + \qquad e_{ij}=b_{ij}s_{ij}. +\] +The bound for $b_{ij}$ is the outer-order bound when $B$ is almost +simple; in the symplectic-type case it follows from +$b_{ij}\le C(n')^2\le a_i^{C'}$. +For $in_j^{1/8}\ge |M_{ij}|$. That Lemma gives the final +contradiction. + +The three possibilities exhaust the last cover in a crossing path. +\end{proof} + +\subsection{A common field and the exclusion of radicals} + +\begin{lemma}[Common defining field]\label{grw:common-field} +On the remaining arbitrarily long chains, the endpoints can be taken +to have one common family and one common field $q=p^f$. The intermediate +field ratios belong to a fixed finite set of positive rationals. In +particular, all extension and twisted-tensor degrees in these paths +are bounded integers. Every comparison satisfies +\begin{equation}\label{grw:quadratic-growth} + n_j\ge c n_i^2. +\end{equation} +\end{lemma} + +\begin{proof} +Propositions~\ref{grw:no-geometric} and~\ref{grw:no-crossing} leave a +defining-characteristic nonlinear cover on every comparison, with the +common characteristic of the endpoints. Color by endpoint family +and cover categories. A nonlinear cover has a bounded rational field +ratio; only the other cover can carry an exceptional prime degree. +Lemma~\ref{grw:prime-colors} applied to $f_i$ therefore gives equal +endpoint exponents. The exceptional degree at the remaining cover +must cancel a member of a fixed finite set of rational twisting ratios, +so it is bounded. The intermediate ratios consequently belong to a +fixed finite set. + +The nonlinear cover increases natural dimension at least quadratically. +All remaining geometric steps increase it by at least a fixed positive +factor. Thus its position as first or last cover makes no difference +to \eqref{grw:quadratic-growth}, after decreasing $c$. +\end{proof} + +\begin{lemma}[No parabolic cover]\label{grw:no-parabolic-cover} +After a further homogeneous reduction, no selected shortcut contains +a parabolic or subspace cover with a large unipotent radical. +\end{lemma} + +\begin{proof} +Use Lemma~\ref{grw:common-field}, and color by the position of the +parabolic cover. The other cover is nonlinear. + +If the parabolic cover is first, its active dimension is $n_i$ and its +ambient dimension is comparable to $n_i$. Its inner quotient is at +most $q^{C n_i^2}$. The multiplier of the last nonlinear cover is at +most $|\operatorname{Out}(Y)|$, which is absorbed by this bound, since +$n'$ is comparable to $n_i$ and $f'/f$ is bounded. Hence +\begin{equation}\label{grw:first-radical-upper} + e_{ij}\le q^{C_1 n_i^2}\qquad\hbox{for every }i0}$ such that every intermediate exponent +satisfies $f'/f\in\mathcal R$, every field-extension or twisted-tensor +degree is at most $b$, and every inactive geometric natural dimension +is at most $b$. In particular each remaining geometric cover satisfies +$n_{\mathrm{target}}\le C(1+n_{\mathrm{source}})^b$. + +\item There are fixed $c,C>0$ such that +\[ + n_j\ge c n_i^2,\qquad |P_{ij}|\le q^{C n_i^2}. +\] +For any prescribed exponent $d$, fixed-spacing thinning gives also +$n_j\ge n_i^d$ for every retained pair, after raising the minimum rank. + +\item The coordinate normal tests of +Lemma~\ref{grw:coordinate-normal-tests} remain available for every tested proper +coordinate overgroup. After one more fixed-spacing thinning, +$M_{ij}$ normalizes no proper parabolic of $T_j$. +\end{enumerate} +\end{proposition} + +\begin{proof} +Parts (i)--(iv) collect Propositions~\ref{grw:no-geometric} and +\ref{grw:no-crossing} and Lemmas~\ref{grw:common-field}, +\ref{grw:no-parabolic-cover}, and \ref{grw:inner-order}. +For the spacing assertion put $x_i=c n_i$. Then +\eqref{grw:quadratic-growth} says $x_j\ge x_i^2$ on every consecutive +comparison. After $s$ comparisons, +$n_j\ge c^{-1}(c n_i)^{2^s}$. Choose $2^s>d$ and then increase the +minimum rank to obtain $n_j\ge n_i^d$. + +The coordinate normal test is inherited from the original tested +intervals and is not altered by deleting chain vertices. Every proper +parabolic of a large-rank classical group has unipotent radical of +order at least $q^{c_3 n_j}$ for an absolute $c_3>0$. +One can see the uniform bound by choosing a maximal parabolic +containing it: the omitted simple root has at least the relative rank +many positive-root coordinates outside the Levi subsystem. Their +product contributes at least $q^{c_3 n_j}$; unitary root orbits can +only increase the corresponding root-group orders. The radical of +the smaller parabolic contains that of the maximal one. +Fixed-spacing thinning makes $c_3n_j>Cn_i^2$ uniformly. +If $M_{ij}$ normalized such a parabolic $J$ with radical $R$, use +\eqref{grw:normal-enlargement}. Since +$P_{ij}R\le N_{T_j}(J)q^{C n_i^2}\ge|P_{ij}|$. +This proves (v). +\end{proof} + +The Proposition makes no assertion that a unique nonabelian composition +factor alone produces a quasisimple subgroup. The actual components +and their compatible rational maps will be obtained from the retained +geometric structures in the next section. In particular, the +characteristic-two form case is still among those structures and +requires its own form-preservation argument. diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/introduction.tex b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/introduction.tex new file mode 100644 index 0000000000000000000000000000000000000000..2847174936d9c83bed4f88f73d732fb67a3952fe --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/introduction.tex @@ -0,0 +1,243 @@ +\section{Introduction}\label{sec:introduction} + +The congruence lattice of an algebra records all of its quotients at once. +The representation theorem of Gr\"atzer and Schmidt says that every +algebraic lattice occurs in this way \cite[Theorem~I, p.~34]{GratzerSchmidt1963}. +The finite version asks for a finite representing algebra whenever the +given lattice is finite. The difference is substantial: a finite +congruence lattice may be represented by an infinite algebra without +providing any finite representation. + +Here a finite algebra is a finite nonempty set equipped with finitely many +total operations, each of finite arity. The signature is allowed to +depend on the lattice. Nullary operations and the empty signature are +allowed. We write $\Con(A)$ for the \emph{entire} lattice of congruence +relations on $A$, ordered by inclusion. +Allowing infinitely many finitary operations would give no additional +finite representations. Indeed, a finite carrier has only finitely many +equivalence relations. For each relation that is not a congruence, retain +one operation witnessing its failure of compatibility. The resulting +finite signature has exactly the same congruence lattice. + +\begin{theorem}\label{main:congruences} +There exists a finite nonempty lattice $L$ such that +\[ + L\not\cong\Con(A) +\] +for every finite nonempty algebra $A$ of every finite signature. +\end{theorem} + +Thus the finite lattice representation problem has a negative answer. +The theorem concerns unrestricted finite universal algebras; it is not +a restriction to a variety, a bound on the carrier size, or an obstruction +to a particular representation method. + +P\'alfy and Pudl\'ak proved that the following two universal assertions +are equivalent \cite[Theorem~2]{PalfyPudlak1980}: +every finite lattice is the congruence lattice of a finite algebra, and +every finite lattice is an interval in the subgroup lattice of a finite +group. We establish the failure of the second assertion. + +\begin{theorem}\label{main:group} +There exists a finite lattice that is not isomorphic to $[D,G]$ for any +subgroup $D$ of any finite group $G$. +\end{theorem} + +Here $[D,G]=\{X:D\le X\le G\}$ carries subgroup inclusion. The equivalence +is global: Theorem~\ref{main:group} implies +Theorem~\ref{main:congruences}, without asserting that a prescribed +individual lattice has the two representation properties simultaneously. +The one-element lattice causes no exception; it is represented by a +one-element algebra and by a trivial subgroup interval. + +The constructed subgroup-interval obstruction is self-dual. It also +cannot be the entire lattice of intermediate fields of a finite separable +extension $E/F$. Indeed, a +finite normal closure $N/F$ gives an order anti-isomorphism with +\[ + [\operatorname{Gal}(N/E),\operatorname{Gal}(N/F)], +\] +by the Galois correspondence; self-duality would turn such a field +representation into a forbidden subgroup-interval representation. +This is the group--field correspondence discussed in +\cite[Section~3]{PalfyTwisted}. + +\subsection{History and the subgroup-interval approach} + +The finite problem has several distinct formulations: existence of a +representation, finding a representing algebra, and deciding from a finite +order table whether a representation exists. McNulty's account separates +these questions and places them in their universal-algebraic setting +\cite[pp.~29--30]{McNulty2015}. We address the existence question by +ruling out a finite subgroup interval. The global transfer just stated +is essential: the decorated lattice constructed below is a subgroup-interval +obstruction, and we do not identify it pointwise with the lattice asserted +by Theorem~\ref{main:congruences}. + +Two positive representation results clarify the finite requirement. +Pudl\'ak and T\r{u}ma proved that every finite lattice embeds, preserving +meets and joins, into the partition lattice of a finite set +\cite{PudlakTuma1980}. Such an embedding need not realize the given +lattice as the entire congruence lattice of operations on that set. +On the group side, Repnitski{\u{\i}} and T\r{u}ma represented every finite +lattice as an interval in the subgroup lattice of a countable locally +finite group \cite{RepnitskiiTuma2008}. Local finiteness still permits +the ambient group to be infinite. + +The subgroup-interval approach exposes normal subgroups and primitive +sections to lattice constraints. Baddeley and Lucchini developed the +reduction of height-two interval questions to finite simple-group problems +\cite{BaddeleyLucchini1997}; Baddeley extended the class of lattice +configurations under consideration \cite{Baddeley1998}. +Further interval reductions were developed by B\"orner and Aschbacher +\cite{Borner1999,Aschbacher2008}. These results have different hypotheses; +P\'alfy's comparison explains their relationship and the role of almost +simple groups and twisted wreath products \cite[Section~4]{PalfyTwisted}. +In particular, the invariant-subdirect and homomorphism-extension viewpoint +in \cite{PalfyTwisted} is the starting structure for our final reduction. +Aschbacher's minimum-order and signalizer-lattice viewpoint is a related +predecessor of the complementary-socle and extension-kernel arguments. + +Lattice shapes can enforce group-theoretic conditions; DeMeo develops +this general perspective and the combination of such requirements +\cite{DeMeoInterval2014}. Here the particular shapes must do two jobs +simultaneously. They force uniform restrictions on every possible +simple-group-labelled chain, and they retain the Boolean joins on which +the final extensions must agree. Uniformity is the obstacle: every +lattice in the construction is finite, but a hypothetical representing +group has no prescribed bound on its order, Lie rank, or field size. + +\subsection{The proof in two stages} + +Our construction has two stages. The first is a uniform rigidity result +for finite configurations of subgroups. We attach a nonabelian simple +type $T_X$ to selected vertices $X$. If $D$ is the common bottom, +the unique minimal normal subgroup of $X/\operatorname{core}_X(D)$ +is a direct power of $T_X$; here $\operatorname{core}_X(D)$ is the +largest normal subgroup of $X$ contained in $D$. +Special intervals, called fences, test normal subgroups. Equal labels +give subdirect powers, in which selected simple coordinates are linked +diagonally. At the comparisons used below, different labels give +coordinate products that can be projected to subgroup intervals of +almost simple groups. +Long chains are supplied with two-edge shortcuts and further interval +tests that make these projections available. The crucial conclusion +is an \emph{absolute} upper bound +on the length of such a chain when its endpoint labels differ. +The bound must be independent of the finite group in which the +configuration is represented. + +The classification of finite simple groups enters this stage through +maximal-subgroup structure and representation theory. A subgroup maximal +in a maximal subgroup of an almost simple group has at most five nonabelian chief +factors \cite[Proposition~8.1]{BurnessLiebeckShalev2017}. +We combine that bound with the fact that coordinate stabilizers in the +common bottom already induce the full local permutation actions on the +simple factors carrying the lower labels. +An elementary bounded-depth action argument then +controls the union of nonabelian simple types in the relevant projected +coordinate stabilizers, rather than just their number at one vertex. Decreasing +bottom cores account for the nonabelian layers lost between socles. These are the +uniformity statements needed before applying finite Ramsey theory. + +The remaining classical-group comparisons are controlled by field +parameters, dimension growth, and irreducible restrictions. +The structural starting points are Aschbacher's maximal-subgroup +classification and its classical-group formulations +\cite{Aschbacher1984,KleidmanLiebeck1990}, together with Larsen--Pink's +fixed-type envelope theory \cite{LarsenPink2011}. +Landazuri--Seitz degree bounds separate cross-characteristic growth +\cite{LandazuriSeitz1974,Hasa2014}; Steinberg's representation theory and +L\"ubeck's restricted small-degree classification handle the defining +characteristic \cite{Steinberg1963,SteinbergNotes,Luebeck2001}. +The paper derives the required bounds on whole chains from these inputs; +none of these results alone bounds the lengths of the tested chains. +For defining-characteristic representations, the relevant action on +absolute constituent types is the difference between a source field +shift and an ambient semilinear shift. Their synchronization bounds +composition length independently of the field degree. +After another Ramsey argument, natural modules at later endpoints +restrict irreducibly to earlier ones. The irreducible-triple input +comes from Seitz's classification and the corrections of Cavallin and +Testerman, in the formulation of Burness and Testerman +\cite{Seitz1987,CavallinTesterman2019,BurnessTesterman2018}. +We use it twice: first with a bound on the composition length of the +ambient natural module on the smallest subgroup +(Lemma~\ref{irr:rank-length}), and then with an intervening simple +subgroup of strictly larger rank whose natural module is irreducible +on that smallest subgroup (Lemma~\ref{irr:intervening}). +These hypotheses control the twisted-diagonal spin families. +The resulting rank bounds are incompatible with a sufficiently long +chain and its two-edge shortcuts. + +In the second stage, we build one finite lattice from a Boolean lattice +of rank four and a small additional configuration, called the detector. +The chain tests are inserted in both required orders while preserving +the original Boolean meets and joins. Their length is chosen from the +absolute bound, before any representing group is considered. + +Suppose the resulting lattice is represented by $[D,G]$, with $|G|$ +minimal among representations in either orientation. The global fence +gives a socle $S\cong T^I$ and $G=DS$; minimality gives $D\cap S=1$. +Equality of the forward labels forces every proper nonzero original +Boolean vertex $Y$ to meet $S$ in a subdirect subgroup, meaning one +which projects onto every simple coordinate. Fixing a coordinate +gives its stabilizer $A\le D$ and an action +\[ + \alpha:A\longrightarrow\Aut(T). +\] +A $D$-invariant subdirect subgroup corresponds to a subgroup $U$ with +$A\le U\le D$ and a homomorphism $\beta:U\to\Aut(T)$ extending +$\alpha$. This correspondence reverses inclusion. It realizes the +reversed upper filter above $Y$ as the actual group interval $[A,U_Y]$. + +The reverse chain tests make the socles of +$U_Y/\operatorname{core}_{U_Y}(A)$ powers of one simple group $R$, +which need not equal $T$. +The detector ensures $\alpha(A)\ge\Inn(T)$. Read the original +Boolean copy in reverse order. Proper Boolean unions give extensions +on generated domains that agree on their overlaps. For a full union, +the corresponding forward vertices meet at $D$, so their intersections +with $S$ have trivial intersection. A common extension would produce +a nontrivial subdirect subgroup in this intersection and is therefore +forbidden. + +The final argument forces that forbidden extension. If the core of +$A$ in an atom domain had trivial image, compatible lifts of socle +factors on the three rank-two faces through that atom would already +produce a common extension. Hence every atom core has image containing +$\Inn(T)$. Intersections give the same +property for larger proper faces. A least normal subgroup of $A$ +with this inner image is then normal in all the relevant domains; +conjugation on its quotient isomorphic to $T$ supplies their common +extension. This is the contradiction. + +\subsection{Structure and scope of the proof} + +Section~\ref{sec:framework} develops the lattice tests and factor +transport. The central group-theoretic result is +Theorem~\ref{cls:chain-rigidity}, stated in +Section~\ref{sec:classification} and proved in +Sections~\ref{sec:classification}--\ref{sec:rigidity}. +These sections control, successively, factor actions and simple types, +field and dimension growth, algebraic lifts along paths, +natural-module composition length, and irreducible restrictions. +Section~\ref{sec:lattices} constructs a finite lattice realizing all +the tests. Sections~\ref{ext:section} and~\ref{glue:section} reduce a +hypothetical representation to an extension configuration and rule +it out by Boolean gluing, proving Theorem~\ref{main:group}. + +The finite lattice is specified by finitely many private-branch +insertions with a sufficiently large finite chain parameter. +An explicit numerical value of that parameter is unnecessary for the +existence conclusion. Its existence follows from bounds that are +uniform over all possible finite-group representations. + +All groups are finite unless called algebraic groups. Algebraic +groups occur only in the representation-theoretic part of the proof +and are taken over algebraically closed fields of positive +characteristic, with central covers and the stated special isogenies +when needed. We use the classification of finite simple groups and +identify each additional classification or representation input at +its point of application. The new uniformity, lifting, lattice +bookkeeping and gluing deductions are proved explicitly. diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/lattices.tex b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/lattices.tex new file mode 100644 index 0000000000000000000000000000000000000000..7c13b83346e9d4fafbe166ff74d8baf00588160d --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/build/sections/lattices.tex @@ -0,0 +1,562 @@ +\section{A finite lattice carrying all the tests} +\label{lat:section} +\label{sec:lattices} + +We now construct the lattice to which Theorem~\ref{cls:chain-rigidity} +will be applied. All choices in this section precede the choice of a +representing group. In particular, the length of a test chain will be +chosen using the absolute bound in that Theorem. + +Throughout this section, an \emph{original} vertex means a vertex of one +of the two small lattices specified below, before any insertion. An +original atom of a Boolean lattice need not remain an atom after +insertions; its original meets and joins will, however, be preserved. + +\subsection{Two original components and their requested tests} + +There are two original components, each with endpoints $0,1$. +For each of the requested pairs below, we shall insert a chain and the +tests from Definition~\ref{cls:tested-chain}. A forward pair is read +in the displayed order, with bottom $0$; a reverse pair is read in +the dual order, with bottom $1$. + +The \emph{Boolean component} is the Boolean lattice $B_4$ of subsets +of a fixed four-element set. Its forward requested pairs are +\begin{equation} +\label{lat:boolean-forward} + (v,1)\qquad(00$, by +\eqref{lat:cross-order}. A new vertex of $[t,1]$ can belong to such +a comparison only if $b=1$ and $a\leq t$. The lower endpoints of +the latter insertions are in $\mathcal R_C$, and consequently lie +below proper original upper bounds. + +In particular, a reverse fence cannot subdivide a fresh forward +coatom edge $c\prec1$: that would require its lower endpoint to be +exactly $c$, which lies below no proper original vertex. A forward +cover with a proper upper endpoint cannot be subdivided by an +insertion ending at $1$. Thus all forward shortcut edges and all +reserved coatom witnesses survive. A forward $M_{16}$ interval with +proper upper endpoint cannot be entered by a reverse fence. If its +upper endpoint is $1$, its fresh bottom lies below no proper original +vertex; hence no point of $\mathcal R_C$ lies above that bottom. +So this $M_{16}$ interval also remains exact. Forward base insertions +cannot enter any of these positive-bottom intervals. + +All reverse comparison intervals have two proper original bounds in +the forward order. Neither kind of final insertion can add a vertex +to such an interval: an insertion beginning at $0$ cannot do so, and +an insertion ending at $1$ cannot do so. Their covers, witnesses and +exact $M_{16}$ intervals are therefore unchanged. The final reverse +fences label every vertex in each reverse comparison interval by +the definition of $\mathcal R_C$. All required forward principal +vertices belong to $\mathcal F_C$; the sole omitted proper target is +the detector $X$, whose lower interval was fenced at the outset. +This proves (i) and (ii). + +For (iii), an old vertex in a forward comparison belongs to +$\mathcal F_C$, so its lower interval is fenced, with the stated +exception for the global top. The only possible new vertex is an +interior vertex $w$ of a final reverse fencing insertion into $[s,1]$. +If $x_i\leq w$, then $x_i\leq s$ by +\eqref{lat:cross-order}. Every vertex below $w$ either lies below +$s$ or lies on the same private chain above $s$. This assertion also +includes vertices of other insertions in the final batch: a point +from another branch can be below $w$ only by passing through the old +endpoint $s$. Thus $s$ is comparable to every vertex of $[0,w]$. +Moreover $s\in\mathcal F_C$, since $x_i\leq s<1$, and its lower +interval is fenced. This is exactly alternative (b), including the +requirement that the bottleneck lie above the lower chosen chain +vertex. It proves closure of the normal-group tests without any new +round of insertions. + +For (iv), no shape insertion introduces a point strictly below $X$. +Forward fresh points lie below no proper original vertex, and reverse +shape insertions in the detector are contained in $[X,z]$. +A final insertion ending strictly below $X$ introduces only points +below that endpoint, so it cannot create a new coatom of $[0,X]$. +A final insertion ending above $X$ introduces no new point below $X$. +The only remaining possibility would be an insertion into $[0,X]$, +which was omitted. Hence the original covers $q_i\prec X$ are +precisely the coatoms of the lower half. Its two separate original +branches, and those of the upper half, still give fences by +Lemma~\ref{lat:persistent-fence}. + +Finally, Lemma~\ref{lat:shape} bounds the size before the final batch +by $q=q_0+27hN^2$. Each of $\mathcal F_C$ and $\mathcal R_C$ has +at most $q$ members, and each fencing insertion adds four vertices. +The final size is at most $q+4q+4q=9q$. This also proves finiteness +directly from the displayed batches. +\end{proof} + +\subsection{Assembly and proof of the lattice properties} + +Let $B_N$ and $E_N$ denote respectively the decorated Boolean and +detector components just constructed. Define $L_N$ to be the +horizontal sum +\begin{equation} +\label{lat:horizontal-sum} + L_N=B_N\boxplus B_N^{\mathrm{op}} + \boxplus E_N\boxplus E_N^{\mathrm{op}}, +\end{equation} +identifying only the common endpoints $0,1$. Interiors of different +components are incomparable, with cross meet $0$ and cross join $1$. +The order reversal exchanging each component with its opposite is +an order anti-isomorphism of $L_N$. Thus $L_N$ is self-dual. + +Every component has two comparable proper original vertices. The +global interval $[0,1]$ is