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Interval-tree certificates and connected higher-dimensional families

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9.7 Interval-tree certificates and connected higher-dimensional families

From this point through the rank and tensor arguments, the coefficient domain is a field \({\mathbb F}\). The six-row atom is the first defect, but it is not an isolated low-dimensional accident. This section gives a field-independent family of connected targets in every dimension at least seven. The lower bound is certified by a multiscale rank potential adapted to the ordered flag.

9.7.1 Interval-tree rank potential

Definition 9.31: Interval tree

An interval tree on the ordered coordinates \(0,1,\ldots,n-1\) is a rooted binary tree whose leaves occur in that order and whose every node is a contiguous interval. If an internal node \(v\) splits its interval into consecutive left and right children \(L_v\) and \(R_v\), define

\[ \Phi_T(A) = \sum_{v\in\operatorname{Int}(T)} {\operatorname{rank}} A[R_v,L_v], \qquad A\in{\operatorname{U}}_n({\mathbb F}). \]
(9.11)

Lemma 9.32: One-cut locality

Let