therefore fenced: for a vertex in one +component, take a comparable pair in a different component. A +comparison with a proper starting point, or a principal interval with +a proper upper endpoint, contains no interior vertex from a different +component. Thus horizontal summation preserves every local property +proved above, and supplies the previously deferred label at the +global top. + +\begin{proof}[Proof of Proposition~\ref{lat:decorated-lattice}] +Let $B$ be the absolute chain threshold of +Theorem~\ref{cls:chain-rigidity}, and choose the single integer +$N=\max\{2,\lceil B\rceil\}$. Construct $L=L_N$ by the finite operations above. +This choice is independent of every possible representing group. +Finiteness follows from Lemma~\ref{lat:simultaneous} and +\eqref{lat:horizontal-sum}; no limiting lattice is used. + +All original lattice operations survive by +Lemma~\ref{lat:insertion}. Every proper original Boolean vertex is +an endpoint of a forward requested pair and of a reverse requested +pair, so its two principal intervals receive the required fences. +The detector statements follow from +Lemma~\ref{lat:simultaneous}. This gives (i) and (ii). + +For (iii), take a finite representation $[D,G]$. By +Lemma~\ref{frm:labels}, the global fence and the required principal +fences provide all forward labels. In every forward requested test, +the sequence $x_0<\cdots0}\alpha^\vee\right\rangle. +\] +It is invariant under diagram automorphisms and duality, is positive on +every nonzero dominant weight and every positive root, and satisfies +$h(\mu)=h(\lambda)$. + +We first justify removing the actual constants from this filtration. +A nonconstant section cannot contain a trivial submodule. Indeed a +map from $k$ into it would transpose to a nonzero map +$\Delta(\lambda^*)\to\nabla(\mu)^{[f]}$. The image contains the +simple socle $L(q\mu)$, so its highest weight must occur in the +source. This gives $qh(\lambda)\leq h(\lambda)$, impossible when +$\lambda\neq0$. Let $I_j$ be the first filtration stage containing +the actual one-dimensional space of constants. That space injects +into $I_j/I_{j-1}$, so this section is the unique section for +$\lambda=0$. The constants split it and +$I_j=I_{j-1}\oplus k$. The images of the earlier stages in $I/k$, +followed by $I_i/k$ for $i\geq j$, give a filtration of $I/k$; +omitting the repeated stage removes exactly the constant section. +Thus its sections are precisely the nonconstant ones. + +We prove that a nonzero $q$-restricted simple $L(\nu)$ cannot map to a +nonconstant section. Suppose otherwise. Transposing the second tensor +factor gives a nonzero homomorphism +\[ + L(\nu)\otimes\Delta(\mu^*)^{[f]} + \longrightarrow\nabla(\lambda). +\] +Its image contains the simple socle $L(\lambda)$. Filter the Weyl module +by simple composition factors and apply Steinberg's tensor product +Theorem~\cite[Theorems~5.1 and~6.1]{Steinberg1963}. Since $\nu$ is $q$-restricted, each simple +composition factor of the source has highest weight $\nu+q\eta$ for +some dominant $\eta$. Consequently +\begin{equation}\label{lift:height-lower} + \lambda=\nu+q\eta,\qquad h(\lambda)\geq h(\nu). +\end{equation} +Transposing the first tensor factor instead gives a nonzero homomorphism +\begin{equation}\label{lift:transpose} + \Delta(\lambda^*)\otimes L(\nu) + \longrightarrow\nabla(\mu)^{[f]}. +\end{equation} +Its image contains $L(q\mu)$, so the weight $q\mu$ occurs in its source. +The maximum height of a weight of that source is +$h(\lambda^*)+h(\nu)=h(\lambda)+h(\nu)$. Thus +\begin{equation}\label{lift:height-upper} + qh(\lambda)\leq h(\lambda)+h(\nu). +\end{equation} +Equations~\eqref{lift:height-lower} and~\eqref{lift:height-upper} are +inconsistent when $q>2$. + +When $q=2$, both inequalities are equalities. Hence $\eta=0$ and +$\lambda=\nu$. The only weight of maximum height in the source of +\eqref{lift:transpose} is $\lambda^*+\nu$, and its weight space is the +one-dimensional span of the tensor $a\otimes b$ of highest-weight +vectors. If $2\mu\neq\lambda^*+\nu$, the required weight does not +occur. Otherwise the homomorphism must be nonzero on $a\otimes b$. +Choose a simple root $\alpha$ with +$\langle\nu,\alpha^\vee\rangle=1$, which is possible because $\nu$ is +nonzero and $2$-restricted. For the Chevalley raising and lowering +operators, +\[ + e_\alpha(a\otimes f_\alpha b)=a\otimes b. +\] +The target of~\eqref{lift:transpose} is Frobenius twisted, so its Lie +algebra action is zero. Every module homomorphism to it kills the +displayed vector, a contradiction. + +A homomorphism from a finite-dimensional simple module to $I/k$ has +image in a finite stage of the filtration. Taking the first stage with +nonzero intersection with that simple image gives a nonzero map into +one of its sections. We have proved +\[ + \operatorname{Hom}_{\mathbf G}(L(\nu),I/k)=0. +\] +Apply this also to the dual of the coefficient module. Tensoring +$0\to k\to I\to I/k\to0$ with $L(\nu)$ shows that the map from +$H^1(\mathbf G,L(\nu))$ to $H^1(\mathbf G,L(\nu)\otimes I)$ is +injective. The tensor identity for induction and derived Frobenius +reciprocity identify this with the asserted restriction map. For split +groups this is also the special case $U=k$ of +\cite[Theorem~7.4]{CPSvdK1977}; the argument above includes the diagram +twist and the equality case $q=2$. +\end{proof} + +\begin{proposition}[Lifting a prescribed quadratic form] +\label{lift:quadratic} +Let $k$ have characteristic two and let $\mathbf G$, $q$, and $\sigma$ +be as in Lemma~\ref{lift:h1-restriction}. Suppose that $V=L(\nu)$ is +nontrivial and $q$-restricted, and that its restriction to +$\mathbf G^\sigma$ is irreducible and preserves a nonzero quadratic +form $Q$. If $V$ is not the natural module for a group isomorphic to +$\operatorname{Sp}_{2n}$, $n\geq1$, then +the rational action of $\mathbf G$ preserves the same quadratic form +$Q$. +\end{proposition} + +\begin{proof} +The polar form $B$ of $Q$ is nonzero: otherwise $Q$ is the square of a +linear form, and that linear form would be invariant under the +nontrivial irreducible finite action. Its radical is invariant, so $B$ +is nondegenerate. Thus the finite representation is self-dual. The +injective parametrization by $q$-restricted highest weights in +Steinberg's finite-group restriction Theorem~\cite[Theorem~43]{SteinbergNotes} +implies that $V\cong V^*$ rationally. Schur's Lemma, first for +$\mathbf G$ and then for $\mathbf G^\sigma$, shows that their spaces of +invariant bilinear forms are both one-dimensional and agree. +In particular $B$ itself is $\mathbf G$-invariant. + +Polarization gives an exact sequence of rational modules +\begin{equation}\label{lift:polarization} + 0\longrightarrow(V^*)^{[1]} + \longrightarrow\operatorname{Sym}^2(V^*) + \longrightarrow\bigwedge^2(V^*)\longrightarrow0. +\end{equation} +The first map sends a twisted linear form to its square. The +obstruction to refining $B$ by a rationally invariant quadratic form +is its connecting class +\[ + c_B\in H^1(\mathbf G,(V^*)^{[1]}). +\] +This class restricts to zero on $\mathbf G^\sigma$, because $Q$ is a +refinement there. This description is also +\cite[Proposition~3.6 and Corollary~3.9]{GaribaldiNakano2016}. + +Let $\mathbf G_1$ be the first Frobenius kernel. Its action on +$(V^*)^{[1]}$ is trivial. The inflation--restriction sequence therefore +begins +\[ + 0\longrightarrow H^1(\mathbf G/\mathbf G_1,(V^*)^{[1]}) + \longrightarrow H^1(\mathbf G,(V^*)^{[1]}) + \longrightarrow + \bigl(H^1(\mathbf G_1,k)\otimes(V^*)^{[1]}\bigr) + ^{\mathbf G/\mathbf G_1}. +\] +The required first-kernel calculation is +\[ + H^1(\mathbf G_1,k)^{[-1]}\cong + \begin{cases} + N,&\mathbf G\cong\operatorname{Sp}_{2n},\ n\geq1, + \quad N\text{ its natural module},\\ + 0,&\text{otherwise}. + \end{cases} +\] +It is reproduced in the proof of +\cite[Proposition~7.1, p.~411]{GaribaldiNakano2016}, citing +\cite[Theorem~3.1(C)(a),(f)]{BNP2004}. Here the symplectic case includes +$A_1=C_1$ and $B_2=C_2$. The exceptional module is $L(\omega_1)$ in +$C_n$ numbering, including $n=1$, and $L(\omega_2)$ in $B_2$ +numbering. It is simple and self-dual. After untwisting, the last invariant space +is therefore zero under our hypothesis. Inflation, followed by +untwisting the quotient by $\mathbf G_1$, gives an isomorphism +\[ + H^1(\mathbf G,V^*)\xrightarrow{\ \sim\ } + H^1(\mathbf G,(V^*)^{[1]}). +\] + +Write $c_B=F^*c$, where $F$ is ordinary Frobenius. Put +$\Gamma=\mathbf G^\sigma$ and $M=V^*$. Since $F$ commutes with +$\sigma$, its restriction $F_\Gamma$ is an automorphism of $\Gamma$. +Naturality gives the commutative square +\[ +\begin{array}{ccc} + H^1(\mathbf G,M)&\xrightarrow{\ F^*\ }&H^1(\mathbf G,M^{[1]})\\ + \operatorname{res}_M\downarrow&&\downarrow\operatorname{res}_{M^{[1]}}\\ + H^1(\Gamma,M)&\xrightarrow{\ F_\Gamma^*\ }& + H^1(\Gamma,F_\Gamma^*M). +\end{array} +\] +The lower arrow is an isomorphism, with inverse obtained by pulling +back along $F_\Gamma^{-1}$ with the transported coefficients. +This does not identify $M$ with its Frobenius twist. Hence the +vanishing of $\operatorname{res}(c_B)$ implies that of +$\operatorname{res}(c)$. This and +Lemma~\ref{lift:h1-restriction}, applied to $V^*$, imply $c=0$ and +$c_B=0$. Sequence~\eqref{lift:polarization} supplies a +$\mathbf G$-invariant quadratic refinement $Q_0$ of $B$. + +Finally $Q-Q_0$ has zero polarization, hence is the square of a linear +form $\ell$. Its finite invariance implies that $\ell$ is invariant +under $\mathbf G^\sigma$. Such a linear form is zero on this +nontrivial irreducible module. Therefore $Q_0=Q$. +\end{proof} + +\begin{remark}\label{lift:natural-exception} +The exclusion of the natural symplectic module, including the +$A_1=C_1$ and $B_2=C_2$ conventions just stated, is required in the +inflation argument. The geometric natural modules and the special +isogenies in characteristic two are constructed as classical algebraic +maps below; Proposition~\ref{lift:quadratic} is used for the remaining +defining-characteristic nonlinear steps. Suzuki and Ree endomorphisms +have bounded rank and do not occur here. +\end{remark} + +\subsection{The retained edge maps} + +\begin{lemma}[A nonsingular-line stabilizer]\label{lift:nonsingular-line} +Let $(W,Q)$ be a nonsingular quadratic space of even dimension $2r+2$ +over $\mathbb F_q$, where $r\geq3$ and $q$ is even, and let $v\in W$ satisfy +$Q(v)\neq0$. Write $B$ for the polar form and $\overline W=v^\perp/\langle +v\rangle$. The kernel of +\[ + O(W,Q)_{\langle v\rangle}\longrightarrow + \operatorname{Sp}(\overline W,B) +\] +is the central group generated by the symmetry +\[ + r_v(x)=x+\frac{B(x,v)}{Q(v)}v. +\] +The image is the full symplectic group. The symmetry has nonzero +Dickson invariant, and restriction gives +\[ + \Omega(W,Q)_{\langle v\rangle} + \cong\operatorname{Sp}_{2r}(q). +\] +In particular this stabilizer has no nontrivial finite unipotent +kernel on $\overline W$. Over an algebraic closure, the vector +stabilizer $\operatorname{SO}(W,Q)_v$ is a smooth connected adjoint +group of type $B_r$. The ambient module $W$ restricted to this group has composition factors +$k,N_{B_r},k$ along the flag +$\langle v\rangle0$, and representations are rational. +We pass to simply connected covers when defining highest weights. For a +classical simple group $J$, write $N_J$ for its natural simple module and +$n(J)=\dim N_J$. In characteristic two, for $J$ of type $B_r$, this means the +$2r$-dimensional simple quotient of the orthogonal natural module of dimension +$2r+1$. Thus the finite $B_r$ and $C_r$ conventions agree. Write +$\ell_H(M)$ for the composition length of an $H$-module $M$. + +We call a nontrivial simple module \emph{of natural type} if it is a Frobenius +twist of a natural simple module or its dual, allowing the central, diagram, +and characteristic-two $B/C$ isogenies in the chosen realization. At ranks +at least nine, its highest weight on a fixed simply connected source is +$p^a\omega_1$, or $p^a\omega_r$ for the dual in type $A_r$, for some $a\geq0$. +The exclusions of natural type below therefore include the natural module, +its dual, and the simple natural quotient in the characteristic-two odd +orthogonal realization. + +We record explicitly the image convention in the irreducible-triple Theorem. +If $\varphi:Y\longrightarrow\operatorname{SL}(V)$ is its representation, the +table records $(\varphi(Y),\varphi(H),V)$. These images have the same ranks as +the original groups. The possible $B/C$ change in characteristic two must +be made using this fixed representation; see +\cite[Lemma~2.1 and Remark~4.2(b)]{BurnessTesterman2018}. +Let $\sigma:B_r\longrightarrow C_r$ and $\tau:C_r\longrightarrow B_r$ be the +special isogenies. With Bourbaki numbering, their pullbacks on fundamental +weights are +\begin{align} + \sigma^*(\omega_i^C)&=\omega_i^B &&(ir$. +Suppose $N_X|_H$ is irreducible. If $V$ is a nontrivial irreducible, +$p$-restricted, tensor-indecomposable $Y$-module, not of natural type, and +$V|_H$ is irreducible, then +\[ + \operatorname{rk}(Y)\in\mathcal R(r). +\] +The same conclusion holds when $X=Y$ and $N_Y|_H$ is irreducible. +\end{lemma} + +\begin{proof} +Use the same representation +$\varphi:Y\longrightarrow\operatorname{SL}(V)$ throughout the proof. +For $(Y,H,V)$, every row of Table~\ref{irr:high-rank-table} outside +$\mathrm S_6$ and $\mathrm {MR}_5$ gives the conclusion. Suppose one of +these two rows occurs. Then $p=2$, the image of $H$ is $B_r$, the image of +$Y$ is $D_m$ or $B_m$, and $V$ is a half-spin or spin module, respectively. +Let $W$ be the orthogonal natural module of this fixed ambient image, on +a cover when necessary. Every nontrivial composition factor of $W|_H$ +has dimension $2r$. + +Since $Hr$. +The argument works for nonsplit natural restrictions as well as for direct +sums. + +There is no extra case from $\mathrm {MR}_4$: its ambient \emph{image} is +$C_m$, whereas the image of the fixed representation here is $B_m$ or $D_m$. +One cannot change that image between the two applications. +Equations~\eqref{irr:bc-weights}--\eqref{irr:bc-natural} preserve the natural +irreducibility hypothesis on passing to these image groups, including an +inseparable isogeny. They do not replace the fixed spin representation $V$ +by a natural representation. + +Finally, if $X=Y$, the irreducibility of $N_Y|_H$ directly excludes +$\mathrm S_6$ and $\mathrm {MR}_5$, since their natural restrictions have at +least two nontrivial composition factors. +\end{proof} + +\subsection{From bounded length to natural irreducibility} + +We now use the finite components and algebraic lifts supplied by +Proposition~\ref{lift:edge-lifts} and Lemma~\ref{lift:path-lifts}. +Fix the last endpoint of a finite retained chain and one of its socle +coordinates. Proposition~\ref{lift:edge-lifts} realizes the earlier endpoint +components in this coordinate as nested quasisimple subgroups: the terminal +derived groups of the nested inner projections nest. If $P_i\le P_j$ are +two such projections and $Q_j\le R_j\le P_j$ are the core and active +preimages of Lemma~\ref{cls:core-gaps}, their original pair comparison is +$(P_i\cap R_j)/Q_j$. The two-step component argument in +Proposition~\ref{lift:edge-lifts} identifies its terminal derived subgroup +with the conjugation image of the lower component on the higher one; +the kernel is central. Thus this common finite realization carries the +pair restrictions bounded in Theorem~\ref{pkt:bounded-length}. + +Write $L_i$ for the finite component at a chain endpoint, +$\mathbf G_i$ for its simply connected algebraic source, and $N_i$ for +its natural simple module over $k$. +In the notation $N_j|_{L_i}$, take the natural representation on the +standard finite cover $U_j$ and pull it back along the finite map +$U_i\to U_j$ from \eqref{lift:finite-diagram}, or a composite of those maps. +Two such finite lifts inducing the same map to $L_j$ differ by a +homomorphism from the perfect group $U_i$ to the central kernel of +$\pi_j$, and hence are equal. The finite pair maps therefore agree with +their composites, so these restrictions compose. +Algebraic restrictions are taken along one chosen +composed path at a time. We make no identification of independently chosen +shortcut lifts. + +\begin{lemma}[Stabilized composition factors] +\label{irr:constituent-count} +Suppose that, for every $i0$, $C\geq1$, +and $B\geq1$ such that the natural endpoint dimensions satisfy +\begin{equation} + n_j\geq c_0 n_i^2\qquad(iE$. +Along $d$ consecutive comparisons of a retained chain, +\eqref{irr:quadratic-growth} gives +\[ + n_d\geq c_0^{\,2^d-1}n_0^{2^d}, +\] +whereas the shortcut from its first to its last endpoint gives +$n_d\leq A n_0^E$. +These inequalities contradict each other as the minimum rank, and hence +$n_0$, tends to infinity. This proves the bounded-natural-factor case +without imposing a bound on the number of Steinberg digits of an arbitrary +composite endpoint representation. + +Now consider a red homogeneous configuration. Fix an early endpoint $H$ +of rank $r\geq9$. Choose eight later pair comparisons with disjoint ordered +index intervals, leaving a gap between successive intervals. +For each such comparison, let $X$ be its lower endpoint, and choose the +last edge in its shortcut that has a restricted factor not of natural +type. Let $Y$ be the algebraic source of that edge and $Z$ its target. +Every edge after it has a natural tail in the sense of +Lemma~\ref{irr:natural-tail}: it is either geometric or a one-digit edge +with only natural restricted terminal factors. +The upper endpoint natural module is irreducible on the finite component +of $H$. Applying that lemma backwards along the tail shows that $N_Z$ +is irreducible on the same component. + +Remove the common Frobenius twist of the $Y$-representation on $N_Z$, +and choose a nontrivial restricted tensor-indecomposable factor $V$ not +of natural type. Irreducibility of the whole restriction implies +irreducibility of the corresponding twisted factor on the finite $H$. +Compose the actual algebraic maps along the path from $H$ through $X$ +to $Y$, and apply the removed Frobenius morphism to both lower images. +Then $V$ is irreducible on the resulting connected simple image of $H$. +Its rank is $r$, and the resulting image of $X$ has its original rank +$s>r$. Its natural simple module remains irreducible on the image of +$H$, by the endpoint conclusion and \eqref{irr:bc-natural}. +Finite irreducibility implies each of these rational irreducibility +statements, since a rational invariant subspace would also be invariant +under the actual finite image. + +If the algebraic image of $X$ is proper in $Y$, apply +Lemma~\ref{irr:intervening}. If that image is all of $Y$, the map from +$X$ to $Y$ is an isogeny. This can occur even when the finite groups are +strictly nested, for example on a subfield edge. The pullback of $N_Y$ +is a natural simple module or its dual, up to Frobenius twist and the +isogenies in \eqref{irr:bc-natural}, by the root-datum classification +of isogenies +\cite[Definition~6.1.8, Example~6.1.9 and Theorem~6.1.16(1)]{Conrad2014}. +Indeed, for compatible simple roots an isogeny has a root bijection +$\delta$ and powers $q_i$ of the characteristic. Write the Cartan +matrices in the row-coroot convention +$A^X_{ij}=\langle\alpha_j,\alpha_i^\vee\rangle$ and +$A^Y_{ab}=\langle\beta_b,\beta_a^\vee\rangle$. +The compatibility equation is +$q_j A^X_{ij}=q_i A^Y_{\delta(i)\delta(j)}$. +Pairing the pullback of the natural fundamental weight with the source +simple coroots gives $q_i$ at the node mapped to the natural node and +zero elsewhere. In the retained ranks this node is the natural node, +or its type-$A$ dual; the only change of root lengths is the +characteristic-two $B/C$ case in \eqref{irr:bc-natural}. +Since $N_X$ is irreducible on the +lower $H$, it follows that $N_Y$ is irreducible on the corresponding +image of $H$. The $X=Y$ case of Lemma~\ref{irr:intervening} therefore +applies. Thus every one of the eight chosen source ranks belongs to +$\mathcal R(r)$. +They are nevertheless distinct. Along an algebraic edge the rank cannot +decrease, because a maximal torus maps with finite kernel into a torus +of the image. Hence each chosen source rank lies between the ranks of +the two endpoints of its comparison. The gaps between the ordered +comparison intervals, and strict increase of endpoint ranks, make these +eight intervals disjoint in rank. +This contradicts $|\mathcal R(r)|\leq7$. + +Both homogeneous alternatives are impossible. All Ramsey bounds and +all path lengths used here depend only on the absolute constants in the +preceding lemmas. In particular only fixed finite paths are needed +before taking the large-rank limit. The assumed unbounded family of +tested chains cannot exist, proving the asserted absolute chain bound +and completing Theorem~\ref{cls:chain-rigidity}. +\end{proof} diff --git a/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/paper.pdf b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/paper.pdf new file mode 100644 index 0000000000000000000000000000000000000000..2f540c3ca2261b0f60067fdc398964241097ca03 --- /dev/null +++ b/preprints/A-Negative-Solution-to-the-Finite-Lattice-Representation-Problem-September-24-2026/paper.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:a102efd4a3009423f0e36d9e73a239a57f6507cb57d3e9e3fe6d8a22208af876 +size 850383 diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/README.md b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..1a6f7f622da50041da34a8680b8c7ec2e067111f --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/README.md @@ -0,0 +1,18 @@ +# [A nonspectrahedral hyperbolicity cone](nonspectrahedral-hyperbolicity-cone.pdf) + +**Author:** OpenAI + +**Date:** September 24, 2026 + +## Citation + +```bibtex +@misc{OAI:A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026, + author = {{OpenAI}}, + title = {{A nonspectrahedral hyperbolicity cone}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/nonspectrahedral-hyperbolicity-cone.pdf}{OAI:A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/figures/tangent-variation.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/figures/tangent-variation.tex new file mode 100644 index 0000000000000000000000000000000000000000..3673cfacd89bfb2b484cdfdbe24d8fef83645c4c --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/figures/tangent-variation.tex @@ -0,0 +1,48 @@ +\begin{figure}[htbp] +\centering +\begin{tikzpicture}[x=1cm,y=1cm,font=\small] + \definecolor{tangentblue}{RGB}{35,92,135} + + \node[anchor=west,font=\footnotesize] at (0,3.02) + {Local sphere section}; + \coordinate (O) at (1.65,1.45); + \coordinate (V) at (2.75,1.45); + \coordinate (Us) at (2.6469,1.9149); % + \draw[black!28,line width=0.6pt] (O) circle[radius=1.1]; + + \draw[tangentblue,line width=1.6pt] + (2.6962,1.1101) arc[start angle=-18,end angle=48,radius=1.1]; + \draw[black!40,line width=0.5pt] (O) -- (V); + \draw[black!40,line width=0.5pt] (O) -- (Us); + \fill[black!55] (O) circle[radius=0.025]; + \node[anchor=north,font=\scriptsize] at (1.65,1.36) {$0$}; + + \draw[->,line width=0.8pt] (V) -- (2.75,2.65); + \node[anchor=west,font=\footnotesize] at (2.86,2.49) {$h\perp v$}; + \fill (V) circle[radius=0.035]; + \node[anchor=north west] at (2.83,1.42) {$v$}; + \fill[tangentblue] (Us) circle[radius=0.037]; + \node[anchor=south east,text=tangentblue] at (2.54,1.96) {$u_s$}; + \node[anchor=north,font=\scriptsize] at (1.65,0.22) + {$S^3\cap\operatorname{span}\{v,h\}$}; + + \node[anchor=west,font=\footnotesize] at (4.65,3.02) + {Only $R$ is differentiated}; + \node[anchor=west] at (4.65,2.49) + {$\mathcal U\subset\Omega,\qquad \operatorname{rank}A(u)=\rho\quad(u\in\mathcal U).$}; + \node[anchor=west] at (4.65,1.79) + {$\displaystyle u_s=\frac{v+sh}{\sqrt{1+s^2\|h\|^2}}, + \qquad u_{s=0}=v,\quad \left.\frac{du_s}{ds}\right|_{s=0}=h.$}; + \node[anchor=west] at (4.65,1.02) + {$P(v)\text{ stays fixed.}$}; + \node[anchor=west,text=tangentblue] at (4.65,0.43) + {$R(u_s)=R(v)+s\,dR_v(h)+o(s)\qquad(s\to0).$}; +\end{tikzpicture} +\caption{A schematic local tangent step, for a fixed nonzero $h\in v^\perp$. +The highlighted arc lies in a chosen constant-rank neighborhood $\mathcal U$; +the expansion of $R$ is used only for small $s$ with $u_s\in\mathcal U$. +The pictured section belongs to the parameter sphere, whereas $P(v)$ +and $R(u_s)$ act on the separate block spaces $\mathbb R^a$ and +$\mathbb R^c$.} +\label{fig:local-tangent} +\end{figure} diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/main.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/main.tex new file mode 100644 index 0000000000000000000000000000000000000000..a39ddb8ae33077758448ad58d165ff7938feb7bf --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/main.tex @@ -0,0 +1,52 @@ +\documentclass[11pt]{article} +\usepackage[T1]{fontenc} +\usepackage{lmodern} +\usepackage[margin=1.05in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{microtype} +\usepackage{xcolor} +\usepackage{tikz} +\usepackage[colorlinks=true,linkcolor=blue!45!black,citecolor=blue!45!black,urlcolor=blue!45!black]{hyperref} +\usepackage{bookmark} +\usepackage[numbers,sort&compress]{natbib} +\pdftrailerid{} +\hypersetup{pdftitle={A nonspectrahedral hyperbolicity cone},pdfauthor={OpenAI}} +\newcommand{\R}{\mathbb R} +\newcommand{\Sym}{\mathbb S} +\newcommand{\norm}[1]{\left\lVert#1\right\rVert} +\newcommand{\op}{\mathrm{op}} +\DeclareMathOperator{\adj}{adj} +\DeclareMathOperator{\tr}{tr} +\DeclareMathOperator{\proj}{proj} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\numberwithin{equation}{section} +\setlength{\emergencystretch}{1.5em} +\title{A nonspectrahedral hyperbolicity cone} +\author{OpenAI} +\date{September 24, 2026} +\begin{document} +\maketitle +\begin{abstract} +We construct a homogeneous polynomial of degree $16$ in $23$ real variables +whose hyperbolicity cone has no representation by a finite homogeneous +real symmetric linear matrix inequality. This disproves the geometric Generalized Lax +conjecture. +\end{abstract} +\tableofcontents +\input{sections/01-introduction} +\input{sections/02-form} +\input{sections/03-hyperbolic} +\input{sections/04-pencil} +\input{sections/05-norm} +\input{sections/06-tangent} +\input{sections/reduced-polynomial} +\appendix +\input{sections/07-comparison} +\bibliographystyle{plainnat} +\bibliography{references} +\end{document} diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/references.bib b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/references.bib new file mode 100644 index 0000000000000000000000000000000000000000..e933b3a37ee7f96f9a2c4cf681a2d7f3b08e8ebe --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/references.bib @@ -0,0 +1,213 @@ +@article{lax-1958, + author = {Lax, Peter D.}, + title = {Differential equations, difference equations and matrix theory}, + journal = {Communications on Pure and Applied Mathematics}, + volume = {11}, + number = {2}, + pages = {175--194}, + year = {1958}, + doi = {10.1002/cpa.3160110203} +} + +@article{helton-vinnikov-2007, + author = {Helton, J. William and Vinnikov, Victor}, + title = {Linear matrix inequality representation of sets}, + journal = {Communications on Pure and Applied Mathematics}, + volume = {60}, + number = {5}, + pages = {654--674}, + year = {2007}, + doi = {10.1002/cpa.20155}, + eprint = {math/0306180}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/math/0306180} +} + +@article{lewis-parrilo-ramana-2005, + author = {Lewis, Adrian S. and Parrilo, Pablo A. and Ramana, Motakuri V.}, + title = {The {Lax} conjecture is true}, + journal = {Proceedings of the American Mathematical Society}, + volume = {133}, + number = {9}, + pages = {2495--2499}, + year = {2005}, + doi = {10.1090/S0002-9939-05-07752-X}, + eprint = {math/0304104}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/math/0304104} +} + +@article{branden-2011, + author = {Br{\"a}nd{\'e}n, Petter}, + title = {Obstructions to determinantal representability}, + journal = {Advances in Mathematics}, + volume = {226}, + number = {2}, + pages = {1202--1212}, + year = {2011}, + doi = {10.1016/j.aim.2010.08.003}, + eprint = {1004.1382}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/1004.1382} +} + +@article{netzer-sanyal-2015, + author = {Netzer, Tim and Sanyal, Raman}, + title = {Smooth hyperbolicity cones are spectrahedral shadows}, + journal = {Mathematical Programming}, + volume = {153}, + pages = {213--221}, + year = {2015}, + doi = {10.1007/s10107-014-0744-6}, + eprint = {1208.0441}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/1208.0441} +} + +@misc{netzer-2026, + author = {Netzer, Tim}, + title = {{Clifford} realizations of hyperbolic cubics}, + year = {2026}, + eprint = {2609.12957}, + archivePrefix = {arXiv}, + primaryClass = {math.AG}, + note = {Version 1, 11 September 2026}, + url = {https://arxiv.org/abs/2609.12957v1} +} + +@article{choi-1975, + author = {Choi, Man-Duen}, + title = {Positive semidefinite biquadratic forms}, + journal = {Linear Algebra and its Applications}, + volume = {12}, + number = {2}, + pages = {95--100}, + year = {1975}, + doi = {10.1016/0024-3795(75)90058-0} +} + +@article{choi-lam-1977, + author = {Choi, Man-Duen and Lam, Tsit-Yuen}, + title = {Extremal positive semidefinite forms}, + journal = {Mathematische Annalen}, + volume = {231}, + number = {1}, + pages = {1--18}, + year = {1977}, + doi = {10.1007/BF01360024} +} + +@article{ha-2013, + author = {Ha, Kil-Chan}, + title = {Notes on extremality of the {Choi} map}, + journal = {Linear Algebra and its Applications}, + volume = {439}, + number = {10}, + pages = {3156--3165}, + year = {2013}, + doi = {10.1016/j.laa.2013.09.011}, + eprint = {1306.0945}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/1306.0945v1} +} + +@article{dey-gardoll-theobald-2021, + author = {Dey, Papri and Gardoll, Stephan and Theobald, Thorsten}, + title = {Conic stability of polynomials and positive maps}, + journal = {Journal of Pure and Applied Algebra}, + volume = {225}, + number = {7}, + pages = {106610}, + year = {2021}, + doi = {10.1016/j.jpaa.2020.106610}, + eprint = {1908.11124}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/1908.11124v2} +} + +@misc{gonzalez-nevado-2026, + author = {Gonz{\'a}lez Nevado, Alejandro}, + title = {The generalized {Lax} conjecture is true for topological reasons related to compactness, convexity and determinantal deformations of increasing products of pointwise approximating linear forms}, + year = {2026}, + eprint = {2601.12267}, + archivePrefix = {arXiv}, + note = {Version 1, 18 January 2026}, + url = {https://arxiv.org/abs/2601.12267v1} +} + +@inproceedings{raghavendra-ryder-srivastava-2018, + author = {Raghavendra, Prasad and Ryder, Nick and Srivastava, Nikhil and Weitz, Benjamin}, + title = {Exponential lower bounds on spectrahedral representations of hyperbolicity cones}, + booktitle = {Proceedings of the Thirtieth Annual {ACM--SIAM} Symposium on Discrete Algorithms}, + editor = {Chan, Timothy M.}, + publisher = {Society for Industrial and Applied Mathematics}, + pages = {2322--2332}, + year = {2019}, + doi = {10.1137/1.9781611975482.141}, + eprint = {1711.11497}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/1711.11497v2} +} + +@article{garding-1959, + author = {G{\aa}rding, Lars}, + title = {An inequality for hyperbolic polynomials}, + journal = {Journal of Mathematics and Mechanics}, + volume = {8}, + number = {6}, + pages = {957--965}, + year = {1959}, + doi = {10.1512/iumj.1959.8.58061}, + url = {https://doi.org/10.1512/iumj.1959.8.58061} +} + +@article{kummer-2016-vamos, + author = {Kummer, Mario}, + title = {A note on the hyperbolicity cone of the specialized {V{\'a}mos} polynomial}, + journal = {Acta Applicandae Mathematicae}, + volume = {144}, + number = {1}, + pages = {11--15}, + year = {2016}, + doi = {10.1007/s10440-015-0036-z}, + eprint = {1306.4483}, + archivePrefix = {arXiv}, + url = {https://arxiv.org/abs/1306.4483} +} + +@misc{kummer-netzer-2026-strict, + author = {Kummer, Mario and Netzer, Tim}, + title = {The Generalized {Lax} Conjecture for Strictly Hyperbolic Polynomials}, + year = {2026}, + eprint = {2609.24542}, + archivePrefix = {arXiv}, + primaryClass = {math.AG}, + doi = {10.48550/arXiv.2609.24542}, + note = {Version 1, 21 September 2026}, + url = {https://arxiv.org/abs/2609.24542v1} +} + +@misc{blekherman-raita-shankar-sinn-2022, + author = {Blekherman, Grigoriy and Rai{\c{t}}{\u{a}}, Bogdan and Shankar, Isabelle and Sinn, Rainer}, + title = {Weak and Strong Extremal Biquadratics}, + year = {2022}, + eprint = {2204.10625}, + archivePrefix = {arXiv}, + primaryClass = {math.AG}, + note = {Version 1}, + url = {https://arxiv.org/abs/2204.10625v1}, +} + +@article{scheiderer-2018, + author = {Scheiderer, Claus}, + title = {Spectrahedral Shadows}, + journal = {SIAM Journal on Applied Algebra and Geometry}, + volume = {2}, + number = {1}, + pages = {26--44}, + year = {2018}, + doi = {10.1137/17M1118981}, + url = {https://epubs.siam.org/doi/pdf/10.1137/17M1118981}, + eprint = {1612.07048}, + archivePrefix = {arXiv}, +} diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/01-history.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/01-history.tex new file mode 100644 index 0000000000000000000000000000000000000000..e5e7f60b13af814064a1c12ec9b9bbe2ee8d1f1e --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/01-history.tex @@ -0,0 +1,67 @@ +G\aa rding's theory establishes the convexity of hyperbolicity +cones~\cite{garding-1959}. The original Lax conjecture asks for a +definite determinantal representation of homogeneous hyperbolic polynomials in three +variables~\cite{lax-1958}. Helton and Vinnikov proved the corresponding +definite determinantal representation theorem~\cite{helton-vinnikov-2007}; +Lewis, Parrilo, and Ramana established its equivalence with Lax's +formulation~\cite{lewis-parrilo-ramana-2005}. In higher dimension, Br\"and\'en +constructed a real-zero polynomial none of whose positive powers admits +a definite determinantal representation~\cite[Theorem~3.3]{branden-2011}. +That obstruction does not exclude a different determinant, with additional +factors, from defining the same cone. The geometric conjecture concerns this remaining +possibility. Kummer exhibited the distinction concretely: the cone of +the specialized V\'amos polynomial has a $7\times7$ representation, +although no positive power of that polynomial has a definite +determinantal representation~\cite[Section~3]{kummer-2016-vamos}. +Raghavendra, Ryder, Srivastava, and Weitz proved exponential +lower bounds on the matrix size of spectrahedral representations for +suitable hyperbolicity cones~\cite{raghavendra-ryder-srivastava-2018}. +Recent positive results include Netzer's theorem for +hyperbolic cubics in five variables~\cite[Theorem~3.9]{netzer-2026}. + +Kummer and Netzer prove spectrahedrality for cones of strictly +hyperbolic polynomials~\cite[Theorem~1]{kummer-netzer-2026-strict}. +Here \emph{strictly hyperbolic} means that $p(te-x)$ has distinct roots +whenever $x\notin\R e$. The polynomial~\eqref{eq:polynomial} fails this +hypothesis: at $w=(I_4,0,0)\notin\R e$ it gives +\[ + p(te-w)=(t-1)^{16}t^4. +\] +For the reduced polynomial of Corollary~\ref{cor:reduced}, the same line +gives $q(te-w)=(t-1)^{12}t^4$. Thus neither defining polynomial satisfies +the strict-case hypothesis. + +A \emph{spectrahedral shadow} is a linear image of a set defined by an +affine real symmetric linear matrix inequality. +Netzer and Sanyal proved that a hyperbolicity cone is a spectrahedral +shadow when every nonzero boundary point is a smooth point of the +defining polynomial~\cite[Theorem~1.1]{netzer-sanyal-2015}. +Our result concerns a direct representation in the original variables; +it makes no assertion about representations using auxiliary variables. + +The scalar ingredient is the coefficient-one Choi--Lam biquadratic +form~\cite[Section~4]{choi-lam-1977}, which reduces the coefficient of +the extra cyclic squared monomials from two in Choi's earlier +nonnegative form~\cite{choi-1975} to one. Its inability to dominate a nonzero +bilinear square follows from the extremality proved in +\cite[Theorem~4.4]{choi-lam-1977}; we give a short proof of precisely this +property. It is called \emph{weak extremality} by Blekherman, Rai\c{t}\u{a}, +Shankar, and Sinn~\cite[Definition~2.7]{blekherman-raita-shankar-sinn-2022}, +whose characterization uses Taylor expansions of dominated squares at +zeros~\cite[Theorem~3.2]{blekherman-raita-shankar-sinn-2022}. +The correspondence between nonnegative biquadratic forms and +positive maps on real symmetric matrices is classical; see +\cite[Section~3]{ha-2013}. Positive maps have also been used to obtain +certificates of conic polynomial stability~\cite{dey-gardoll-theobald-2021}. +Here the construction turns the scalar obstruction into an obstruction +to every finite pencil describing one hyperbolicity cone. A related +general strategy appears in Scheiderer's local sums-of-squares +obstructions to spectrahedral shadows~\cite[Section~4]{scheiderer-2018}. +Our proof extracts bilinear square minorants from a differentiated +operator-norm identity; it does not invoke a criterion for shadows. + +Gonz\'alez Nevado states a positive solution of the geometric conjecture +in~\cite[Theorem~53, pp.~16--17]{gonzalez-nevado-2026}. +Appendix~\ref{app:opposition} records a counterexample to the +path-containment assertion used in that argument. The construction +and proof in the present paper are independent of that comparison. diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/01-introduction.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/01-introduction.tex new file mode 100644 index 0000000000000000000000000000000000000000..00003a8b2d24509cbe495182969f4ff9545c4d14 --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/01-introduction.tex @@ -0,0 +1,129 @@ +\section{Introduction} +\label{sec:introduction} + +A homogeneous polynomial $p\in\R[x_1,\ldots,x_m]$ of degree $d\geq1$ is +\emph{hyperbolic with respect to} $e\in\R^m$ if $p(e)\ne0$ and every root of +$t\mapsto p(te-x)$ is real for every $x\in\R^m$. +Write these roots, with multiplicity, as $\lambda_1(x),\ldots,\lambda_d(x)$. +The closed hyperbolicity cone is +\[ + \Lambda_+(p,e)=\{x\in\R^m:\lambda_j(x)\geq0\text{ for }1\leq j\leq d\}. +\] +We write $\Sym^N$ for the real symmetric $N\times N$ matrices and +$A\succeq0$ (respectively, $A\succ0$) for positive semidefiniteness +(respectively, positive definiteness). +A cone is \emph{spectrahedral} if it has the form +\begin{equation} + K=\{x\in\R^m:L(x)\succeq0\},\qquad + L(x)=\sum_{i=1}^m x_iA_i,\quad A_i\in\Sym^N, + \label{eq:spectrahedral} +\end{equation} +for some finite $N\geq1$. +The geometric Generalized Lax conjecture asserts that every hyperbolicity +cone is spectrahedral. We give a counterexample. + +\subsection{The explicit polynomial} + +All indices in $\{1,2,3\}$ in the following construction are cyclic. +For $z,y\in\R^3$, let +\begin{equation} + b(z,y)=\sum_{i=1}^3 z_i^2y_i^2 + -2\sum_{1\leq i0$. Orthogonal diagonalization of $X$ gives +\[ + \operatorname{Im}(tI_4-X)^{-1} + =-\eta\bigl((aI_4-X)^2+\eta^2I_4\bigr)^{-1}\prec0. +\] +For a complex symmetric matrix, the entrywise imaginary part equals +the Hermitian imaginary part $(A-A^*)/(2i)$ and is real symmetric. +Complex linearity and positivity of $\Phi_{-y}$ consequently show +that +\[ + H=tI_4-Z-\Phi_{-y}\bigl((tI_4-X)^{-1}\bigr) + \quad\text{satisfies}\quad + \operatorname{Im}H\succeq\eta I_4\succ0. +\] +Such an $H$ is invertible: if $Hw=0$ for a nonzero complex vector +$w$, then $0=\operatorname{Im}(w^*Hw)=w^*(\operatorname{Im}H)w>0$. +Also $tI_4-X$ is invertible. Equation~\eqref{eq:inverse-formula} +therefore implies $p(te-(X,Z,y))\ne0$. +The coefficients of this polynomial in $t$ are real, so conjugation +also excludes roots in the lower half-plane. Finally, its leading +coefficient is $p(e)=1$ by homogeneity; it has degree $20$ for every +real input. All its roots are therefore real, as required. +\end{proof} + +\begin{proposition}\label{prop:slices} +Let $K=\Lambda_+(p,e)$. For real symmetric $X,Z$ and $y\in\R^3$, +\begin{align} + X\succ0:\qquad + (X,Z,y)\in K + &\ \Longleftrightarrow\ + Z\succeq\Phi_y(X^{-1}), + \label{eq:slice-positive}\\ + (X,Z,0)\in K + &\ \Longleftrightarrow\ + X\succeq0\ \text{and}\ Z\succeq0. + \label{eq:slice-zero} +\end{align} +Moreover, $e$ lies in the interior of $K$ in the full ambient space. +\end{proposition} + +\begin{proof} +If $\lambda_1(x),\ldots,\lambda_{20}(x)$ are the roots of +$t\mapsto p(te-x)$, homogeneity gives +\[ + p(x+te)=\prod_{j=1}^{20}(t+\lambda_j(x)). +\] +Thus $x\in K$ if and only if $p(x+te)\ne0$ for every real $t>0$. +The strict inequality on $t$ allows zero roots and hence includes +the boundary of $K$. + +Suppose $X\succ0$ and set, for $t\ge0$, +\[ + F(t)=Z+tI_4-\Phi_y\bigl((X+tI_4)^{-1}\bigr). +\] +If $F(0)\succeq0$, order preservation yields +\[ + F(t)=F(0)+tI_4+ + \Phi_y\bigl(X^{-1}-(X+tI_4)^{-1}\bigr) + \succeq tI_4\succ0\qquad(t>0). +\] +Equation~\eqref{eq:inverse-formula} then shows that there is no +positive root, so $(X,Z,y)\in K$. + +Conversely, if $F(0)\not\succeq0$, its least eigenvalue is negative. +For $t>0$, positivity gives +\[ + 0\preceq\Phi_y\bigl((X+tI_4)^{-1}\bigr) + \preceq t^{-1}\Phi_y(I_4). +\] +Consequently $F(t)\succ0$ for all sufficiently large $t$. +Continuity of its least eigenvalue gives a $t>0$ at which $F(t)$ +is singular. Since $X+tI_4\succ0$, +Equation~\eqref{eq:inverse-formula} now gives a positive root of +$p((X,Z,y)+te)$. This proves \eqref{eq:slice-positive} in both +directions, including equality in the matrix inequality. + +When $y=0$, the polynomial definition directly gives +\[ + p(te-(X,Z,0))=\det(tI_4-X)^4\det(tI_4-Z), +\] +also for singular $X$ and $Z$. Its roots are the eigenvalues of $X$, +each repeated four times, and the eigenvalues of $Z$. +They are all nonnegative exactly when both matrices are positive +semidefinite. This proves \eqref{eq:slice-zero}. + +Finally, $X\succ0$ and $Z-\Phi_y(X^{-1})\succ0$ define an open +subset of the full ambient space. It contains $e$ and, by +\eqref{eq:slice-positive}, is contained in $K$. Thus $e$ is an +interior point. +\end{proof} diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/04-pencil.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/04-pencil.tex new file mode 100644 index 0000000000000000000000000000000000000000..e190c9304333baa54cfbb9c6e6616b9edb536d8d --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/04-pencil.tex @@ -0,0 +1,157 @@ +\section{What a semidefinite representation would imply} +\label{sec:pencil} + +The two slices in Proposition~\ref{prop:slices} constrain every pencil +representing $K$. We now turn those constraints into an exact block +matrix inequality whose off-diagonal block is linear in $y$. +A positive linear map preserves positive semidefiniteness; it is +called \emph{unital} if it sends the identity to the identity. + +\begin{proposition}\label{prop:pencil} +Let $K=\Lambda_+(p,(I_4,I_4,0))$ for the polynomial +in~\eqref{eq:polynomial}. Suppose that $K$ admits a representation by a finite homogeneous real +symmetric linear pencil. Then there are integers $a,c\geq1$, positive +linear maps +\[ + D:\Sym^4\longrightarrow\Sym^a, + \qquad E:\Sym^4\longrightarrow\Sym^c, + \qquad D(I_4)=I_a,\quad E(I_4)=I_c, +\] +and a linear map $B:\R^3\longrightarrow\R^{a\times c}$ such that, for +every $X\succ0$, $Z\in\Sym^4$ and $y\in\R^3$, +\begin{equation}\label{eq:schur-equivalence} + Z\succeq\Phi_y(X^{-1}) + \quad\Longleftrightarrow\quad + E(Z)\succeq B(y)^\top D(X)^{-1}B(y). +\end{equation} +\end{proposition} + +\begin{proof} +Write the hypothetical pencil as +\[ + L(X,Z,y)=L_1(X)+L_2(Z)+L_3(y). +\] +We first remove the pencil's common kernel and normalize +two positive blocks. +We then rescale the pencil and prove that its limit represents the +same inequality. + +\emph{Compression and normalization.} +We use the elementary fact that +\[ + A+H\succeq0,\quad A-H\succeq0 + \quad\Longrightarrow\quad \ker A\subseteq\ker H. +\] +Indeed, if $w\in\ker A$, the two nonnegative quadratic forms on $w$ +sum to zero. A positive semidefinite matrix annihilates every vector +on which its quadratic form vanishes, so both $(A+H)w$ and $(A-H)w$ +are zero. + +Since $e$ is interior to $K$, for every ambient vector $x$ there is +an $\varepsilon>0$ with $L(e)\pm\varepsilon L(x)\succeq0$. +The preceding fact shows that $\ker L(e)$ is a common kernel of the +whole pencil. Compressing to its orthogonal complement preserves the +represented cone and makes $L(e)\succ0$. This complement is nonzero: +otherwise the pencil would vanish identically, whereas +$(-I_4,I_4,0)\notin K$ by~\eqref{eq:slice-zero}. + +The same slice shows that $L_1$ and $L_2$ are positive maps. Set +$U=\ker L_1(I_4)$. Positivity at $I_4\pm\varepsilon X$, for small +$\varepsilon>0$, and the same kernel argument show that every +$L_1(X)$ annihilates $U$. Thus, in $U^\perp\oplus U$, +\[ + L_1(X)=\begin{pmatrix}D(X)&0\\0&0\end{pmatrix}. +\] +Both summands are nonzero. If $U^\perp=0$, then $L_1=0$ and the +pencil accepts $(-I_4,I_4,0)$, contradicting~\eqref{eq:slice-zero}. +If $U=0$, then $L_1(I_4)\succ0$, so +$L_1(I_4)-\varepsilon L_2(I_4)\succ0$ for sufficiently small +$\varepsilon>0$. This would accept $(I_4,-\varepsilon I_4,0)$, +again contradicting that slice. + +Let $a=\dim U^\perp$, $c=\dim U$, and let $E(Z)$ be the lower +diagonal block of $L_2(Z)$. Both $D$ and $E$ are positive maps. +Moreover, $D(I_4)\succ0$ by the definition of $U$, and +$E(I_4)\succ0$ because it is the compression of $L(e)\succ0$ to +$U$. Apply the fixed block diagonal congruence +\[ + \operatorname{diag}\bigl(D(I_4)^{-1/2},E(I_4)^{-1/2}\bigr) +\] +and retain the notation for the resulting blocks. We now have +$D(I_4)=I_a$ and $E(I_4)=I_c$. + +\emph{Rescaling the pencil.} +Write the other blocks as +\[ + L_2(Z)=\begin{pmatrix}F(Z)&C(Z)\\C(Z)^\top&E(Z)\end{pmatrix}, + \qquad + L_3(y)=\begin{pmatrix}A(y)&B(y)\\B(y)^\top&G(y)\end{pmatrix}. +\] +Fix $y$ and put $Z_0=\Phi_y(I_4)$. By +\eqref{eq:slice-positive} and $\Phi_{sy}=s^2\Phi_y$, the point +$(I_4,s^2Z_0,sy)$ lies in $K$ for every real $s$. Its lower pencil +block therefore satisfies +\[ + s^2E(Z_0)+sG(y)\succeq0 \qquad(s\in\R). +\] +Dividing by $|s|$ and taking limits through positive and negative +$s$ gives $G(y)\succeq0$ and $-G(y)\succeq0$. Hence $G(y)=0$. + +For fixed $X\succ0$, $Z$ and $y$, and any real $s\ne0$, congruence +of $L(X,s^2Z,sy)$ by $\operatorname{diag}(I_a,s^{-1}I_c)$ gives +\begin{equation}\label{eq:scaled-pencil} + M_s(X,Z,y)= + \begin{pmatrix} + D(X)+sA(y)+s^2F(Z)&B(y)+sC(Z)\\ + B(y)^\top+sC(Z)^\top&E(Z) + \end{pmatrix}. +\end{equation} +Congruence preserves positive semidefiniteness for either sign of +$s$. The exact slice~\eqref{eq:slice-positive} gives +\begin{equation}\label{eq:scaled-test} + M_s(X,Z,y)\succeq0 + \quad\Longleftrightarrow\quad Z\succeq\Phi_y(X^{-1}), + \qquad s\ne0. +\end{equation} +As $s\to0$, these matrices converge to +\[ + M(X,Z,y)= + \begin{pmatrix}D(X)&B(y)\\B(y)^\top&E(Z)\end{pmatrix}. +\] +It follows immediately that $Z\succeq\Phi_y(X^{-1})$ implies +$M(X,Z,y)\succeq0$. + +\emph{Recovering the inequality from the limit.} +For the converse, suppose that $M(X,Z,y)\succeq0$. Positivity and +unitality give +\[ + D(X)\succeq\lambda_{\min}(X)I_a\succ0. +\] +For every $\delta>0$, +\[ + M(X,Z+\delta I_4,y) + =M(X,Z,y)+\operatorname{diag}(0,\delta I_c) + \succ0. +\] +To see strict positivity, a vector with nonzero lower component has +strictly positive contribution from the added term. A nonzero +vector with lower component zero has strictly positive quadratic +form under $D(X)$. + +Consequently, for each fixed $\delta>0$, the matrices +$M_s(X,Z+\delta I_4,y)$ are positive definite for sufficiently small +nonzero $s$. Equation~\eqref{eq:scaled-test} yields +$Z+\delta I_4\succeq\Phi_y(X^{-1})$. Letting $\delta\downarrow0$ +proves the converse. We have therefore shown +\[ + Z\succeq\Phi_y(X^{-1}) + \quad\Longleftrightarrow\quad M(X,Z,y)\succeq0. +\] +Taking the Schur complement of the positive definite block $D(X)$ +gives~\eqref{eq:schur-equivalence}. +\end{proof} + +The maps and their finite dimensions are now fixed by the +hypothetical pencil. We next recover the scalar form $b$ from +\eqref{eq:schur-equivalence}; this will force a nonzero bilinear square +dominated by $b$ and contradict its defining obstruction. diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/05-norm.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/05-norm.tex new file mode 100644 index 0000000000000000000000000000000000000000..571698a7d88268c53c9a4cf3faf23a8fa8e9ed34 --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/05-norm.tex @@ -0,0 +1,122 @@ +\section{Rank-one limits and a norm identity} +\label{sec:norm} + +Let $D,E,B$ be the maps supplied by Proposition~\ref{prop:pencil}. +Thus $D$ and $E$ are positive maps with output sizes $a,c\geq1$ and +are \emph{unital}, meaning $D(I_4)=I_a$ and $E(I_4)=I_c$, +and $B(y)$ is an $a\times c$ matrix. +For unit vectors $u,v\in\R^4$, define the orthogonal projections +\begin{equation} + P(v)=\operatorname{proj}_{\ker D(I-vv^\top)}, + \qquad + R(u)=\operatorname{proj}_{\ker E(I-uu^\top)}. + \label{eq:projections} +\end{equation} +These act on $\R^a$ and $\R^c$, respectively. +The next proposition recovers the scalar form~\eqref{eq:form} from the +Schur threshold~\eqref{eq:schur-equivalence}. + +\begin{proposition} +\label{prop:norm} +Let $a,c\geq1$, let $D:\Sym^4\to\Sym^a$ and +$E:\Sym^4\to\Sym^c$ be positive unital linear maps, and let +$B:\R^3\to\R^{a\times c}$ be linear. Assume that +\eqref{eq:schur-equivalence} holds for every $X\succ0$, +$Z\in\Sym^4$ and $y\in\R^3$, with $\Phi_y$ defined +by~\eqref{eq:phi}. Define $P(v)$ and $R(u)$ by~\eqref{eq:projections}. +For every pair of unit vectors $u=(u_0,u'),v=(v_0,v')\in\R^4$ +and every $y\in\R^3$, +\begin{equation} + b(v_0u'-u_0v',y) + =\norm{P(v)B(y)R(u)}_{\op}^{2}. + \label{eq:norm-identity} +\end{equation} +Here the operator norm uses the Euclidean structures on the two block spaces. +\end{proposition} + +\begin{proof} +Fix $u,v,y$. For $t\geq1$, set +\[ + X_t=vv^\top+t(I-vv^\top), + \qquad + Z_t=uu^\top+t(I-uu^\top). +\] +Both matrices are at least $I$. Positivity and unitality therefore give +$D(X_t)\succeq I$ and $E(Z_t)\succeq I$, so all inverse square roots below +exist. Put +\[ + A_t=Z_t^{-1/2}\Phi_y(X_t^{-1})Z_t^{-1/2}, + \qquad + C_t=D(X_t)^{-1/2}B(y)E(Z_t)^{-1/2}. +\] +The matrix $A_t$ is positive semidefinite. For every real $r$, congruence +by $Z_t^{-1/2}$ gives +\[ + rZ_t\succeq\Phi_y(X_t^{-1}) + \quad\Longleftrightarrow\quad + r\geq\lambda_{\max}(A_t). +\] +Likewise, linearity of $E$ and congruence by $E(Z_t)^{-1/2}$ give +\[ + \begin{split} + E(rZ_t)\succeq B(y)^\top D(X_t)^{-1}B(y) + &\quad\Longleftrightarrow\quad rI\succeq C_t^\top C_t\\ + &\quad\Longleftrightarrow\quad r\geq\norm{C_t}_{\op}^{2}. + \end{split} +\] +Equation~\eqref{eq:schur-equivalence} identifies these two closed rays in +$r\in\R$, including their endpoints. Consequently, +\begin{equation} + \lambda_{\max}(A_t)=\norm{C_t}_{\op}^{2}. + \label{eq:threshold-norm} +\end{equation} +This applies to rectangular $C_t$ and includes a zero threshold. + +The explicit formulas +\[ + X_t^{-1}=vv^\top+t^{-1}(I-vv^\top), + \qquad + Z_t^{-1/2}=uu^\top+t^{-1/2}(I-uu^\top) +\] +show that +\[ + A_t\longrightarrow + uu^\top\Phi_y(vv^\top)uu^\top + =\alpha uu^\top, + \qquad + \alpha=u^\top\Phi_y(vv^\top)u\geq0. +\] +The sign follows from positivity of $\Phi_y$. Thus the largest eigenvalue +of this limit is $\alpha$, also when $\alpha=0$. Continuity of the largest +eigenvalue gives $\lambda_{\max}(A_t)\to\alpha$. + +For the other side, unitality gives +\[ + D(X_t)=I+(t-1)D(I-vv^\top). +\] +If $H\succeq0$ is a fixed finite-dimensional matrix, diagonalizing $H$ +shows that +\begin{equation} + [I+(t-1)H]^{-1/2} + \longrightarrow\operatorname{proj}_{\ker H} + \quad\text{in operator norm}. + \label{eq:kernel-limit} +\end{equation} +Indeed, the factor on an eigenvector of eigenvalue $\mu\geq0$ is +$(1+(t-1)\mu)^{-1/2}$, which is one when $\mu=0$ and tends to zero +otherwise. Applying~\eqref{eq:kernel-limit} to $D(I-vv^\top)$ and +$E(I-uu^\top)$ yields +\[ + D(X_t)^{-1/2}\longrightarrow P(v), + \qquad + E(Z_t)^{-1/2}\longrightarrow R(u). +\] +Hence $C_t\to P(v)B(y)R(u)$ in operator norm. The dimensions $a,c$ are +fixed throughout; the limits include zero and identity kernel projections. +Taking limits in~\eqref{eq:threshold-norm} and using the rank-one +identity~\eqref{eq:rank-one} proves~\eqref{eq:norm-identity}. +\end{proof} + +At $u=v$, the left side of~\eqref{eq:norm-identity} vanishes, so +$P(v)B(y)R(v)=0$ for every $y$. +We next study the identity as $u$ varies near $v$. diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/06-tangent.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/06-tangent.tex new file mode 100644 index 0000000000000000000000000000000000000000..a54eba6316a946afad1fc1588e90356a26c7d5e6 --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/06-tangent.tex @@ -0,0 +1,89 @@ +\section{The tangent obstruction}\label{sec:tangent} + +We finish the proof by taking a first-order limit in the norm identity +at a point where the kernel projection varies smoothly. This produces +a bilinear matrix whose entries must vanish by Lemma~\ref{lem:form}. + +\begin{proof}[Proof of Theorem~\ref{thm:main}] +Proposition~\ref{prop:hyperbolic} establishes the polynomial's degree, +normalization, and hyperbolicity. Suppose its closed hyperbolicity cone +has a real symmetric pencil representation of some finite size. +Fix the maps \(D,E,B\) supplied by Proposition~\ref{prop:pencil}, with +their fixed finite dimensions \(a,c\). Proposition~\ref{prop:norm} gives +\eqref{eq:norm-identity} for the projections in \eqref{eq:projections}. +We shall show that this identity is impossible. + +Write \(S^3=\{u\in\R^4:\norm{u}=1\}\) and consider the symmetric matrix +\[ + A(u)=E(I-uu^\top),\qquad + u\in\Omega:=\{u\in S^3:u_0\ne0\}. +\] +Its ranks take only finitely many values, so their maximum \(\rho\) is +attained at some \(v\in\Omega\). If \(\rho>0\), select \(\rho\) independent +columns of \(A(v)\), and let \(W(u)\) contain the same columns of \(A(u)\). +These columns remain independent on a neighborhood of \(v\) in +\(\Omega\). By maximality of \(\rho\), they span the range of \(A(u)\) +throughout that neighborhood. Symmetry of \(A(u)\) then gives +\[ + R(u)=I-W(u)\bigl(W(u)^\top W(u)\bigr)^{-1}W(u)^\top . +\] +This is a smooth matrix function. If \(\rho=0\), then \(R(u)=I\) on +\(\Omega\), so it is smooth in this case as well. + +Keep \(v\) fixed. At \(u=v\), Equation~\eqref{eq:norm-identity} gives +\[ + P(v)B(y)R(v)=0\qquad(y\in\R^3), +\] +because \(b(0,y)=0\). For \(h=(h_0,h')\in v^\perp\), define +\[ + Jh=v_0h'-h_0v', + \qquad + u_s=\frac{v+sh}{\sqrt{1+s^2\norm{h}^2}}. +\] +For small \(s\), this path stays in the neighborhood where \(R\) is +smooth, and its velocity at zero is \(h\). Moreover, +\[ + v_0u_s'-(u_s)_0v' + =\frac{s\,Jh}{\sqrt{1+s^2\norm{h}^2}}. +\] +Thus, for \(s\ne0\), homogeneity of \(b\) and +\eqref{eq:norm-identity} give +\[ + \frac{b(Jh,y)}{1+s^2\norm{h}^2} + = + \norm{P(v)B(y)\frac{R(u_s)-R(v)}{s}}_{\op}^{2}. +\] +The matrix difference quotient converges to the differential +\(dR_v(h)\). Passing to the limit by continuity of the operator norm +yields +\begin{equation}\label{eq:tangent-identity} + b(Jh,y)=\norm{P(v)B(y)dR_v(h)}_{\op}^{2} + \qquad(h\in v^\perp,\ y\in\R^3). +\end{equation} +Only \(R\) has been differentiated; the projection \(P(v)\) remains +fixed. Figure~\ref{fig:local-tangent} illustrates this local variation. + +\input{figures/tangent-variation} + +The linear map \(J:v^\perp\to\R^3\) is an isomorphism. Indeed, if +\(Jh=0\), then \(v_0\ne0\) gives +\(h=(h_0/v_0)v\); since \(h\perp v\), this forces \(h=0\). +Both spaces have dimension three. +Consequently the matrix +\[ + F(z,y)=P(v)B(y)dR_v(J^{-1}z),\qquad z,y\in\R^3, +\] +has entries that are bilinear in \(z,y\), since \(B\) and the differential +\(dR_v\) are linear. In fixed orthonormal bases, +each entry \(\ell_{ij}(z,y)\) satisfies +\[ + \ell_{ij}(z,y)^2 + \le \norm{F(z,y)}_{\op}^{2} + =b(z,y) + \qquad(z,y\in\R^3). +\] +Lemma~\ref{lem:form} forces every entry to vanish identically. +Equation~\eqref{eq:tangent-identity} would therefore make \(b\) +identically zero, contradicting \(b(e_1,e_1)=1\). +This excludes the hypothetical finite pencil and completes the proof. +\end{proof} diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/07-comparison.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/07-comparison.tex new file mode 100644 index 0000000000000000000000000000000000000000..75ebf98af28f6399c5a4fe738bdd018cddff9f37 --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/07-comparison.tex @@ -0,0 +1,56 @@ +\section{A path-containment assertion} +\label{app:opposition} + +Theorem~53 (pp.~16--17) of version~1 of Gonz\'alez Nevado's +\cite{gonzalez-nevado-2026} states a positive solution of the geometric +Generalized Lax conjecture. Its proof invokes Theorem~52 (p.~16), which asserts +containment of a fixed rigidly convex set throughout a smooth real-zero +deformation from a product of normalized tangent linear factors to a +multiple of the defining polynomial. The following example violates +that intermediate assertion under its stated hypotheses. + +A real polynomial $g$ with $g(0)=1$ is \emph{real-zero} if the roots of +$s\mapsto g(sx)$ are real for every real vector $x$. Its closed +rigidly convex set is the closure of the component of $\{g\ne0\}$ +containing the origin. Fix $a,b,\eta>0$ and, in one variable, put +\[ + g(x)=(1-x/a)(1+x/b),\qquad + c(t)=1+\eta\sin^2(\pi t),\qquad + H_t(x)=g(c(t)x),\quad 0\le t\le1. +\] +The zero set of $g$ is the compact smooth set $\{-b,a\}$. +The normalized tangent linear factors at these two points are +$1+x/b$ and $1-x/a$, whose product is $g$. Every $H_t$ has value $1$ +at the origin and two distinct real roots, +\[ + -\frac{b}{c(t)}\quad\hbox{and}\quad\frac{a}{c(t)}. +\] +Thus the path depends smoothly on $t$ and consists of real-zero +polynomials with compact smooth zero sets. It even admits the smooth +monic real symmetric determinantal representation +\[ + H_t(x)=\det\begin{pmatrix} + 1-c(t)x/a&0\\ + 0&1+c(t)x/b + \end{pmatrix}. +\] +Both endpoints equal $g$, so the final polynomial is $g$ times the +constant cofactor $1$, as allowed by the stated hypotheses. +Nevertheless the rigidly convex set of $H_t$ is +\[ + \left[-\frac{b}{c(t)},\frac{a}{c(t)}\right], +\] +which is strictly smaller than $[-b,a]$ whenever $00$ describe the open family of normalized real +quadratics with negative leading coefficient, so the failure is not +confined to a symmetric or multiple-root example. The parameter $\eta$ +may be arbitrarily small. The cited Theorem~52 states no restriction +to two or more variables, no lower bound on pencil size, and no +requirement that the endpoint cofactor be nonconstant. + +This example refutes the all-intermediate-times conclusion of that +theorem. Its endpoints coincide, so it does not refute an endpoint-only +statement. The nonspectrahedrality result of this paper follows from +the construction and obstruction proved above. diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/reduced-polynomial.tex b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/reduced-polynomial.tex new file mode 100644 index 0000000000000000000000000000000000000000..9086142f1ea38fb1f5c71e83145a3579f9555bed --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/build/sections/reduced-polynomial.tex @@ -0,0 +1,60 @@ +\section{Removing a determinant factor}\label{sec:reduced} + +The polynomial $p$ makes the positive-map construction explicit through +a $4\times4$ determinant. We now remove a factor that is unnecessary for +its hyperbolicity cone. A larger block determinant shows directly that +the quotient remains polynomial at singular $X$. + +\begin{proof}[Proof of Corollary~\ref{cor:reduced}] +For the standard coordinate vectors $e_i$ of $\R^3$, put +\[ + K_i=\begin{pmatrix}0&e_i^\top\\-e_i&0\end{pmatrix}\in\R^{4\times4}, + \qquad C=\begin{pmatrix}K_1&K_2&K_3\end{pmatrix}\in\R^{4\times12}. +\] +Here $U\otimes V$ denotes the block matrix with blocks $U_{ij}V$. +Direct block multiplication in~\eqref{eq:phi} gives, for $T\in\Sym^4$, +\[ + \Phi_y(T)=\sum_{i,j=1}^3 Q(y)_{ij}K_iTK_j^\top + =C\bigl(Q(y)\otimes T\bigr)C^\top. +\] +Define the polynomial +\begin{equation}\label{eq:reduced-polynomial} + q(X,Z,y)=\det\begin{pmatrix} + I_3\otimes X&C^\top\\ + C\bigl(Q(y)\otimes I_4\bigr)&Z + \end{pmatrix}. +\end{equation} +For invertible $X$, taking a Schur complement yields +\[ + q(X,Z,y)=(\det X)^3\det\bigl(Z-\Phi_y(X^{-1})\bigr). +\] +Comparison with~\eqref{eq:inverse-formula} proves the polynomial identity +\begin{equation}\label{eq:reduced-factor} + p(X,Z,y)=(\det X)q(X,Z,y) +\end{equation} +first for invertible $X$ and then everywhere by continuity. +Since $p$ and $\det X$ are homogeneous of degrees $20$ and $4$, this +identity makes $q$ homogeneous of degree $16$; also $q(e)=1$. +For each real $(X,Z,y)$, the polynomial $q(te-(X,Z,y))$ is a factor of +the real-rooted polynomial $p(te-(X,Z,y))$. Hence $q$ is hyperbolic +with respect to $e$. + +Write $K_q=\Lambda_+(q,e)$. The factorization~\eqref{eq:reduced-factor} +gives +\begin{equation}\label{eq:cone-intersection} + K=\{(X,Z,y):X\succeq0\}\cap K_q, +\end{equation} +because the roots contributed by $\det(tI_4-X)$ are the eigenvalues of +$X$. It remains to show that $K_q$ already forces $X\succeq0$. +The polynomial $q$ is even in $y$, so $(X,Z,y)\in K_q$ implies +$(X,Z,-y)\in K_q$. By convexity of hyperbolicity +cones~\cite{garding-1959}, their midpoint $(X,Z,0)$ also belongs to $K_q$. +But~\eqref{eq:reduced-polynomial} gives +\[ + q(X,Z,0)=(\det X)^3\det Z, +\] +whose closed hyperbolicity cone in this slice is exactly +$\{(X,Z,0):X\succeq0,\ Z\succeq0\}$. +Thus $X\succeq0$ throughout $K_q$, and~\eqref{eq:cone-intersection} +implies $K_q=K$. Theorem~\ref{thm:main} now supplies nonspectrahedrality. +\end{proof} diff --git a/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/nonspectrahedral-hyperbolicity-cone.pdf b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/nonspectrahedral-hyperbolicity-cone.pdf new file mode 100644 index 0000000000000000000000000000000000000000..99bb0d5d8501b45930801d7c72c35536d9be58fc --- /dev/null +++ b/preprints/A-Nonspectrahedral-Hyperbolicity-Cone-September-24-2026/nonspectrahedral-hyperbolicity-cone.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:c0522a9b099318b2b79a90219749b18e1f917b4c0c0c5337e420640d1989dddf +size 410499 diff --git a/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/README.md b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/README.md new file mode 100644 index 0000000000000000000000000000000000000000..ec906f2f3169718478622f2debf4c92b60864a22 --- /dev/null +++ b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/README.md @@ -0,0 +1,18 @@ +# [A PD4 group without an aspherical manifold model](paper.pdf) + +OpenAI · September 24, 2026 + +## Citation + +To cite this manuscript: + +```bibtex +@misc{OAI:A-PD4-group-without-an-aspherical-manifold-model-September-24-2026, + author = {{OpenAI}}, + title = {{A PD4 group without an aspherical manifold model}}, + howpublished = {OpenAI Math Release preprint + \href{https://github.com/openai/math/blob/main/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/paper.pdf}{OAI:A-PD4-group-without-an-aspherical-manifold-model-September-24-2026}}, + year = {2026} +} +``` + diff --git a/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/paper.tex b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/paper.tex new file mode 100644 index 0000000000000000000000000000000000000000..0e246e05387020fd1c0d767f0fc0402b0a819a73 --- /dev/null +++ b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/paper.tex @@ -0,0 +1,242 @@ +\documentclass[11pt]{article} +\usepackage[T1]{fontenc} +\usepackage{lmodern} +\usepackage[margin=1.05in]{geometry} +\usepackage{amsmath,amssymb,amsthm,mathtools} +\usepackage{microtype} +\usepackage{enumitem} +\usepackage{needspace} +\usepackage{float} +\usepackage{tikz} +\usetikzlibrary{arrows.meta,positioning,calc} +\usepackage[hidelinks]{hyperref} +\usepackage{bookmark} +\newtheorem{theorem}{Theorem}[section] +\newtheorem{proposition}[theorem]{Proposition} +\newtheorem{lemma}[theorem]{Lemma} +\newtheorem{corollary}[theorem]{Corollary} +\theoremstyle{definition} +\newtheorem{definition}[theorem]{Definition} +\newtheorem{convention}[theorem]{Convention} +\theoremstyle{remark} +\newtheorem{remark}[theorem]{Remark} +\newcommand{\Z}{\mathbb Z} +\newcommand{\R}{\mathbb R} +\newcommand{\Q}{\mathbb Q} +\newcommand{\PD}{\mathrm{PD}} +\newcommand{\CAT}{\operatorname{CAT}} +\DeclareMathOperator{\Wh}{Wh} +\DeclareMathOperator{\im}{im} +\DeclareMathOperator{\coker}{coker} +\DeclareMathOperator{\rank}{rank} +\setlist[enumerate]{itemsep=3pt,topsep=5pt} +\setlist[itemize]{itemsep=3pt,topsep=5pt} +\emergencystretch=2em +\clubpenalty=10000 +\widowpenalty=10000 +\hypersetup{pdftitle={A PD4 group without an aspherical manifold model},pdfauthor={OpenAI}} +\title{A PD4 group without an aspherical manifold model} +\author{OpenAI} +\date{September 24, 2026} +\begin{document} +\maketitle +\begin{abstract} +We construct a finitely presented integral Poincar\'e duality group of +dimension four that has a finite classifying space but is not the fundamental +group of any closed aspherical topological four-manifold. This gives a negative +answer to Wall's manifold-realization question in dimension four. +\end{abstract} + +\section{Introduction}\label{sec:introduction} + +A closed aspherical manifold is determined up to homotopy by its +fundamental group. Poincar\'e duality therefore supplies a necessary +algebraic condition on that group. The manifold-realization question asks +whether this condition, together with the appropriate finiteness +assumptions, is sufficient. Here the category matters: a finite Poincar\'e +complex, a homology manifold, and a smooth manifold are different possible +realizations. We address closed \emph{topological} manifolds in the same +dimension as the duality group. + +An oriented integral Poincar\'e duality group $G$ of dimension $n$, or +\emph{oriented integral $\PD_n$ group}, has a finite resolution of the +trivial $\Z G$-module $\Z$ by finitely generated projective modules; +its cohomology with coefficients in $\Z G$ vanishes outside degree $n$ +and is $\Z$ in degree $n$, with trivial right $G$-action. A finite +classifying space is a finite CW complex with fundamental group $G$ +and contractible universal cover. Such a space provides a finite free +resolution, but its existence alone does not provide a manifold model. + +Wall asked whether every integral Poincar\'e duality group is the +fundamental group of a closed aspherical manifold +\cite[Problem~G2]{WallProblems}. The finiteness condition requires care. +Davis used reflection groups to turn the finiteness examples of +Bestvina and Brady into integral $\PD_n$ groups that are not finitely +presented, for every $n\geq4$ \cite[Theorem~C]{DavisCohomology}. +Since a closed manifold has finitely presented fundamental group, +these examples answer the unqualified question. The remaining +manifold-realization question asks the same thing for \emph{finitely +presented} integral Poincar\'e duality groups; it is Question~3.4 in +Davis's survey~\cite{DavisPD} and Conjecture~7.29 in the cited version +of L\"uck's survey~\cite{LuckFJ}. Kielak's 2026 survey records that +no counterexamples to this formulation were known +\cite[Section~4.1]{Kielak}. + +The coefficient ring is equally important. Fowler constructed +torsion-free finitely presented rational Poincar\'e duality groups that +cannot be realized by closed aspherical ANR rational homology +manifolds~\cite[Theorem~2.1]{Fowler}. His examples have no finite +classifying space. The example below instead satisfies integral +duality and already has a finite four-dimensional classifying space; +its obstruction concerns the passage from that Poincar\'e complex to a +closed topological manifold. + +\begin{theorem}\label{thm:main} +There is a finitely presented group $G$ with a finite, oriented, +four-dimensional aspherical Poincar\'e complex $Q$ such that +\[ + H^i(G;\Z G)=0\quad(i\ne4),\qquad H^4(G;\Z G)\cong\Z +\] +with trivial right $G$-action on the last group, but no closed aspherical +topological four-manifold has fundamental group $G$. +In particular the trivial left $\Z G$-module $\Z$ has a finite resolution +by finitely generated free modules. +\end{theorem} + +Theorem~\ref{thm:main} refutes the assertion quantified simultaneously +over all dimensions $n\geq3$, without asserting a counterexample in every +dimension. The orientation qualification causes no additional issue: +the orientation character of any hypothetical aspherical manifold with +group $G$ would equal the right action on its dualizing module and hence +would be trivial. + +\subsection{The source of the obstruction} +Our starting point is the marked geometric and tensor obstruction in +\emph{A marked tensor obstruction to four-dimensional disk +embedding}~\cite{TO}. Its geometric package records a finite family of +based loop relations, including independently chosen conjugating paths, +together with algebraic dual spheres. Its algebraic package turns a +compatible cut configuration into potentials and exact identities over +a ring with nilpotent parameters. A finite tensor theorem excludes those +identities. Section~\ref{ch:inputs} recalls the complete interface, +including the mixed nilpotent terms and the memberships in actual +gradient ideals. The marked geometry, algebraicity, formal comparison, +and finite tensor theorem are inputs from the companion; the transfer +to arbitrary marked topological fillings is proved here. + +The argument has two principal geometric ingredients beyond that input. +First, we construct a smooth chamber $D$ with boundary $S$ and a specified +hyperbolic basis for its entire middle homology. Attaching three-cells along that basis +gives a marked graph-type Poincar\'e pair $(P,S)$, but its marked boundary +admits no topological graph-type filling. +Here $H=\pi_1D$ is free and $BH$ denotes a finite graph with fundamental +group $H$; the space $P$ is homotopy equivalent to $BH$. +The marking is a specified map $S\to BH$. A +\emph{marked graph-type filling} is a compact topological four-manifold +with identified boundary $S$ and a homotopy equivalence to $BH$ extending +that map up to homotopy. This requirement retains information about the +boundary loops throughout the construction. +The extension of the cut obstruction to topological fillings uses +smoothing off isolated points and a differential-form complex that +computes the cohomology \emph{with those points filled}. Second, we show +that a hypothetical manifold model for a reflection of $P$ would produce +exactly such a forbidden filling. This requires a stable product with a +specified sphere marking, followed by a destabilization argument. An +unmarked stable homeomorphism would not suffice. + +The chamber obstruction is a relative manifold-realization statement: +the manifold must realize the homotopy type of the given Poincar\'e pair +relative to its identified boundary. Davis and Hillman prove such relative realization for an +aspherical Poincar\'e pair with nonempty closed manifold boundary in +dimensions at least five, assuming the $K$- and $L$-theoretic +Farrell--Jones conjectures, and in dimension four for elementary +amenable fundamental groups~\cite[Theorem~D]{DavisHillman}. Our chamber +has nonabelian free fundamental group, and its marked filling obstruction concerns +the four-dimensional case outside that elementary amenable hypothesis. +Reflection converts this relative obstruction into the closed +manifold-realization question of Theorem~\ref{thm:main}. + +\subsection{Proof architecture} +The reflection method developed by Davis~\cite[Sections~13 and~15]{Davis1983} +provides the framework for closing the chamber. Our construction closes +the pair to an aspherical Poincar\'e +complex $Q$ and reflects $D$ to a closed manifold $N\to Q$. A +support-tree construction gives the relevant right-angled Coxeter +extension of the free chamber group a proper cocompact CAT(0) model. +This auxiliary model supplies assembly information; the chamber +development retains the four-dimensional topology and its sphere classes. +The CAT(0) action places $G=\pi_1Q$ among the groups to which the Farrell--Jones +theorems apply~\cite{BL,Wegner}. If $Q$ had a manifold model $M$, the +four-dimensional surgery result of Kasprowski--Land~\cite{KL}, followed +by a stable product theorem, would make all the prescribed hyperbolic +pairs of a stabilization of $N$ geometrically standard. + +Lift these finite marked data to the reflection development. In a large +finite union of chambers, cap every boundary summand except the central +one. Remove standard pairs labelled by a large inner ball. The remaining +sphere problems are far from the central chamber, where radial directions +in the Davis complex make every bounded local construction small. +Grope separation follows Freedman--Quinn's finite-cover strategy +\cite[Section~2.10.2]{FQ} and groups the upper branches over finitely many +contractible direction patches. The essential requirement is that an +entire resulting loop system stays over one such patch, even when it +passes through many intersections. This replaces precisely the goodness-dependent +null-loop step of Powell--Ray--Teichner~\cite{PRT}, and not their theorem's +group hypothesis by fiat. The subsequent disk construction is +uncontrolled and may range through the whole compact manifold. Surgery +then gives the forbidden filling of $S$. + +Section~\ref{ch:section} constructs the marked chamber and proves its +filling obstruction. Section~\ref{rf:section} reflects it to obtain +$Q$, verifies integral duality, and supplies the two geometric models +used later. Section~\ref{st:setup} uses a hypothetical manifold model to +realize every prescribed sphere pair after stabilization. +Section~\ref{ct:section} caps a finite chamber union, removes the inner +standard pairs, and uses direction control to remove the remaining +middle homology. Its output is the marked filling excluded by +Section~\ref{ch:section}. + +\begin{figure}[H] +\centering +\begin{tikzpicture}[>=Latex, node distance=14mm and 25mm, + every node/.style={align=center,font=\small}] +\node (D) {$D\longrightarrow P\simeq BH$\\marked boundary $S$}; +\node[right=of D] (N) {$N\longrightarrow Q\simeq BG$\\reflection}; +\node[below=of N] (M) {hypothetical $M\simeq Q$\\marked stable product}; +\node[below=of D] (Z) {$Z$ with boundary $S$\\cap and remove inner pairs}; +\node[below=of Z] (W) {graph-type filling of $S$\\contradicts the cut obstruction}; +\draw[->] (D) -- (N); +\draw[->] (N) -- (M); +\draw[->] (M) -- (Z); +\draw[->] (Z) -- node[right,text width=35mm] {direction control\\and sphere surgery} (W); +\end{tikzpicture} +\caption{The two uses of the chamber. Its middle spheres permit the +reflection and stable-surgery construction; its marked boundary forbids +the filling obtained at the end.} +\label{fig:architecture} +\end{figure} + +\subsection{Conventions} +All manifolds in the surgery argument are oriented and all unqualified +homology groups have integral coefficients. For a connected space with +fundamental group $\Gamma$, regular coefficients $\Z\Gamma$ mean the +homology of its universal cover. We fix lifts and paths to a basepoint +when recording sphere classes. The involution on an oriented group ring +is $\overline{\sum n_g g}=\sum n_g g^{-1}$. +A hyperbolic plane over $\Z\Gamma$ has matrix +$\left(\begin{smallmatrix}0&1\\1&0\end{smallmatrix}\right)$. +For immersed sphere representatives, the phrase \emph{framed hyperbolic +system} also includes vanishing Wall self-intersection obstructions. + +All stabilizations are interior connected sums with $S^2\times S^2$ and +leave boundary markings unchanged. Specific references to +Freedman--Quinn~\cite{FQ} use the January 2013 reformatted edition's +numbering. + +\input{sections/chamber} +\input{sections/reflection} +\input{sections/stable} +\input{sections/control} + +{\raggedright\input{references}} +\end{document} diff --git a/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/references.tex b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/references.tex new file mode 100644 index 0000000000000000000000000000000000000000..a789e502adef271f1d3adef7599f22d470fa4b02 --- /dev/null +++ b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/references.tex @@ -0,0 +1,161 @@ +\begin{thebibliography}{99} + +\bibitem{BL} +Arthur Bartels and Wolfgang L\"uck, +\emph{The Borel Conjecture for hyperbolic and CAT(0)-groups}, +Annals of Mathematics (2) \textbf{175} (2012), no.~2, 631--689. +\href{https://doi.org/10.4007/annals.2012.175.2.5}{doi:10.4007/annals.2012.175.2.5}. + +\bibitem{BH} +Martin R. Bridson and Andr\'e Haefliger, +\emph{Metric Spaces of Non-Positive Curvature}, +Grundlehren der mathematischen Wissenschaften, vol.~319, +Springer, Berlin, 1999. + +\bibitem{DavisHillman} +James F. Davis and J. A. Hillman, +\emph{Aspherical manifolds with boundary}, +preprint, 2026, +\href{https://arxiv.org/abs/2501.12509v2}{arXiv:2501.12509v2}, +version of June 29, 2026. + +\bibitem{Davis} +Michael W. Davis, +\emph{The Geometry and Topology of Coxeter Groups}, +London Mathematical Society Monographs Series, vol.~32, +Princeton University Press, Princeton, NJ, 2008. +\href{https://doi.org/10.1515/9781400845941}{doi:10.1515/9781400845941}. + +\bibitem{Davis1983} +Michael W. Davis, +\emph{Groups generated by reflections and aspherical manifolds not +covered by Euclidean space}, +Annals of Mathematics (2) \textbf{117} (1983), no.~2, 293--324. +\href{https://doi.org/10.2307/2007079}{doi:10.2307/2007079}. + +\bibitem{DavisCohomology} +Michael W. Davis, +\emph{The cohomology of a Coxeter group with group ring coefficients}, +Duke Mathematical Journal \textbf{91} (1998), no.~2, 297--314. +\href{https://doi.org/10.1215/S0012-7094-98-09113-X}{doi:10.1215/S0012-7094-98-09113-X}. + +\bibitem{DavisPD} +Michael W. Davis, +\emph{Poincar\'e duality groups}, +in \emph{Surveys on Surgery Theory}, Vol.~1, +Sylvain Cappell, Andrew Ranicki, and Jonathan Rosenberg, eds., +Annals of Mathematics Studies, vol.~145, +Princeton University Press, Princeton, NJ, 2000, 167--193. +\href{https://people.math.osu.edu/davis.12/pdgroup.pdf}{Author's version}. + +\bibitem{Fowler} +Jim Fowler, +\emph{Finiteness properties for some rational Poincar\'e duality groups}, +Illinois Journal of Mathematics \textbf{56} (2012), no.~2, 281--299. +\href{https://doi.org/10.1215/ijm/1385129948}{doi:10.1215/ijm/1385129948}. +The cited theorem locator refers to +\href{https://arxiv.org/abs/1204.4667v1}{arXiv:1204.4667v1}. + +\bibitem{FQ} +Michael H. Freedman and Frank Quinn, +\emph{Topology of 4-manifolds}, +Princeton Mathematical Series, vol.~39, +Princeton University Press, Princeton, NJ, 1990. +\href{https://doi.org/10.1515/9781400861064}{doi:10.1515/9781400861064}. +Section and lemma numbers refer to Frank Quinn's +\href{https://archive.mpim-bonn.mpg.de/id/eprint/4789/2/FreedmanQuinn-TopologyOf4Manifolds-Reformatted2013.pdf}{January 2013 reformatted, unrevised version}. + +\bibitem{Hatcher} +Allen Hatcher, +\emph{Algebraic Topology}, +Cambridge University Press, 2002. +\href{https://pi.math.cornell.edu/~hatcher/AT/ATpage.html}{Author's online edition}. + +\bibitem{KL} +Daniel Kasprowski and Markus Land, +\emph{Topological 4-manifolds with 4-dimensional fundamental group}, +Glasgow Mathematical Journal \textbf{64} (2022), no.~2, 454--461. +\href{https://doi.org/10.1017/S0017089521000215}{doi:10.1017/S0017089521000215}. +Cited theorem and lemma locators refer to +\href{https://arxiv.org/abs/2007.03399v3}{arXiv:2007.03399v3}. + +\bibitem{KPR} +Daniel Kasprowski, Mark Powell, and Arunima Ray, +\emph{Counterexamples in 4-manifold topology}, +EMS Surveys in Mathematical Sciences \textbf{9} (2022), no.~1, 193--249. +\href{https://doi.org/10.4171/EMSS/56}{doi:10.4171/EMSS/56}. + +\bibitem{Kielak} +Dawid Kielak, +\emph{Virtual Fibring of Manifolds and Groups}, +in \emph{Proceedings of the International Congress of Mathematicians 2026}, +Vol.~4, \emph{Invited Lectures (Sections 5--8)}, +Susan Friedlander and Yuri Tschinkel, eds., +Society for Industrial and Applied Mathematics, 2026, 343--362. +\href{https://doi.org/10.1137/25M1804741}{doi:10.1137/25M1804741}. + +\bibitem{LuckFJ} +Wolfgang L\"uck, +\emph{Survey on the Farrell-Jones Conjecture}, +Bulletin of the American Mathematical Society (N.S.) \textbf{63} +(2026), no.~1, 79--117. +The cited conjecture locator refers to +\href{https://arxiv.org/abs/2507.11337v1}{arXiv:2507.11337v1}, +version of July 15, 2025. + +\bibitem{MilnorCW} +John Milnor, +\emph{On spaces having the homotopy type of a CW-complex}, +Transactions of the American Mathematical Society \textbf{90} (1959), +no.~2, 272--280. +\href{https://webhomes.maths.ed.ac.uk/~v1ranick/papers/milnorcw.pdf}{Original article}. + +\bibitem{TO} +OpenAI, +\emph{A marked tensor obstruction to four-dimensional disk embedding}, +OpenAI Math Release preprint +\href{https://github.com/openai/math/blob/main/preprints/A-marked-tensor-obstruction-to-four-dimensional-disk-embedding-September-24-2026/paper.pdf}{OAI:A-marked-tensor-obstruction-to-four-dimensional-disk-embedding-September-24-2026}, +2026. + +\bibitem{PRT} +Mark Powell, Arunima Ray, and Peter Teichner, +\emph{The 4-dimensional disc embedding theorem and dual spheres}, +Selecta Mathematica (N.S.) \textbf{31} (2025), article~80. +\href{https://doi.org/10.1007/s00029-025-01069-y}{doi:10.1007/s00029-025-01069-y}. + +\bibitem{QuinnEnds} +Frank Quinn, +\emph{Ends of maps. III: Dimensions 4 and 5}, +Journal of Differential Geometry \textbf{17} (1982), no.~3, 503--521. +\href{https://doi.org/10.4310/jdg/1214437139}{doi:10.4310/jdg/1214437139}. + +\bibitem{QuinnStable} +Frank Quinn, +\emph{The stable topology of 4-manifolds}, +Topology and its Applications \textbf{15} (1983), no.~1, 71--77. +\href{https://doi.org/10.1016/0166-8641(83)90049-4}{doi:10.1016/0166-8641(83)90049-4}. + +\bibitem{Swiatkowski} +Jacek \'Swi{\k a}tkowski, +\emph{Hyperbolic Coxeter groups with Sierpi\'nski carpet boundary}, +Bulletin of the London Mathematical Society \textbf{48} (2016), 708--716. +The cited Appendix Proposition~A.2 is in +\href{https://arxiv.org/abs/1502.02044v1}{arXiv:1502.02044v1}. + +\bibitem{WallProblems} +C. T. C. Wall, +\emph{List of problems}, +in \emph{Homological Group Theory}, C. T. C. Wall, ed., +London Mathematical Society Lecture Note Series, vol.~36, +Cambridge University Press, 1979, 369--394. + +\bibitem{Wegner} +Christian Wegner, +\emph{The $K$-theoretic Farrell-Jones conjecture for CAT(0)-groups}, +Proceedings of the American Mathematical Society \textbf{140} (2012), +no.~3, 779--793. +\href{https://doi.org/10.1090/S0002-9939-2011-11150-X}{doi:10.1090/S0002-9939-2011-11150-X}. +Cited theorem locators refer to +\href{https://arxiv.org/abs/1012.3349v2}{arXiv:1012.3349v2}. + +\end{thebibliography} diff --git a/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/chamber.tex b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/chamber.tex new file mode 100644 index 0000000000000000000000000000000000000000..707f79424092149ebb32c10aa6863189e3c6fe63 --- /dev/null +++ b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/chamber.tex @@ -0,0 +1,498 @@ +\section{A chamber with no marked graph filling} +\label{ch:section} + +The obstruction will first be placed in a compact chamber. Its boundary +marking is essential: the obstruction does not merely assert that some +disk problem has no solution. + +\begin{proposition}[The marked chamber] +\label{ch:chamber} +There are a compact connected oriented smooth four-manifold $D$, its +connected boundary $S$, a finitely generated free group $H$, and a map +$c:D\to BH$ with the following properties. +\begin{enumerate} +\item The map $c$ induces an isomorphism on fundamental groups, and $D$ +has the homotopy type of a finite graph with $2k$ two-spheres attached +at its basepoint. Its module $\pi_2D$ has a specified hyperbolic basis +over $\Z H$, represented by framed immersed spheres with vanishing +quadratic self-intersection obstructions. +\item Attach a three-cell to each basis sphere, and denote the resulting +space by $P$. Then $(P,S)$ is an oriented Poincar\'e pair of formal +dimension four, and $P\simeq BH$. The boundary marking is +$c|_S:S\to BH$. +\item There is no compact oriented topological four-manifold $D'$ with +boundary identified with $S$ and a homotopy equivalence $c':D'\to BH$ +whose restriction to $S$ is homotopic to $c|_S$. +\end{enumerate} +\end{proposition} + +Here and below, sphere classes and intersections use fixed whiskers and +deck translations. A hyperbolic pair has zero squares, mutual product +$1$, and zero framing and Wall self-intersection obstructions. We prove +the proposition without using an embedded surgery on $D$. + +\subsection{The geometric and tensor inputs} +\label{ch:inputs} + +We use the marked geometric construction of \cite[Section~2]{TO}, rather +than only its main disk-nonembedding theorem. The marked bodies and +exterior duals are supplied by its Lemmas~2.3 and~2.4. Its +Proposition~2.2 and Lemmas~2.5--2.6 give the cut consequences under +hypothetical disk replacements; those conditional conclusions are +distinct from the marked geometric construction itself. +We recall the precise data needed here. +Fix $m\geq5$ and $p\geq9$. Start with a four-dimensional one-handlebody +on $2m+p$ handles, attach cancelling two-handles to the first $2m$ +handles with product framings, and plumb these two-handles in $m$ pairs, +interchanging the two coordinate directions at every plumbing. +The resulting smooth oriented manifold $X$ has graph homotopy type. +Its cover associated to the plumbing quotient $\pi_1X\to F_m$ is a +tree of blocks, each a one-handlebody on $p$ extra generators; neighboring +blocks meet in a product four-ball. The exposed boundary of a block is +\[ + K_v=\#^p(S^1\times S^2)\setminus + \operatorname{int}\nu(L_{2m}), +\] +where $L_{2m}$ is an unlink in a ball. Its port meridians +$x_1,\ldots,x_{2m}$ and extra loops $l_1,\ldots,l_p$ form a free basis. +At each join the meridian on one side is the longitude on the other. + +Write $\mathcal C=\{1,l_1,\ldots,l_p\}$. The marked-body construction +installs a disjoint two-stage grope body for every ordered triple of +distinct ports and every independent choice +\[ + X_a=c_a x_{r_a}^{\delta_a}c_a^{-1},\qquad + c_a\in\mathcal C,\quad \delta_a\in\{1,-1\},\quad a=1,2,3. +\] +Its lower surface is a punctured torus: one branch has a single cap, +and the other carries the upper punctured torus with its two caps. +All tip tracks, conjugating paths, and product framings are specified. +The initial boundary word $R$ satisfies +\begin{equation} +\label{ch:laws} + R|_{X_a=1}=1\quad(a=1,2,3),\qquad + R\equiv[X_1,[X_2,X_3]]\pmod{\Gamma_4F(X_1,X_2,X_3)}. +\end{equation} +Internal changes of the marked paths are allowed by these identities; +one must retain the entire finite family, not replace it by one +unconjugated commutator. + +Let $F_1,\ldots,F_k$ be the lower punctured tori, with symplectic bases +$(a_j,b_j)$, where $a_j$ is the single-cap branch. Delete their open +product tubes, including the proper edge collars, to obtain $E$. +Lemma~2.4 (Algebraic duals in the exterior) of \cite{TO} supplies +the truncated single caps $f_j$ and framed spheres $g_j$ in $E$ such +that +\begin{equation} +\label{ch:exterior-duals} + \lambda(f_i,g_j)=\delta_{ij},\qquad + \lambda(g_i,g_j)=0,\qquad \widetilde\mu(g_j)=0 + \quad\text{over }\Z[\pi_1E]. +\end{equation} +The framing on $f_j$ is the surface-compression framing. The $g_j$ +are compressed normal-circle tori over the $b_j$ curves; their +individual representatives have trivial normal bundle. Equation +\eqref{ch:exterior-duals} is a group-ring statement before any +meridians are killed. + +We also recall exactly how the cut obstruction is used. Suppose that a +compact smooth oriented four-manifold with the marked graph type of +the parity cover of $X$ has two connected vertex pieces $A,B$, with +outside faces $K_A,K_B$, and $2m$ connected three-dimensional cuts +$Y_i$, each with its prescribed coordinate torus as its entire boundary. +Orient $Y_i$ as a face of $A$, so its orientation as a face of $B$ +is opposite. +Suppose the differences of restrictions give an isomorphism in degree +two and, in degree one, an isomorphism after the extra-loop evaluations +are set to zero. Suppose further that precisely $m$ joins are active: +at an active join the surviving coordinate meridian is at $A$, whereas +the other coordinate is the meridian at $B$. Require every marked law +\eqref{ch:laws} in its respective vertex group, and the free ambient +background in which the port meridians are trivial and the named extra +letters can be assigned independently. + +These data cannot exist. Indeed, Proposition~6.1 (Vertex data) of +\cite{TO} gives a characteristic-zero field $K$ (one may take +$\mathbb C((\sigma))$), separate coordinate blocks $h_i$ of total +dimension $N$, and algebraic power-series germs $F_i(h_i)$ and +$b_i(h_i)$, with $b_i$ indexed by the active set $I$, $|I|=m$. +The germs are normalized by $F_i(0)=b_i(0)=0$. Set +\begin{equation} +\label{ch:tensor-ring} + T=K[t_i:i\in I]/(t_i^2:i\in I),\qquad + S_0=\sum_iF_i,\qquad S_t=S_0+\sum_{i\in I}t_i b_i. +\end{equation} +There are formal parametrizations +\[ + H_L(x,t)\in(x,t)T[[x]]^N,\qquad + H_R(y)\in(y)K[[y]]^N, +\] +where $x$ has $d$ coordinates and $y$ has $N-d$ coordinates. Their +central tangent maps $\partial_xH_L(0,0)$ and $\partial_yH_R(0)$ +are injective with complementary images in $K^N$; nilpotent constant +displacements of $H_L$ are allowed. They satisfy +\begin{equation} +\label{ch:tensor-vanishing} + S_t(H_L)=0,\qquad S_0(H_R)=0. +\end{equation} +For every three distinct active indices $i,j,k$, they satisfy +\begin{align} + t_it_jt_k&\in + \bigl((\partial_{h_\nu}S_t)(H_L):\nu=1,\ldots,N\bigr) + \subset T[[x]],\label{ch:tensor-left}\\ + (b_ib_jb_k)(H_R)&\in + \bigl((\partial_{h_\nu}S_0)(H_R):\nu=1,\ldots,N\bigr) + \subset K[[y]].\label{ch:tensor-right} +\end{align} +Theorem~3.1 (Finite tensor obstruction) of \cite{TO} rules out +\eqref{ch:tensor-ring}--\eqref{ch:tensor-right} for $m\geq5$. +In particular, the memberships are in the actual gradient ideals, +not their radicals, and $T$ retains all mixed square-free monomials. +The independent conjugators in the full law list are what supply all +these triple identities. These two source results, together with the +marked edge potentials, algebraicity and formal comparison of +\cite[Proposition~4.5, Theorem~5.1 and Proposition~5.2]{TO}, are the +tensor obstruction used here. + +\subsection{The exterior with its side marking} +\label{ch:exterior} + +The imported geometry supplies the surfaces and their algebraic duals. +We now use those data to construct $D$, keeping track of the actual +tube-side maps. This marking will identify the boundary of a hypothetical +filling with the loop data needed for the tensor contradiction. + +We make one placement refinement of the marked-body construction. +Place its longitudinal tip annuli on disjoint parallels outside +sufficiently thin attaching solid tori in the initial one-handlebody +boundary, and put the finitely many connectors in their complement. +This is possible by the marked handlebody model: the bodies are boundary +joins of the separated annular collars. The complement of the attaching +solid tori survives in the boundary after the two-handles are attached; +the plumbing ports are on the new belt-handle portions. Thus the +unpushed lower surfaces lie in the final exposed boundary of $X$. +The independent ribbon twists matching the cap framings are made in +the separated parallel tubes. They do not pass a body across a +plumbing join. The returning tip collars alone are lengthened back +to product parallels on the attaching regions and then into the cores. +The construction and intersection calculation of +\eqref{ch:exterior-duals} are unchanged. + +Consequently the $F_j$ are proper inward pushes of disjoint boundary +surfaces, with returning collars at their initial boundary curves. +Moreover $F_j\to X$ is null-homotopic. The three tip loops bound the +corresponding core caps in $X$; hence the bottom $a_j$ and $b_j$ loops +die in $\pi_1X$. Since $X$ has graph homotopy type and $F_j$ retracts +to a graph, this proves the assertion about the whole surface map. + +\begin{lemma}[The marked exterior model] +\label{ch:exterior-model} +With the surface-product trivializations, the exterior and its tube-side +maps have the homotopy-pushout model +\[ + E\simeq X\cup_{\coprod_jF_j}\coprod_j(F_j\times S^1), +\] +where each gluing map to $F_j\times S^1$ is the inward section. +The displayed $F_j\times S^1$ maps represent the actual tube sides. +\end{lemma} + +\begin{proof} +It is enough to describe one surface; the constructions have disjoint +collars. Write $B=\partial X$ and $K=\partial F$. Before rounding +corners, put the pushed surface at a horizontal collar level, with +vertical walls along $K$ returning to the boundary. The inner part of +the exterior has homotopy type $X$, the outer part has homotopy type +$B\setminus K$, and their overlap has homotopy type $B\setminus F$. +Product slices, thickened by a variable positive width off the deleted +surface, give this homotopy-pushout decomposition. + +In $B\setminus K$, take a two-sided neighborhood of +$F^\circ=F\setminus K$ whose width decreases to zero near $K$. +Relative to $B\setminus F$, it is a bridge over $F^\circ$, joining +the two sides of the cut. Replace $F^\circ$ in this diagram by a +slightly shrunken copy $F_0$; this is an objectwise homotopy equivalence. +The actual deleted surface and $K$ are unchanged. In the rectangular +normal coordinates to its horizontal copy, split the tube circle over +$F_0$ into its outer and inward semicircles. The outer semicircle is +the bridge. The inward semicircle lies in the inner $X$ piece and +gives a specified homotopy between the bridge's endpoint maps. + +Using that homotopy to identify the endpoints replaces the bridge by +$F_0\times S^1$, attached along its inward section. Its circle is +precisely the outer bridge followed by the inward return, hence the +actual normal circuit. Finally $F_0\to F$ and +$F_0\times S^1\to F\times S^1$ are homotopy equivalences. This +also accounts for the proper edge collars and proves the assertion +about the side maps, not just the absolute homotopy type of $E$. +\end{proof} + +For each $j$, regard a solid torus $V_j$ as a compression body from +the punctured torus $F_j$ to a disk, compressing $a_j$. Define +\[ + D=E\cup_{\coprod_j(F_j\times S^1)} + \coprod_j(V_j\times S^1). +\] +All gluings use the just specified product framings; round corners. +The remaining disk face of $\partial V_j$ contributes a solid torus +to the new boundary. Hence $S=\partial D$ is the surface-framed +surgery of $\partial X$ on the initial grope-boundary link. In +particular it is connected. + +By Lemma~\ref{ch:exterior-model}, +\[ + D\simeq X\cup_{\coprod_jF_j}\coprod_j(V_j\times S^1). +\] +Each $F_j\to X$ is null-homotopic. The extra summand is therefore +the homotopy cofiber of $F_j\to V_j\times S^1$. Retract the latter +space to the torus on its longitude $b_j$ and normal meridian $t_j$. +The cofiber adds one two-cell killing $b_j$ and one on the null loop +$a_j$. Cancel the $b_j$ one/two-cell pair. The torus two-cell then +has null attaching map, so the result is +\[ + S^1_{t_j}\vee S^2\vee S^2. +\] +Thus $H=\pi_1D$ is the original free graph group with one new free +meridian $t_j$ per surface, and $D$ has the graph-and-spheres homotopy +type in Proposition~\ref{ch:chamber}. + +\subsection{The middle form and the Poincar\'e pair} +\label{ch:duality} + +Close $f_j$ by a meridian disk of $V_j$ at its fixed circle coordinate, +obtaining a sphere $u_j$. The two compression framings agree, so its +second Stiefel--Whitney evaluation is zero. The $g_j$ remain in $E$; +therefore \eqref{ch:exterior-duals} gives +\[ + \lambda(u_i,g_j)=\delta_{ij},\qquad \lambda(g_i,g_j)=0 + \quad\text{over }\Z H. +\] +The hermitian matrix of the $u_i$ has even diagonal. As $H$ has no +element of order two, every such diagonal is $z+\bar z$: choose one +representative from each nonidentity inverse pair and halve the even +identity coefficient. Add suitable combinations of the $g_j$ to the +$u_i$, taking a triangular half off the diagonal and this half on it. +The resulting spheres, denoted $a_i$, together with $b_i=g_i$, have +hyperbolic intersection matrix. The usual framed representative +adjustments give zero Wall self-intersections: choose normal Euler +number zero using the evenness, and then use +$\lambda(a_i,a_i)=\mu(a_i)+\overline{\mu(a_i)}$ and the absence of +order-two elements. This is the ordinary immersed-sphere calculus +of \cite{FQ}; no disk-embedding assertion enters it. + +These $2k$ classes form a basis. Indeed, $\pi_2D$ is already known +to be free of rank $2k$. Its square matrix of the displayed classes +has a left inverse obtained from their nonsingular pairing. To see +directly that it also has a right inverse, pass to each finite quotient +of $H$. The resulting matrices act on finite-dimensional complex +vector spaces, where a left inverse is a right inverse. Residual +finiteness of the free group separates the finite support of any +nonzero group-ring element, so the right-inverse identity holds over +$\Z H$ itself. We henceforth use this specified basis. + +Attach a three-cell on every $a_i$ and $b_i$ to form $P$. A map from +the graph with $2k$ two-spheres to $D$ realizing this basis is a +homotopy equivalence: it induces an isomorphism on $\pi_1$ and on the +homology of simply connected covers. Thus $P\simeq BH$. + +We check Poincar\'e duality for the pair, since this step must not be +confused with embedded surgery. Set $\Lambda=\Z H$. In the duality +of $(D,S)$, the middle sphere module maps isomorphically onto a split +summand of $H_2(D,S;\Lambda)$, by its nonsingular form. Attaching the +three-cells quotients both absolute and relative homology by these +middle summands; the attaching map is injective on them, so no new +third homology appears. On cohomology the pullbacks identify the new +groups with the annihilators of the sphere summands. If +$f:(D,S)\to(P,S)$ is the natural cell-attachment inclusion and +$[P,S]=f_*[D,S]$, cap-product naturality reads +\[ + z\frown[P,S]=f_*\bigl(f^*z\frown[D,S]\bigr). +\] +Hence the old duality isomorphisms induce exactly the new ones on +these annihilators and quotients. The spaces have finite free chain +complexes over $\Lambda$, so the regular-coefficient cap-product +criterion gives Poincar\'e duality with arbitrary local coefficients. +This proves parts (1) and (2) of Proposition~\ref{ch:chamber}. + +\begin{corollary} +\label{ch:boundary-homology} +The map $\pi_1S\to H$ is onto. If $r=\operatorname{rank}H$, then +$H_1(S;\Z)\to H_1(P;\Z)$ is an isomorphism and +$H_2(S;\Z)\cong\Z^r$. +\end{corollary} + +\begin{proof} +Duality and the graph type of $P$ give +$H_1(P,S;\Z H)=H_0(P,S;\Z H)=0$. Therefore +$H_0(S;\Z H)\to H_0(P;\Z H)$ is an isomorphism. +The former is free abelian on the cosets of the image of $\pi_1S$, +and the latter is $\Z$; there can be only one coset. +With ordinary coefficients the pair sequence and duality give +$H_2(P,S)=H_1(P,S)=0$ and +$H_3(P,S)\cong H^1(P)\cong\Z^r$. The assertions follow. +\end{proof} + +\subsection{Topological fillings and the cut obstruction} +\label{ch:forbidden-filling} + +The construction and duality calculation establish the first two parts +of Proposition~\ref{ch:chamber}. For the third part we must analyze an +arbitrary topological filling with the specified boundary map. The +following cut construction supplies the hypotheses recalled in +Section~\ref{ch:inputs}; it does not presume a smooth structure on that +filling. + +Suppose a marked filling $D'$ as in part (3) existed. Attach the +dual two-handles that undo the surgery on the initial link. Denote +the result by $W$, so $\partial W=\partial X$. Each attaching circle +represents its prescribed new free generator $t_j$ under the marking +$D'\simeq BH$. The corresponding one/two-cell pair cancels in the +homotopy type. Thus $W$ has the graph type of $X$, with the original +boundary-to-graph map: equality of the marked fundamental-group maps +gives equality up to homotopy because the graph is aspherical. +The two-handle cocores are disjoint proper locally flat disks bounded +by the original initial link. In particular all the original marked +words are now represented by disk boundaries. + +Here is the cut construction with the hypotheses on $W$ made explicit. +Use the marked quotient $\pi_1W\to F_m$ and its associated tree cover. +Prescribe the equivariant map to be constant at the appropriate vertex +on each outside face $K_v$ and each lifted disk neighborhood, and +to cross the appropriate edge on each boundary torus collar. These +prescriptions agree where they meet. A section of the associated +bundle with contractible tree fiber extends them to the rest of $W$. +The free boundary extra loops, with whiskers, generate the fundamental +group of this tree cover, just as for the marked graph model of $X$. + +We must allow $W$ to be topological. By Quinn's punctured smoothing +theorem \cite[Corollary~2.2.3]{QuinnEnds}, delete an interior point +away from the disks and extend the given boundary smoothing to the +complement. Prescribe the map to be constant near this point before +extending the section. Approximate it smoothly over the open middle +intervals of the finitely many graph edges, away from the disks and +puncture, and choose regular values. The cuts are compact smooth +three-manifolds, disjoint from the disks. Their filled complementary +pieces are topological four-manifolds, smooth away from the finite +set of lifted punctures in each finite quotient. + +For completeness, connectedness is not automatic from a regular-level +construction. Form the component graph of the cuts in the tree cover. +Its fundamental group is a quotient of that of the cover, by joining +successive crossings through connected complementary pieces. Every +extra boundary generator lies in one piece, so maps trivially to this +graph. It follows that the component graph is a tree. The outside +faces and torus collars give an embedded principal copy of the original +plumbing tree: different vertex labels lie in different components of +the complement of the target midpoints. Any remaining branch has a +unique nearest principal vertex. Its stabilizer is trivial, since it +fixes that vertex. The quotient has finitely many components; hence +these branches have finite valence and uniformly bounded depth, and +each is finite. Ignore their closed cuts and merge them into their +principal vertices. This leaves connected vertex pieces and one +connected cut with each prescribed torus as its entire boundary. +The disk prescriptions have not changed. This is precisely the +argument of Lemma~2.5 (Connected tree cuts) of \cite{TO}, now +applied to the marked $W$ rather than requiring a homeomorphism $W=X$. + +Pass to the parity quotient, sending every plumbing generator to the +nonidentity element of $\Z/2$. Its filled ambient space $W_2$ has +the homotopy type of the graph with two vertices and $2m$ edges, +and $p$ extra circles at each vertex. Write $A,B$ for the filled +vertex pieces and $Y_1,\ldots,Y_{2m}$ for their cuts. Over any +characteristic-zero field $K$, Mayer--Vietoris gives +\begin{equation} +\label{ch:restriction-two} + H^2(A;K)\oplus H^2(B;K) + \xrightarrow{\ \cong\ }\bigoplus_iH^2(Y_i;K), +\end{equation} +because $H^2(W_2;K)=H^3(W_2;K)=0$. In degree one the difference +of restrictions is onto. Its kernel is the image of $H^1(W_2;K)$ +modulo the $2m-1$ graph classes, and evaluation on the $p$ named +extra loops at each vertex identifies that kernel with $K^{2p}$. +Thus the restriction map becomes an isomorphism on the subspace +where these extra evaluations vanish. + +On a cut $Y_i$, half-lives/half-dies says that the image of +$H_1(\partial Y_i;K)$ in $H_1(Y_i;K)$ is a line. If both original +coordinate loops had nonzero image, their images would be nonzero +multiples. A class from either vertex annihilates the longitude +bounding in its outside face, and hence would annihilate both +coordinates. The degree-one surjectivity just proved would then +force every class on $Y_i$ to do so, a contradiction. Hence one +original coordinate $\beta_i$ dies and the other $\alpha_i$ survives. +The plus endpoint is the side at which $\beta_i$ is a longitude. +The parity involution pairs the two lifts of each join and exchanges +their plus endpoints, giving exactly $m$ active edges at $A$. + +The prescribed disks lie in their own vertex pieces. They therefore +give every law \eqref{ch:laws} at those vertices, with all the +independently chosen conjugators and signs. The marked ambient free +group still has trivial port meridians and freely assignable named +extra letters. In particular it supplies the common flat background +used in the Vertex data Proposition: assign eight extra letters the +eight nonidentity matrices among +$\exp(a\sigma e)\exp(b\sigma f)$, $a,b\in\{0,1,2\}$, for the +standard nilpotent generators $e,f$ of $\mathfrak{sl}_2$. +Together with the identity, their adjoint operators span all +endomorphisms over $\mathbb C((\sigma))$, as in +\cite[Proposition~6.1]{TO}. +Thus the geometric and marked hypotheses of the tensor interface +in Section~\ref{ch:inputs} have all been established. + +It remains to justify that its vertex calculation works for the +punctured smooth structures just used. We give this step rather +than assuming that the filled vertices admit smooth structures. + +\begin{lemma}[Forms on a punctured vertex] +\label{ch:puncture-forms} +Let $V$ be one of the filled compact vertex pieces and let $Z$ be +its finite set of punctures. In degree zero take smooth functions +on $V\setminus Z$ separately constant near each puncture, and in +positive degrees take smooth forms vanishing near the punctures. +This differential graded algebra computes $H^*(V;\mathbb C)$, +naturally on the unpunctured faces. It supports the vertex +calculation in the Vertex data Proposition of \cite{TO}, with the +filled cohomology groups and with the same Stokes identities. +\end{lemma} + +\begin{proof} +Regard these forms as a sheaf on $V$. Its stalk at a puncture is +$\mathbb C$ in degree zero and zero in higher degrees; elsewhere +it is the ordinary de Rham resolution. Partitions of unity can +be chosen constant on smaller neighborhoods of the finitely many +punctures. The complex is therefore a fine resolution of the +constant sheaf, so computes the filled cohomology. A based condition +in degree zero removes only $H^0$. Linear splittings onto cohomology +and contracting homotopies may consequently be chosen inside this +complex, exactly as for the ordinary vertex de Rham complex. + +Wedges, Lie brackets, the curvature recursions, and differentiation +in the formal parameters preserve this algebra. Each fixed +positive-degree coefficient vanishes near $Z$, so integration and +Stokes take place on a compact smooth subdomain containing its +support. The additional end boundaries contribute zero. An entire +formal series need not have one common vanishing neighborhood: +every calculation at a fixed coefficient uses only finitely many +terms. The source's formal lifts and divisions likewise use +finite linear combinations coefficientwise, and extensions from +face collars can be supported away from $Z$. + +Removing interior points in dimension four does not change the +fundamental group. At each finite nilpotent order the flat systems +in question vanish near the punctures in their local trivializations; +gauges between them can be separately constant at those ends. +Thus the based holonomy and exact-gauge arguments use the same +marked group as the filled vertex. Allowing separate constants +at distinct ends is important here. These are the uses of vertex +smoothness in the proof of Proposition~6.1 of \cite{TO}. +Its edge-algebraicity theorem, \cite[Theorem~5.1]{TO}, +is still applied only to the unchanged compact smooth +three-manifolds $Y_i$. +\end{proof} + +Apply Lemma~\ref{ch:puncture-forms} to the two vertex pieces. +Equation~\eqref{ch:restriction-two} and the degree-one calculations +refer to their filled cohomology, which the lemma computes. The +Vertex data Proposition, \cite[Proposition~6.1]{TO}, now produces exactly +\eqref{ch:tensor-ring}--\eqref{ch:tensor-right}. The Finite tensor +obstruction contradicts their existence. Therefore $D'$ cannot +exist, completing the proof of Proposition~\ref{ch:chamber}. diff --git a/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/control.tex b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/control.tex new file mode 100644 index 0000000000000000000000000000000000000000..46ef9d0d01f2780ef368b802dbcf2a952a5ba6ae --- /dev/null +++ b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/control.tex @@ -0,0 +1,683 @@ +\section{Controlled removal of the middle homology}\label{ct:section} + +Suppose, towards a contradiction, that the group constructed above is the +fundamental group of a closed aspherical topological four-manifold. We use +the marked systems supplied by Proposition~\ref{st:periodic-data}. Thus, +after finitely many stabilizations on the compact quotient, the ordinary +reflection development is a manifold +\[ + Y=\bigcup_{v\in C}D_v. +\] +Here $D_v$ is a stabilized copy of the chamber, its boundary is $S$, and +its group is the free group $H$. Boundary identifications are understood +with the signs induced by the orientation of $Y$; signs in hyperbolic +planes are absorbed by changing one basis vector. There are two +labelled systems in $Y$: +the chamber-wise immersed hyperbolic bases, denoted $\mathcal A$, and +disjoint standard hyperbolic pairs, denoted $\mathcal B$. Each pair of +$\mathcal B$ has an embedded neighborhood homeomorphic to +$(S^2\times S^2)\setminus\operatorname{int}D^4$. Corresponding spheres in +the two systems are based-homotopic. All these data, including the +homotopies, are lifts of finitely many compact data on the quotient. + +We will remove an expanding finite part of $\mathcal B$ and use the +remaining part of $\mathcal A$ to perform surgery. The latter operation +requires geometric duals. We obtain them by applying the proof of the +disc embedding theorem to a specially constructed null-loop input; +we do not assume that $H$ is a good group. + +There are three tasks. First we cap the noncentral boundary factors and +remove the inner standard pairs, leaving a compact manifold with the +original boundary marking. Next we prepare the remaining sphere +systems and place their upper grope branches over contractible +direction patches. This supplies the null-loop input. Finally the +tower construction and sphere surgeries remove the remaining middle +homology and produce a graph-type filling. + +\subsection{Complementary fillings and the peeling operation} + +Write $r=\operatorname{rank}H$. A stabilization of $D$ has homotopy type +\[ + \bigvee^r S^1\vee\bigvee^{2k}S^2 +\] +for some $k$, and its middle module has the specified hyperbolic basis. +Neither the boundary nor its map to $BH$ changes under stabilization. + +\begin{lemma}[Complementary fillings]\label{ct:fillings} +For every such stabilized chamber there is a simply connected compact +oriented topological four-manifold $J$ with boundary $-S$ such that +\[ + H_2(S;\Z)\longrightarrow H_2(J;\Z) + \quad\text{is an isomorphism},\qquad H_3(J;\Z)=0. +\] +Moreover, $D\cup_S J$ is simply connected, and inclusion of $D$ identifies +its second homology and intersection form with those of $D\cup_S J$. +\end{lemma} + +\begin{proof} +First recall the consequences of the graph-type Poincar\'e pair $(P,S)$ +recorded in Corollary~\ref{ch:boundary-homology}. Duality and its +ordinary homology sequence give +\begin{equation}\label{ct:boundary-homology} + H_1(S;\Z)\cong H_1(P;\Z)\cong\Z^r, + \qquad H_2(S;\Z)\cong H^1(P;\Z)\cong\Z^r. +\end{equation} +The same corollary gives the surjectivity of $\pi_1(S)\to H$. + +Start with the oppositely oriented copy of $D$. Represent a free basis +of its fundamental group by disjoint embedded circles. Their normal +bundles are trivial, and general position makes the circles disjoint +from the finite sphere system. Interior surgery on these circles kills +the free generators. The old sphere classes retain their hyperbolic +intersection and framing data after augmentation to $\Z$. In the now +simply connected manifold, the sphere embedding theorem with geometric +duals realizes a Lagrangian by disjoint framed embedded spheres. Surgery +on these spheres preserves simple connectivity and removes the old +hyperbolic planes. This use of the disc theorem is in the simply +connected case only; see \cite[Theorem~B]{PRT}. + +Let $J$ be the result. Each circle surgery increases Euler characteristic +by two, and each sphere surgery decreases it by two. Hence +\[ + \chi(J)=(1-r+2k)+2r-2k=1+r. +\] +The boundary is connected and $J$ is simply connected. Thus +$H^1(J,S;\Z)=0$ by the cohomology sequence of the pair, and +Poincar\'e--Lefschetz duality gives $H_3(J;\Z)=0$. Since $J$ has nonempty +boundary, $H_4(J;\Z)=0$, and therefore $b_2(J)=r$. + +There is no integral index ambiguity in this calculation. The relevant +part of the duality sequence is +\begin{equation}\label{ct:cap-sequence} + 0\longrightarrow H_2(S;\Z)\longrightarrow H_2(J;\Z) + \longrightarrow H^2(J;\Z)\longrightarrow H_1(S;\Z) + \longrightarrow0. +\end{equation} +Here $H_3(J,S;\Z)=H^1(J;\Z)=0$ accounts for the initial zero. +The universal coefficient theorem makes $H^2(J;\Z)$ free, because +$H_1(J;\Z)=0$. Every torsion element of $H_2(J;\Z)$ would consequently +belong to the image of the injected free group $H_2(S;\Z)$, so there is +no such element. The first two nonzero groups in +\eqref{ct:cap-sequence} now have the same rank $r$. The middle map has +rank zero and takes values in a free group, hence is zero. Exactness +proves that the first map is an integral isomorphism. + +The map $H_2(S;\Z)\to H_2(D;\Z)$ is zero: the next map +$H_2(D;\Z)\to H_2(D,S;\Z)$ is the nonsingular hyperbolic intersection +map. Also $H_1(S;\Z)\to H_1(D;\Z)$ is the isomorphism in +\eqref{ct:boundary-homology}. Mayer--Vietoris, together with the +isomorphism just proved for $J$, therefore identifies +$H_2(D\cup_S J;\Z)$ with $H_2(D;\Z)$. All products are unchanged, +since their representatives lie in the interior of $D$. +Finally, the surjectivity of $\pi_1(S)\to H$ and van Kampen show that +$D\cup_S J$ is simply connected. +\end{proof} + +Let $|v|$ denote Coxeter word length. Lemma~\ref{rf:shelling} identifies +the finite chamber union +\[ + U_L=\bigcup_{|v|\leq L}D_v +\] +with an iterated boundary connected sum, with the natural markings on +its boundary factors. Fill every noncentral boundary factor by the +corresponding $J_v$ of Lemma~\ref{ct:fillings}. The resulting manifold +$U_L^+$ has boundary $S$ and admits the description +\begin{equation}\label{ct:filled-sum} + U_L^+\cong D_e\mathbin{\#} + \mathop{\#}_{0<|v|\leq L}(D_v\cup_S J_v). +\end{equation} +To see this description, retain the connecting three-balls in the +boundary-sum construction. Gluing a punctured filling to a noncentral +factor closes that factor away from its connecting ball and turns the +connecting boundary neck into an interior connected-sum neck. Repeating +this one factor at a time gives \eqref{ct:filled-sum}. + +It follows that $\pi_1(U_L^+)=H$, with the central boundary marking. +On $\pi_1(U_L)$ the inclusion is the projection of the free product of +the chamber groups onto its central factor. The universal cover of +$U_L^+$ has reduced homology only in degree two, freely based over +$\Z H$ by all the chamber sphere systems, including stabilizations. +Its intersection form is their orthogonal hyperbolic sum. These facts +also follow directly by lifting the connected-sum necks in +\eqref{ct:filled-sum}; all the closed noncentral factors are simply +connected and have precisely the middle classes computed above. + +For an integer $R$, replace every standard neighborhood in $\mathcal B$ +whose label belongs to a chamber $|v|\leq R$ by a four-ball. Call this +operation \emph{peeling}. The common boundary is a standard $S^3$. +There is a continuous pinch map from each old neighborhood to the new +ball, fixed on that boundary, and these maps combine with the identity +outside to a global pinch map. Both pieces and the common boundary are +simply connected, so peeling preserves the fundamental group. The +relative homology sequence deletes exactly the hyperbolic pair carried +by that neighborhood and introduces no third homology. + +We first perform this operation in the unbounded $Y$, obtaining $Y_R$. +For $L$ large enough to contain the selected neighborhoods and all their +marking homotopies, it also defines a compact manifold +\[ + Z=Z_{R,L} +\] +by peeling $U_L^+$. The order of filling and peeling is immaterial +because the standard neighborhoods are in the interior. The included +homotopies identify the removed summands with exactly the chamber pairs +labelled by $|v|\leq R$. We have therefore proved +\begin{equation}\label{ct:Z-homology} + \partial Z=S,\qquad \pi_1 Z=H,\qquad + \widetilde H_i(\widetilde Z;\Z)=0\quad(i\ne2), +\end{equation} +and $H_2(\widetilde Z;\Z)$ is freely based by the projected chamber +pairs with $R<|v|\leq L$, with their orthogonal hyperbolic form. + +\subsection{Uniform finite preparation} + +A compact object is \emph{carried within $b$ galleries of $v$} if its +image is contained in chambers whose labels are within word distance +$b$ of $v$. Replacement balls are assigned the carriers of their old +standard neighborhoods. We use this terminology for sphere maps, +paths, homotopies and grope systems, including all their caps. A +uniform propagation bound is one value of $b$ valid for the whole +labelled family. It is stronger than a bound after an unspecified +permutation of the labels. + +\begin{lemma}[Finite preparation]\label{ct:preparation} +Fix a positive integer $h$. In $Y_R$, the projected pairs of +$\mathcal A$ labelled by $|v|>R$ admit the following preparation, with +propagation bounded independently of $R$: +\begin{enumerate} +\item The two halves are represented by framed immersed spheres + $a_i,b_i$ with $a_i\cap b_j$ consisting of the designated single + point for $i=j$ and empty for $i\ne j$. +\item The remaining intersections among the $a_i$ are paired by + framed Whitney discs. Each Whitney disc is replaced by a + properly immersed capped grope of height at least $h$ with the + same framed attaching region. +\item These gropes have the Clifford dual capped surfaces used in + \cite[Definition~3.1 and Lemma~4.1]{PRT}. In particular, their + caps miss the \emph{entire} dual capped surfaces, and the bodies + of the latter lie in a boundary collar of the complement of the + $a_i$. +\end{enumerate} +The construction uses no complementary filling $J_v$. Beyond a fixed +gallery distance from the peeling region, it can be carried out +separately inside individual chambers. +\end{lemma} + +\begin{proof} +First project the outer immersed systems through the pinch and put them +in general position. The deleted and retained blocks were orthogonal, +since their classes agree with the correspondingly labelled standard +pairs. The retained forms and quadratic self-intersection data are +therefore still hyperbolic over $\Z\pi_1(Y_R)$. Choose framed immersed +representatives and cancel the algebraic intersection pairs. The +framing corrections and, where necessary, local cusp changes can be +chosen from finitely many local drawings. The group in question is a +free product of free chamber groups, hence is torsion-free; there is no +order-two ambiguity in these quadratic data. + +We justify carefully the uniformity of the Whitney discs required at +this and subsequent finite stages. The initial lifted data have +finitely many types under a cocompact group of translations of $Y$. +A gallery ball of fixed radius contains a uniformly bounded number of +chambers and of pieces of those data. There are thus finitely many +local templates, even after specifying which of the standard +neighborhoods meeting that ball have been peeled. Paths on participating +spheres are taken inside their bounded carriers. Common long whiskers +conjugate an intersection label but need not be included in the +geometric Whitney circuit. + +If a circuit enters a replacement ball, move its portions there to +chosen arcs on the boundary three-sphere. This gives a circuit in the +unpeeled space. Nullity is unchanged, since both the deleted +punctured $S^2\times S^2$ and the replacement ball are simply connected +and have simply connected boundary. For every null circuit among the +finitely many resulting templates, choose one compact filling in $Y$. +There is a finite maximum of their propagation bounds. Translate the +chosen filling to the location of the circuit and apply the actual +global pinch map. This constructs a filling in $Y_R$. + +A filling may encounter additional peeled neighborhoods. No further +choice of fillings is then needed: the global pinch is already defined +on them, and each such neighborhood has the same bounded carrier. +Consequently this procedure is uniform in $R$. It is a finite-template +argument for the specified circuits, not a bound for arbitrary null +loops. Repeating a fixed finite number of stages preserves the +argument: enlarge the carrier radius and refine the finite template +list at each stage. + +Now apply the geometric Casson lemma to the two halves of the sphere +system, removing the paired mixed intersections by regular homotopies. +There is no iterative repair cascade here. Use the local construction +of \cite[Lemma~3.3]{PRT} with the two surface arguments taken to be the +entire possibly disconnected families. Preselect all framed pairing +Whitney discs with disjoint boundaries; their interiors miss the other +Whitney boundary arcs by $2+1<4$ general position. First push the first +family off all these interiors by fingers along arcs in the Whitney +discs. Choose the arcs away from their finitely many intersections +with other Whitney discs and the second family. The finger supports +then leave the other Whitney discs and attaching boundaries fixed. +Next Whitney-move the second family using the same discs. The new +intersections in each phase are only within that phase's family; +intersections between Whitney interiors cause only allowed +second-family intersections. Thus the whole batch stays in the +original bounded Whitney neighborhoods. No later disc is transported +or chosen again through an expanding sequence of carriers. Local +finiteness permits these bounded batches on the unbounded $Y_R$. +This produces the geometric duality in (1), while permitting +self-intersections within either half. The remaining double points +of the first half admit framed Whitney discs. Tube their interiors +off the first-half spheres using the geometric duals. All the +Whitney circuits involved are the null circuits just discussed. + +For completeness, we verify the algebraic input to the grope preparation +in the complement $M_0$ of small plumbed neighborhoods of the $a_i$. +The punctured geometric dual $b_i$ bounds an $a_i$-meridian in $M_0$. +Since these meridians normally generate the kernel, inclusion induces +$\pi_1M_0\cong\pi_1Y_R$. Thus the following calculation retains all +intersection labels in the required complement group ring. + +At one point of every paired double point take its Clifford torus. +Cap its two basis curves by standard meridional discs and tube each +meridional disc off its incident $a_i$-sheet into a punctured parallel +of $b_i$, with the product framing. Denote these caps by $C_\ell$, +and let $i(\ell)$ be the index of the dual used. Their equivariant +intersection calculation is the Clifford-cap calculation in the proof +of \cite[Section~5]{PRT}. The local meridional pieces have disjoint +interiors. Choose the thin tubing tracks away from the finitely many +other designated dual points; local changes of tracks introduce only +oppositely signed points with the same group label. The remaining +intersections are those between the corresponding based parallels of +$b_{i(\ell)}$. Hence their sums are obtained from the pairings of the +$b_i$ by the basing units and orientation signs. Likewise, a cap's +self-intersection sum is that of its framed $b_i$ parallel, together +with cancelling local terms. Since the mixed Casson regular homotopies +preserved $\lambda(b_i,b_j)=0$ and $\mu(b_i)=0$, this proves +\[ + \lambda(C_\ell,C_m)=0,\qquad \mu(C_\ell)=0 + \quad\text{for every }\ell,m, +\] +including distinct parallel caps using the same dual sphere. + +The Clifford bodies lie in a boundary collar of $M_0$. Following +\cite[Section~5]{PRT}, contract temporary parallel copies and push the +Whitney discs off those contractions before using them as geometric +dual spheres. At the remaining intersections with Whitney discs, +tube the Clifford caps into parallel copies of these temporary duals. +Lemma~4.1 of \cite{PRT} +now applies with its full cap-pairing hypothesis. Its two separation +batches and height raising provide the prepared Clifford copies, +whose entire capped surfaces are geometrically dual in the sense of +\cite[Definition~3.1]{PRT}. These prepared copies, including all their +caps, are the protected surfaces used from this point onward. +The preparation in \cite[Lemma~4.1]{PRT} produces height-two Whitney +gropes, separates their caps from the protected Clifford caps, and +raises the height to $h$. The collar levels and the full dual-cap +disjointness are part of this preparation, not an assertion made after +the caps have been changed. +There are exactly two cap-family separation batches before height +raising. Each uses the same no-new-mixed-pairs invariant, with its +protected bodies at fixed collar levels. + +Each of the operations before height raising involves only a fixed +number of kinds of tubing, push-off, Whitney-disc choice and regular +homotopy. Their simultaneous use does not require traversing the +whole list of sphere components. At each fixed stage, bounded +carriers and finite drawings bound the number of other carriers +meeting a given one. Divide the operations into finitely many +classes with disjoint enlarged carriers and perform one class at a +time. This gives a number of local stages independent of $R$. +New null circuits are handled by the finite-template procedure above. + +For height raising there is also an explicit size estimate: +\cite[Section~2.8.3]{FQ}, in the January 2013 numbering, bounds the +increase of component-image diameter by a factor of seven at each +step. A fixed requested height therefore has a fixed propagation +bound. One can apply this estimate to the gallery map into the +Davis complex: extend that map over each replacement ball by coning +its boundary image inside a metric ball of uniformly bounded radius. +This is possible by CAT(0) convexity. A point in a chamber is mapped +within a fixed distance of its label, and properness of the Coxeter +action turns a fixed metric bound into a fixed word-distance bound. +The construction uses parallel transverse gropes and +neighborhood operations; it preserves the protected Clifford capped +surfaces. All these operations can be made locally finite in the +unbounded development. + +Finally, outside a fixed buffer of the peeling region the input is +the original system in an individual chamber. Its intersection +cancellations hold already over that chamber's group ring. The same +preparation, including the null discs, can consequently be chosen in +that chamber. Only a bounded buffer of the switch between the +peeled and unpeeled data requires the preceding translated templates. +This proves the last assertion and permits later truncation without +cutting off an unfinished preparation. +\end{proof} + +\subsection{Directions at infinity} + +Let $\Sigma_C$ be the ordinary Davis complex and let $o$ be its vertex +labelled by $e\in C$. The gallery map of Lemma~\ref{rf:davis-map} sends +the inner part of $D_v$ to $v$, interpolating across the dual collars. +The link of $o$ is $S$. A small metric sphere of radius $t$ about $o$ +is consequently identified with $S$ by radial scaling in its conical +star. Write $\rho$ for radial projection onto this sphere, defined +outside the open ball of radius $t$. + +\begin{lemma}[Small directions and the central marking]\label{ct:directions} +Fix a propagation bound $b$. For objects carried within $b$ galleries +of labels $v$ with $|v|\to\infty$, their direction images in $S$ have +diameter tending uniformly to zero. This assertion continues to hold +after peeling for the whole region of bounded propagation around the +outer systems, if $R$ is sufficiently large. + +Let $\beta:S\to BH$ be the central boundary marking. On that region, +the homomorphism induced by the direction map followed by $\beta$ +agrees, up to the common change of base path, with inclusion into +$Z$ followed by its classifying map. In particular, every loop in an +image system whose entire direction image lies in a contractible +patch of $S$ is nullhomotopic in $Z$. +\end{lemma} + +\begin{proof} +Here is the radial estimate that supplies the first assertion. If +$x,y\in\Sigma_C$ have distance at least $s>t$ from $o$, put them first +on the same metric sphere, of radius the smaller of their two radii. +The distance between the resulting points is at most $2d(x,y)$, +by the triangle inequality and +$|d(o,x)-d(o,y)|\leq d(x,y)$. CAT(0) comparison on the two radial +segments then gives +\begin{equation}\label{ct:radial-estimate} + d(\rho(x),\rho(y)) + \leq \frac{2t}{s}\,d(x,y). +\end{equation} +The gallery map takes each chamber into a set of uniformly bounded +diameter. Thus a bounded gallery carrier has bounded image diameter. +Properness of the Davis complex, together with its cocompact Coxeter +action, makes its distance from $o$ tend to infinity with the word +length of its center. Equation~\eqref{ct:radial-estimate} applies. + +We only need the direction map outside the central core. Consider a +peeled standard neighborhood that meets an outer object or any of +its fixed enlarged carriers. Both the object and the whole standard +neighborhood have bounded propagation. The label of this neighborhood +therefore has length at least $R$ minus a fixed constant. Its entire +boundary three-sphere, not merely the arcs encountered by the object, +has direction image of arbitrarily small diameter for large $R$. +Choose a slightly larger coordinate ball of $S$ containing this image. +Contracting that ball extends the boundary map across the replacement +four-ball, with image still in the chosen ball. These extensions +agree with the unchanged direction map on all their boundaries. + +The near-central peeled neighborhoods need not admit such small +extensions. They are disjoint from all the carriers under consideration +once $R$ is large, and no direction map on them is used. This proves +the asserted far-out extension and its uniform smallness. + +Before peeling, the composition with $\beta$ extends across the +central chamber by its given map to $BH$. Its restriction to the +central boundary agrees with that map: this is the boundary-direction +identification in Lemma~\ref{rf:davis-map}. In a noncentral chamber +the gallery map collapses its inner part to the noncentral vertex, +so every loop of its chamber group has constant direction there. +The shelling description makes the chamber groups the free factors +of the fundamental group of a finite ball of chambers. The induced +homomorphism is thus exactly the projection retaining the central +factor. By \eqref{ct:filled-sum} this is also the homomorphism induced +by passage to $U_L^+$. + +Replacing a simply connected piece by a simply connected ball does +not alter this calculation. Loops through the replacement can be +moved to the boundary of the piece, and the direction extension +agrees there with the old map. The comparison therefore holds on +the required region in $Z$. If a whole image system maps into a +contractible patch, every one of its loops, including loops passing +through arbitrarily many intersections, has trivial image under +$\beta$. Since $BH$ is a classifying space and $\pi_1Z=H$, these +loops are nullhomotopic in $Z$. +\end{proof} + +\subsection{Upper grope separation} + +We state explicitly how the controlled data supply the input used +after the good-group step of the disc embedding proof. The units to +be separated are the upper capped subgropes attached to individual +tips of the retained stages. Separating only whole Whitney gropes +would not suffice to make the future cap discs mutually disjoint. + +\begin{lemma}[Null upper replacements]\label{ct:upper-replacement} +Suppose a finite prepared Whitney-grope system as in +Lemma~\ref{ct:preparation} has at least eight surface stages. Retain +its first five stages. Suppose the upper capped subgropes, of height +at least three, have uniformly small direction images in the region +of Lemma~\ref{ct:directions}. If their diameters are sufficiently +small, depending only on a fixed finite coordinate cover of $S$, the +upper subgropes can be replaced by mutually disjoint framed immersed +cap discs. Their self-intersection loops are nullhomotopic in $Z$. +The retained stages and the entire protected Clifford capped +surfaces remain unchanged. +\end{lemma} + +\begin{proof} +We first specify the relative setting. Remove a sufficiently small +regular neighborhood of the five retained stages, truncating each upper +attaching collar at its boundary. The upper components are now properly +immersed disk-like capped gropes of height at least three. By the duality +condition in Lemma~\ref{ct:preparation}, their entire images miss the +protected Clifford capped surfaces. Choose a neighborhood of the upper +system disjoint from those surfaces and from the retained stages except +at the prescribed attaching regions. All the following modifications +are neighborhood operations in this relative manifold. They therefore +leave the lower stages, attaching framings, and whole Clifford systems +unchanged, including the unused boundary-collar levels needed later. + +We use the following precise content of Freedman--Quinn's controlled +separation lemma \cite[Lemma~2.10.1]{FQ}. For a map from a four-manifold +to a locally compact metric space, a properly immersed union of +disk-like capped gropes of height at least three, with sufficiently +small component images, admits new caps for the \emph{same bodies} +such that distinct components are disjoint and their images remain +small. Its compact-case proof separates finitely many cover collections +before separating the members of each collection +\cite[Section~2.10.2]{FQ}. We retain this two-phase construction because +we need a bound on gallery propagation only in its first phase. + +Choose compact sets $K_1,\ldots,K_q$ covering $S$, each contained in an +open coordinate ball $V_j$. Choose $\epsilon>0$ so that the closed +$\epsilon$-neighborhood of every $K_j$ lies in $V_j$. Assign each upper +component to a $K_j$ met by its direction image. If every initial image +has diameter less than $\delta$, that component lies within distance +$\delta$ of its assigned $K_j$. + +For the first phase, regard all components assigned to $K_j$ as one +collection. The construction in \cite[Section~2.10.2]{FQ} raises height +by one, contracts the added stages of the first collection and pushes +the later collections off, then continues through the collections in +order. The original bodies are retained. Its component-diameter estimate is +$3^{q-1}7^2\delta$. A point of each retained body stays within +$\delta$ of $K_j$, so the entire resulting $j$th collection lies in +the $3^{q+3}\delta$-neighborhood of $K_j$. Choose $\delta$ with +$3^{q+3}\delta<\epsilon$, leaving room for a small regular-neighborhood +thickening. The number of height-raising and contraction passes depends +only on $q$. The same size estimates apply to the gallery map into +$\Sigma_C$, extended over the replacement balls as in +Lemma~\ref{ct:preparation}. Since each original body is retained, its +image anchors the resulting component within a bounded metric distance +of the original label. Properness of the Coxeter action converts this +into a gallery bound independent of the number of components and of $R$. + +The collections now have pairwise disjoint images. Choose disjoint +regular neighborhoods of their entire images, with the $j$th +neighborhood still mapping into $V_j$. Inside each such neighborhood, +apply the collection-separation procedure again, this time taking +each individual upper component as a collection. There may be +arbitrarily many of them. The height is raised once more inside that +neighborhood before contracting the added stages, so this second +phase again retains the original bodies. No estimate depending on +their number is needed: all operations stay in the already chosen +neighborhood. The resulting upper components have pairwise disjoint +neighborhoods. Totally contract each in its own neighborhood to obtain +the claimed mutually disjoint framed immersed cap discs. + +Every loop in a resulting cap image lies in its color neighborhood, +whose entire direction image is contained in the contractible $V_j$. +Lemma~\ref{ct:directions} therefore makes that loop nullhomotopic in +$Z$. The second phase need not bound the gallery diameter of an +individual cap. It preserves instead the containment of its whole +image in a direction patch, which is exactly the condition needed +for nullity. +\end{proof} + +\subsection{Choice of parameters and the tower construction} + +Fix the coordinate cover in Lemma~\ref{ct:upper-replacement}. Request +height eight in Lemma~\ref{ct:preparation}. Its uniform propagation +bound, together with the bounds for the standard neighborhoods and +marking homotopies, controls the entire preparation near the peeling +boundary. The first phase of upper separation adds only the fixed +height extension and $q$ collection passes described above. Let $b$ +bound the gallery propagation of all these operations, independently +of $R$. Choose $R$ so large that the direction estimates of +Lemma~\ref{ct:directions}, including the replacement-ball extensions, +meet the chosen cover margins for every such carrier. + +We now truncate the prepared family, before carrying out the +collection-separation operations. Choose $L$ large enough to contain +every peeled standard neighborhood and its marking homotopies, and +the whole $b$-buffer around the transition between peeled and +unpeeled data. Beyond that buffer, Lemma~\ref{ct:preparation} constructs +the sphere and Whitney-grope data entirely inside their own chambers, +using their chamber group-ring pairings. Retain precisely the planes +whose labels satisfy $R<|v|\le L$, together with their complete +preparations. The preparations at the outer boundary lie in chamber +interiors, so none has a partner or an attaching region outside +$U_L$. This gives a finite family in the peeled copy of $U_L$, before +any complementary filling is used. + +Cap its noncentral boundary factors to form $Z=Z_{R,L}$. Apply the +first phase of +Lemma~\ref{ct:upper-replacement} to this finite family. All of its +operations can be made in arbitrarily small neighborhoods of the +retained upper system inside that peeled region; the bound $b$ supplies +the direction +margins independently of the truncation. Apply the second phase inside +the resulting disjoint color neighborhoods. Neither phase requires +an enlargement of $L$ or uses the complementary fillings. The second +phase supplies the immersed null-loop caps without a uniform gallery +bound on their individual images. + +Write +\[ + M'=Z\setminus\bigcup_i\operatorname{int}\nu(a_i) +\] +for the complement used in the Whitney construction. The spheres +$a_i$ may still be immersed; the notation denotes their standard +plumbed neighborhoods. The prepared geometric dual spheres imply +\begin{equation}\label{ct:complement-group} + \pi_1(M')\xrightarrow{\ \cong\ }\pi_1(Z). +\end{equation} +Indeed the kernel of the inclusion map is normally generated by +meridians of the $a_i$, and the punctured dual spheres bound these +meridians in the complement. General position supplies surjectivity. +This is the usual $\pi_1$-negligibility provided by geometric duality. + +The new caps therefore have null double-point loops in $M'$, not +just in $Z$. They are mutually disjoint, although each may have +self-intersections. Direction control has now supplied the needed +fundamental-group condition. The remaining constructions require that +condition and the protected geometric duals, but no bound on the +diameter of the null homotopies. Symmetrically contract the fifth retained +surface stage. The result is a height-four capped Whitney grope +system, still with mutually disjoint caps. Its cap +self-intersections occur in algebraically cancelling pairs, and +their loops are parallel copies of the previous null loops. This +is exactly the intermediate input in the proof of +\cite[Lemma~4.2]{PRT}, after that proof has used goodness. The +retained Clifford capped surfaces are still geometrically dual in +the stronger sense of \cite[Definition~3.1]{PRT}. + +We explain why the remainder of that proof applies without any +assumption on $H$. Cap the null double-point loops by immersed +discs in $M'$. The bodies of the Clifford capped surfaces lie at +the protected boundary-collar levels. The attaching loops of the +new discs miss that collar, so the null homotopies can be chosen +to miss the Clifford \emph{bodies} by pushing them out of the +collar. They may meet the Clifford caps and may meet the Whitney +gropes arbitrarily. Correct their boundary framings, push their +intersections with the gropes down, and tube into geometrically +dual spheres obtained by contracting suitable parallel copies of +the Clifford systems. These operations produce the tower caps. +At the next collar level, contract the remaining Clifford capped +surfaces and push the tower caps off those contractions. The +resulting spheres are geometric duals to the one-storey capped +towers. These are the successive operations in the remainder of +the proof of \cite[Lemma~4.2]{PRT}; no subsequent step uses goodness. + +One-storey capped towers with four surface stages contain the +embedded discs required for the Whitney moves, with the same +framed attaching regions. Applying the final steps of +\cite[Section~5]{PRT}, first move the original sphere duals off the +towers by tubing into the tower duals. Then use the embedded +Whitney discs to remove the intersections of the $a_i$. We obtain +disjoint framed embedded representatives of their original +Lagrangian classes, together with geometric transverse spheres. +The changes of upper caps do not change the retained Whitney +attaching data or the corrected sphere classes. In particular, +the symmetric-contraction independence of cap choices in +\cite[Lemma~3.4]{PRT} applies at the retained stages. + +There is deliberately no assertion that the null homotopies, the +tower caps, or the final embedded Whitney discs have small gallery +diameter. From \eqref{ct:complement-group} onwards they may range +throughout $Z$. Only their existence, their relative attaching +data, and the geometric duals are needed. + +\Needspace{7\baselineskip} +\begin{proposition}[Removal of the remaining planes]\label{ct:removal} +The compact manifold $Z$ admits interior surgeries producing a +compact oriented topological four-manifold $V$ with boundary $S$, +fundamental group $H$, and contractible universal cover. The +boundary map to $BH$ is the original central marking. +\end{proposition} + +\begin{proof} +Perform surgery on the disjoint framed Lagrangian spheres just +constructed. Their geometric duals kill the meridians in their +complement, so the surgeries preserve the fundamental group. +All changes are in the interior; the boundary and its marking are +unchanged. + +For clarity, let there be $m$ remaining planes and let $W$ be the +five-dimensional surgery trace. With regular $\Z H$ coefficients, +the relative chain complex of $(W,Z)$ is concentrated in degree +three, with module $(\Z H)^m$. Its boundary map to +$H_2(Z;\Z H)$ sends the basis to the Lagrangian basis. By +\eqref{ct:Z-homology} this is a split injection. Consequently +\[ + H_3(W;\Z H)=0,\qquad + H_2(W;\Z H)\cong(\Z H)^m, +\] +the latter module represented by the dual half, and the other +positive-degree homology groups vanish. Read the same trace from +$V$. Its relative chain complex is concentrated in degree two, +again with module $(\Z H)^m$. The map +\[ + H_2(W;\Z H)\longrightarrow H_2(W,V;\Z H) +\] +is the pairing of the surviving dual classes with the surgered +Lagrangian, hence is an isomorphism. The sequence of $(W,V)$ +therefore gives $H_i(V;\Z H)=0$ for every $i>0$. + +The universal cover of $V$ is simply connected and acyclic. A +topological manifold has CW homotopy type~\cite[Corollary~1]{MilnorCW}; +in the boundary case one may first append an exterior open collar, +which does not change homotopy type. The homological Whitehead theorem +therefore makes this universal cover contractible +\cite[Corollary~4.33]{Hatcher}. Thus $V$ is a $K(H,1)$ and is homotopy equivalent +to the finite graph $BH$. Under this equivalence its boundary +map is the retained central marking, as asserted. +\end{proof} + +The manifold $V$ is the marked graph-type filling excluded by +Proposition~\ref{ch:chamber}. This contradiction rules out the hypothetical +closed aspherical topological four-manifold and completes the proof +of Theorem~\ref{thm:main}. diff --git a/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/reflection.tex b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/reflection.tex new file mode 100644 index 0000000000000000000000000000000000000000..49148e3e8b34ddb829875a203898bfc28577295a --- /dev/null +++ b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/reflection.tex @@ -0,0 +1,427 @@ +\section{Reflection and the duality group} +\label{rf:section} + +We now close the chamber without losing its labelled middle-dimensional +classes, using the reflection framework of Davis +\cite[Sections~13 and~15, especially Remark~15.9]{Davis1983}. +A second construction will give the resulting group a proper +cocompact action on a CAT(0) space. These are different developments: +the first retains the four-dimensional chambers, whereas the second is +used only for the assembly theorems. + +The input from Proposition~\ref{ch:chamber} is a compact connected oriented +smooth four-manifold $D$, with connected boundary $S$ and free fundamental +group $H$, together with a map of pairs +\[ + (D,S)\longrightarrow(P,S). +\] +Here $D$ has the homotopy type of a finite graph with finitely many +two-spheres, its $\Z H$-intersection form has a specified framed +hyperbolic basis of $k$ planes, and $P$ is obtained by attaching +three-cells along all $2k$ basis spheres. The pair $(P,S)$ is an +oriented Poincar\'e pair of dimension four and $P\simeq BH$. +The map on fundamental groups is the given identification with $H$. +We use a collar on $S$ in both spaces, inserting a mapping cylinder +on the $P$ side if necessary. + +By Corollary~\ref{ch:boundary-homology}, the boundary map +$\pi_1(S)\to H$ is surjective. In particular its associated cover of +$S$ is connected. + +\subsection{Panels and finite developments} +\label{rf:panels} + +Choose a finite flag triangulation $\mathcal L$ of $S$, for example a +barycentric subdivision of a smooth triangulation. Write $V$ for its +vertex set and $S_s$ for the closed dual block of $s\in V$ in the +barycentric subdivision. These blocks are three-dimensional panels. +For nonempty $T\subseteq V$, the intersection $S_T=\bigcap_{s\in T}S_s$ is nonempty exactly when +$T$ spans a simplex of $\mathcal L$; in that case it is a ball of +dimension $4-|T|$. Collar neighborhoods of these intersections have +the usual orthant structure. + +Let +\[ + C=\left\langle s\in V\ \middle|\ s^2=1,\quad + st=ts\text{ whenever }\{s,t\}\in\mathcal L\right\rangle +\] +be the right-angled Coxeter group. For a collared space $B$ with these +panels in its boundary, its development is +\[ + \begin{gathered} + \mathcal U(C,B)=(C\times B)/\sim, + \qquad T(x)=\{s:x\in S_s\},\\ + (c,x)\sim(c',x)\quad\Longleftrightarrow\quad + c^{-1}c'\in C_{T(x)}. + \end{gathered} +\] +Here $C_T$ is the subgroup generated by $T$ and $T(x)=\varnothing$ +off the boundary. Each chamber embeds: the equivalence relation never +identifies different values of $x$. For nonempty $T(x)$ the subgroup +$C_{T(x)}$ is $(\Z/2)^{|T(x)|}$, and its sectors fill the corresponding +orthant neighborhood. + +We use the elementary Coxeter word facts that special subgroups embed, +a finite special coset has a unique shortest element, and the right +descent set +\[ + \operatorname{Des}(c)=\{s\in V:|cs|<|c|\} +\] +is a clique. These follow from the right-angled reduced-word rule of +commuting adjacent commuting letters and cancelling equal consecutive +letters; see also \cite[Chapters~4--5]{Davis}. + +\begin{lemma}[Labelled finite developments] +\label{rf:shelling} +Put $Y=\mathcal U(C,D)$ and let $D_c$ be its chamber with label $c$. +Order $C$ by nondecreasing word length, breaking ties arbitrarily. +Every finite initial segment containing the identity is, after rounding +its collar corners, an iterated boundary connected sum of its chambers. +In particular +\[ + U_L=\bigcup_{|c|\leq L}D_c +\] +is a compact manifold with boundary the connected sum of the corresponding +copies of $S$. Its fundamental group is the free product of their +chamber groups. The same statements hold if any chambers have been +stabilized in their interiors. +\end{lemma} + +\begin{proof} +The part of a new chamber $D_c$ already present is exactly +\begin{equation} + \label{rf:incoming} + A_c=\bigcup_{s\in\operatorname{Des}(c)}S_s. +\end{equation} +To verify the possible equal-length overlaps, consider a point with +panel set $T$. Its incident chambers are the special coset $cC_T$. +Write $a$ for the shortest element of that coset. Its members have +the form $a\prod_{s\in J}s$, with $J\subseteq T$, and length +$|a|+|J|$. If a distinct incident chamber occurs no later than $c$, +then $c$ is not the shortest member, so it has a descent in $T$. +This places the point in \eqref{rf:incoming}. The converse follows +from the shorter adjacent chamber across each descent panel. + +The set in \eqref{rf:incoming} is a three-ball. More generally a union +of dual panels indexed by a nonempty simplex is a ball. One proves +this by adding its panels one at a time. A new panel is a ball, and +its intersection with the preceding panels is the corresponding union +of dual panels in its boundary link. Induction on dimension makes +that intersection a ball of one lower dimension. The dual-block +coordinates give the product collars needed to glue the two balls. +This argument also applies to panels in any simplicial cover of $S$. + +It remains to check that $A_c$ is a ball in the \emph{boundary} of the +preceding union. Contractibility alone would not establish the claim. +At a face incident to $q$ panels, label the $2^q$ local orthants by +subsets of those panels, starting at the shortest incident chamber. +The already present orthants form a Boolean downset $I$: every proper +subset of a present subset has smaller word length. This remains true +with arbitrary choices within a length tie. + +When $I$ is nonempty and proper, its frontier is a PL hypersurface. +For an explicit verification, write local coordinates as +$x=u+t(1,\ldots,1)$ with $\sum u_i=0$, and label an orthant by its +positive coordinates. Its union is described by +\[ + t\leq f(u),\qquad + f(u)=\max_{A\text{ maximal in }I}\ + \min_{i\notin A}(-u_i). +\] +The function $f$ is finite, continuous, and piecewise linear. Hence +the frontier is locally a graph. Along the incoming faces some sectors +are present and the new chamber sector is absent, so these faces lie +on this frontier. The panel identifications are PL, and the embedded +incoming three-ball has locally flat boundary in this three-manifold +frontier. Gluing the new chamber along it is therefore a boundary +connected sum, after rounding. Induction proves the manifold and +boundary assertions. Van Kampen gives the labelled free product, +and interior stabilizations do not affect any collar argument. +\end{proof} + +\subsection{The universal development} +\label{rf:universal} + +Let +\[ + \Delta=\ker\bigl(C\longrightarrow(\Z/2)^V\bigr), +\] +where each generator maps to its own coordinate vector, and define +\[ + N=\Delta\backslash\mathcal U(C,D),\qquad + Q=\Delta\backslash\mathcal U(C,P). +\] +The parity map is injective on every finite special subgroup. +Thus $\Delta$ has trivial intersection with every point stabilizer +in either development. The quotient has finitely many chambers. +For $D$ the orthant charts show that $N$ is a closed four-manifold. +Give chamber $c$ the orientation $(-1)^{|c|}$ times the chosen chamber +orientation. Adjacent chamber orientations fit across a panel, and +$\Delta$ preserves them. Thus $N$ is oriented. The same convention +orients the reflected Poincar\'e pairs. + +Let $\widehat S\to S$ be the connected cover determined by +$\pi_1(S)\to H$, with lifted triangulation $\widehat{\mathcal L}$. +This is a flag triangulation. Indeed, the vertices of a lifted clique +project to distinct pairwise adjacent vertices downstairs. They span +a simplex there; lifts of its edges, and of its triangular relations, +place all the vertices in one lift of that simplex. Denote by +$\widehat C$ the right-angled Coxeter group on +$\widehat{\mathcal L}$. The deck action of $H$ permutes its generators. +Forgetting the lift gives an $H$-invariant homomorphism +$q:\widehat C\to C$, and hence a surjection +\begin{equation} + \label{rf:group} + \begin{gathered} + \rho:\widehat C\rtimes H\longrightarrow C, + \qquad \rho(\widehat c,h)=q(\widehat c),\\ + G=\rho^{-1}(\Delta). + \end{gathered} +\end{equation} + +Let $\widetilde P$ be the universal cover of $P$, with boundary +preimage $\widehat S$ and its lifted panels. On +$\widehat Q=\mathcal U(\widehat C,\widetilde P)$ the action is +\[ + (\widehat c,h)[\widehat d,x] + =[\widehat c\,h(\widehat d),hx]. +\] +The map $[\widehat d,x]\mapsto[q(\widehat d),\overline x]$ descends +to the ordinary development. On a chamber interior it is the usual +covering map. At a boundary point it is also a covering map: the +lifted panel set maps bijectively to its downstairs panel set, and +the corresponding finite special groups map isomorphically. These +local charts identify $\widehat Q/G$ with $Q$. The action of $G$ is +free: if an element fixes a point, its $H$-component fixes the chamber +coordinate and is therefore trivial, after conjugating the chamber +label; the remaining stabilizer is a lifted finite special group, +on which $\rho$ is injective and whose image misses $\Delta$. + +The space $\widehat Q$ is contractible. Filter its chambers by word +length in $\widehat C$. The first chamber $\widetilde P$ is +contractible. Every further chamber meets the shorter ones in the +nonempty ball of its descent panels, by the argument of +Lemma~\ref{rf:shelling}. Its attachment is therefore a homotopy +equivalence. In an infinite word-length layer, new interiors are +disjoint and their mutual intersections already lie in shorter layers. +All these attachments may be performed simultaneously. The CW +direct limit is weakly contractible and hence contractible. This +proves, in particular, that $Q$ is a finite $K(G,1)$. + +\begin{proposition}[The reflected pair] +\label{rf:development} +The space $Q$ is a finite oriented Poincar\'e complex of dimension four. +The natural map $f:N\to Q$ has degree one and induces an isomorphism +on fundamental groups, identifying both with the group $G$ in +\eqref{rf:group}. If $b$ is the total number of chamber hyperbolic +planes in $N$, then +\[ + \pi_2(N)\cong(\Z G)^{2b} +\] +has the specified orthogonal hyperbolic basis, and +$\widetilde H_i(\widetilde N;\Z)=0$ for $i\ne2$. +The group $G$ is finitely presented, is torsion-free, and satisfies +\begin{equation} + \label{rf:pd} + H^i(G;\Z G)=0\quad(i\ne4),\qquad + H^4(G;\Z G)\cong\Z +\end{equation} +with trivial right $G$-action. +\end{proposition} + +\begin{proof} +Use the same universal development with $\widetilde D$ in place of +$\widetilde P$. The preceding covering argument is unchanged. +The first chamber is simply connected; attaching subsequent simply +connected chambers along balls shows that this development is the +universal cover $\widetilde N$. Its reduced homology is the direct +sum of the chamber reduced homologies, each concentrated in degree two. +There are finitely many chamber orbits in $N$. For each one, induction +from its chamber subgroup gives +\[ + \Z G\otimes_{\Z H}\pi_2(D) + \cong (\Z G)^{2k}. +\] +The spheres lie in chamber interiors, so different chambers are +orthogonal. Within a chamber the form is its given $\Z H$-form, +extended to $\Z G$. Reversing one vector in a plane absorbs any +chamber orientation sign. This gives the asserted basis and form. + +The construction of $P$ attaches exactly the indicated three-cells +away from the boundary. Consequently $Q$ is obtained from $N$ by +attaching three-cells on this entire middle basis. It follows at +once that $f$ induces the displayed identification of fundamental +groups. These attachments split off a nonsingular middle summand +in both absolute and relative duality: on homology they quotient +by the sphere summand and on cohomology they restrict to its +annihilator. With $[Q]=f_*[N]$, naturality of cap product identifies +the surviving duality maps with those of $Q$. The finite free chain +criterion therefore gives Poincar\'e duality for $Q$, just as for the +chamber pair. Equivalently one may glue the chamber duality maps +across the manifold collar sectors, where the orientations cancel +in pairs. The top fundamental class is unchanged, so $f$ has degree +one. + +For clarity, the regular-coefficient calculation is particularly +short. In the cohomology sequence for these three-cell attachments, +the only potentially new map is evaluation +\[ + H^2(N;\Z G)\longrightarrow + \operatorname{Hom}_{\Z G}(\pi_2(N),\Z G). +\] +Under duality it is the adjoint of the nonsingular hyperbolic form, +and hence an isomorphism. The middle cohomology thus disappears, +whereas $H^4(Q;\Z G)=H^4(N;\Z G)=\Z$; all other degrees vanish. +The right action on this last group is trivial because the orientation +chosen above is preserved by $G$. + +Finally, finiteness and asphericity of $Q$ give a finite presentation +and a finite free resolution of $\Z$ from the chains of $\widehat Q$. +They also give finite integral cohomological dimension, which excludes +torsion: restriction to a nontrivial finite cyclic subgroup would give +a finite projective resolution for that group, contrary to its +nonvanishing cohomology in arbitrarily high degrees. This proves +all the assertions, including \eqref{rf:pd}. +\end{proof} + +\subsection{A proper cocompact CAT(0) model} +\label{rf:assembly} + +The lifted nerve has infinitely many vertices when $H$ is infinite. +Its Davis complex alone need not give a cocompact action of the +semidirect product. The following support construction addresses this. + +\begin{lemma} +\label{rf:cat0} +The group $\widehat C\rtimes H$, and hence its finite-index subgroup +$G$, acts properly and cocompactly by isometries on a proper CAT(0) +cube complex of dimension at most five. +\end{lemma} + +\begin{proof} +Choose a locally finite tree $T$ on which the free group $H$ acts +freely and cocompactly, without inversions. For the trivial group +one may take a single vertex. Assign to each lifted-nerve vertex +$s$ a point $a_s\in T^{(0)}$, equivariantly under $H$. There are +finitely many vertex and edge orbits in the lifted nerve. Thus the +distances $d_T(a_s,a_t)$ for adjacent $s,t$ have a common finite bound. +Choose an integer $r$ large enough that the closed radius-$r$ subtrees +$T_s$ about $a_s$ intersect for every such pair. + +For a vertex $v$ and an edge $e$ of $T$, put +\[ + A_v=\{s:v\in T_s\},\qquad + A_e=\{s:e\subset T_s\}. +\] +These sets have uniformly bounded finite size: there are finitely many +generator orbits, and a fixed-radius ball in the free cocompact tree +contains uniformly finitely many orbit points. Let $W_v$ and $W_e$ +be the special subgroups of $\widehat C$ generated by $A_v$ and $A_e$. +For $e=[v,w]$ we have $A_e=A_v\cap A_w$, so the edge maps are special +subgroup inclusions. + +The graph of groups over the tree $T$ has colimit $\widehat C$. +Indeed, occurrences of a generator $s$ are identified precisely over +its connected support $T_s$. Every defining commutation of +$\widehat C$ occurs in some vertex group, because the two supports +intersect at a vertex. Conversely, each vertex group uses the +\emph{induced} subgraph of the lifted nerve, and so introduces no +additional relation. The resulting presentation is exactly the +right-angled presentation of $\widehat C$. All the edge maps are +injective, as are the maps of these special subgroups into +$\widehat C$. + +Let $\Sigma_v$ and $\Sigma_e$ be the Davis cube complexes of these +finite-generator right-angled groups. They are CAT(0), and the special +subcomplexes $\Sigma_e\subset\Sigma_v$ are convex in the standard +piecewise Euclidean cube metric. The CAT(0) assertion is +\cite[Theorem~12.2.1(i)]{Davis}; special-subgroup metric convexity is +\cite[Appendix, Proposition~A.2]{Swiatkowski}. +Form a tree of spaces with vertex spaces +$\widehat C\times_{W_v}\Sigma_v$ and edge cylinders +$\widehat C\times_{W_e}(\Sigma_e\times[0,1])$. +Its underlying tree is the Bass--Serre tree, whose vertices and edges +are the cosets $\widehat cW_v$ and $\widehat cW_e$, with their +indicated labels in $T$; it is not simply the original support tree. +Glue each cylinder at its endpoints by the special-subcomplex maps. +Convex gluing gives a CAT(0) space over every finite subtree, preserving +the factors as convex isometric subspaces +\cite[Theorem~II.11.1 and Remark~II.11.2]{BH}. +One can apply this gluing first over finite subtrees and then pass +to the union; the local finiteness verified next ensures completeness. + +There is no local-finiteness problem from potentially infinite +Bass--Serre valence. In a fixed vertex Davis complex, for any one +incident support edge, translates of its special subcomplex have +vertex sets equal to the cosets of $W_e$ in $W_v$. These cosets +partition the Cayley vertices. A finite subcomplex therefore meets +only finitely many of these translates. Each support vertex has +only finitely many incident edges. Since each $\Sigma_v$ is locally +finite, the whole tree of cube complexes is locally finite. Its +cubes have unit edge lengths and uniformly bounded dimension, so +the induced length metric is proper and complete. + +Left multiplication gives the $\widehat C$-action. The equivariance +of the supports extends this to $\widehat C\rtimes H$. An element +stabilizing a vertex space projects to an element of $H$ fixing its +support vertex, and that element is trivial. Within the vertex +space its point stabilizer is therefore a finite Coxeter stabilizer. +The same reasoning applies to edge interiors. The cellular action +on this locally finite complex is proper. There are finitely many +$H$-orbits of support vertices and edges, and each corresponding +Davis complex has compact quotient by its special group. Hence +the full action is cocompact. Each clique of the lifted nerve has +at most four vertices; the vertex spaces have dimension at most four +and the edge cylinders dimension at most five. Finally $G$ has finite +index by \eqref{rf:group}, so its restricted action has all the same +properties. +\end{proof} + +It follows that $G$ satisfies the $K$- and $L$-theoretic Farrell--Jones +conjectures with coefficients: use Bartels--L\"uck +\cite[Theorem~B(ii)]{BL} and Wegner +\cite[Theorems~1.1 and~3.4]{Wegner}. In particular, because $G$ is +torsion-free, the Whitehead group, reduced $K_0(\Z G)$, and negative +$K$-groups vanish, and the simple $L$-theory assembly map is an +isomorphism in every degree; see \cite[Proposition~0.3(i)]{BL}. +These are the assembly consequences used below. No four-dimensional +rigidity or disk-embedding conclusion is being inferred from CAT(0) +geometry. + +\subsection{The gallery map} + +We finish by recording the geometric map needed in the truncation +argument. The preceding CAT(0) model supplies assembly; the map here +instead records positions and directions in the ordinary chamber +development. Let $\Sigma_C$ denote the ordinary Davis cube complex of +$C$. Its vertices are the chamber labels $C$, and the link of the +identity vertex is $\mathcal L$, whose realization is $S$. + +\begin{lemma} +\label{rf:davis-map} +There is a $C$-equivariant continuous map +\[ + \eta:Y\longrightarrow\Sigma_C +\] +which sends the inner core of each chamber to its label, respects +the panels, and has uniformly bounded image diameter on each chamber. +On the boundary collar of the central chamber its radial directions +at the identity vertex give the dual-block identification with $S$. +After interior chamber stabilizations, the same construction gives a +continuous map with the same panel, core, and diameter properties; +it is equivariant under any subgroup preserving the stabilized pattern. +\end{lemma} + +\begin{proof} +The Davis chamber is the cone on the barycentric subdivision of +$\mathcal L$, with its usual dual panels on the base. Identify that +base panelwise with $S$. Map a boundary collar of $D$ to this cone +by that identification on its outer boundary and by coning to the +apex on its inner boundary; map the remainder of $D$ to the apex. +The maps agree across reflected panels and hence define $\eta$. +Every chamber image lies in the corresponding compact Davis chamber, +whose diameter is independent of its label. At the identity apex, +radial projection of the cone base to a sufficiently small metric +sphere gives exactly its link identification. Stabilization changes +only the collapsed inner core, so does not affect the construction. +\end{proof} diff --git a/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/stable.tex b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/stable.tex new file mode 100644 index 0000000000000000000000000000000000000000..9815eacfa80c93425c075bef4533bd660cd24299 --- /dev/null +++ b/preprints/A-PD4-group-without-an-aspherical-manifold-model-September-24-2026/build/sections/stable.tex @@ -0,0 +1,397 @@ +\section{Marked stable realization}\label{st:setup} + +We now suppose, for a contradiction, that the group constructed above is +the fundamental group of a closed aspherical topological four-manifold +$M$. The preceding construction gives a finite oriented Poincar\'e +four-complex $Q=BG$ and a closed oriented manifold $N$. Write $q$ for +the map of Proposition~\ref{rf:development}: +\[ + q\colon N\longrightarrow Q +\] +which is an isomorphism on fundamental groups and has degree one. The +only reduced homology of the universal cover of $N$ is its second +homology. With $\Lambda=\Z G$, this is the free module +\begin{equation}\label{st:module} + A=\pi_2(N)\cong\Lambda^{2b}, + \qquad \lambda_N\cong\bigoplus_{a=1}^{b} + \begin{pmatrix}0&1\\1&0\end{pmatrix}. +\end{equation} +The displayed basis consists of the prescribed chamber sphere pairs. +All identifications include whiskers and orientations. Moreover, $G$ +is torsion-free, is an integral $\mathrm{PD}_4$ group, and satisfies the +$K$- and $L$-theoretic Farrell--Jones conjectures by the CAT(0) +construction. These are conclusions of the construction, not +additional assumptions on a putative realization. + +Both $Q$ and $M$ are $K(G,1)$ spaces. Their equivalence identifies the +orientation character with the action on the top dualizing module. +Consequently $M$ is orientable. Choose its orientation and its +fundamental-group marking so that its classifying map +$c_M\colon M\to Q$ has degree one, and put +\[ + L=M\mathbin{\#}\,b(S^2\times S^2). +\] +Collapsing the simply connected summands gives a degree-one classifying +map $c_L\colon L\to Q$. Identify $\pi_2(L)$ with $A$ by sending each +specified chamber pair in \eqref{st:module} to a specified standard pair +in $L$. This is an isometry of equivariant forms. We must retain this +particular isometry throughout the argument. + +\subsection{An integral marked homotopy equivalence} + +We first realize the prescribed module isometry by a homotopy +equivalence. The comparison takes place in a common second Postnikov +stage: group duality splits that stage, and integral cup-product tests +identify the two fundamental classes there. These are the inputs to +the lifting argument below. + +\begin{lemma}\label{st:second-stage} +The second Postnikov stages of $N$ and $L$, with the preceding markings, +identify over $Q$ with the split stage +\[ + B=EG\times_G K(A,2). +\] +There are maps $u_N\colon N\to B$ and $u_L\colon L\to B$ inducing the +specified identifications of fundamental and second homotopy groups. +If $\Gamma(A)=H_4(K(A,2);\Z)$, then +\begin{equation}\label{st:homology-extension} + 0\longrightarrow\Gamma(A)_G\longrightarrow H_4(B;\Z) + \longrightarrow H_4(Q;\Z)\longrightarrow0 +\end{equation} +is a split exact sequence. +\end{lemma} + +\begin{proof} +Since $A$ is finite free over $\Lambda$, integral group duality gives +\begin{equation}\label{st:cohomology-vanishing} + H^2(G;A)=H^3(G;A)=0. +\end{equation} +The second Postnikov invariant lies in the latter group, so it vanishes. +The former removes the degree-two ambiguity in making the identification +with the split stage for the prescribed module marking. We use a +functorial Eilenberg--Mac Lane model for $K(A,2)$, so the given action on +$A$ defines the displayed homotopy quotient and its section. + +Separately, freeness gives $H_i(G;A)=0$ for $i>0$. In total degree four, +the homology spectral sequence of +\[ + K(A,2)\longrightarrow B\longrightarrow Q +\] +therefore has only $H_4(G;\Z)$ and $H_0(G;\Gamma(A))$ as possibly +nonzero terms: the intervening term $H_2(G;A)$ is zero, and the fiber has +no homology in degrees one and three. The possible incoming +differentials to $H_0(G;\Gamma(A))$ have sources $H_3(G;A)=0$ and +$H_5(G;\Z)=0$. The section preserves the base term. This proves +\eqref{st:homology-extension}, including its integral, rather than merely +rational, exactness. +\end{proof} + +The next elementary check is useful because the middle classes are +specified over the group ring. Ordinary intersection forms would lose +the relative translates needed here. + +\begin{lemma}\label{st:quadratic-detection} +With the identifications above, +\begin{equation}\label{st:fundamental-equality} + (u_N)_*[N]=(u_L)_*[L]\quad\text{in }H_4(B;\Z). +\end{equation} +\end{lemma} + +\begin{proof} +Write $e_1,\ldots,e_{2b}$ for the chosen $\Lambda$-basis of $A$ and +$\phi_i\colon A\to\Lambda$ for the coordinate functionals. The +low-degree cohomology sequence of the Postnikov fibration, with regular +coefficients, contains +\[ + 0\longrightarrow H^2(G;\Lambda) + \longrightarrow H^2(B;\Lambda) + \longrightarrow\operatorname{Hom}_{\Lambda}(A,\Lambda) + \longrightarrow H^3(G;\Lambda). +\] +Both outside groups vanish. Thus each $\phi_i$ is the restriction of +a unique class $x_i\in H^2(B;\Lambda)$. + +Their cup products may be evaluated without multiplying away either +coefficient factor: +\begin{equation}\label{st:cup-tests} + z\longmapsto + \langle x_i\smile x_j,z\rangle + \in(\Lambda\otimes_{\Z}\Lambda)_G, + \qquad z\in H_4(B;\Z). +\end{equation} +The tensor product has the diagonal left action. Its coinvariants +identify, as an abelian group, with $\Lambda$ by +$g\otimes h\mapsto g^{-1}h$. For a closed oriented manifold with +the indicated middle module, evaluations in \eqref{st:cup-tests} are +the equivariant cup form on the coordinate functionals. By Poincar\'e +duality this is the dual form of its equivariant intersection pairing. +The prescribed isometry therefore makes these evaluations equal on +$(u_N)_*[N]$ and $(u_L)_*[L]$. + +For completeness, these tests detect the fiber term integrally. The +underlying abelian group of $A$ is free on the elements $g e_i$. +The group $\Gamma(A)$ has a basis consisting of one square generator +for each such element and one cross generator for each unordered pair +of distinct such elements. The action of $G$ permutes this basis. +Hence its coinvariants are free abelian on the corresponding orbits. +A nonidentity element stabilizing an unordered pair would exchange its +two members and have order two; torsion-freeness rules this out. + +The square orbit represented by $e_i$ evaluates to $1$ in the $(i,i)$ +test. For $i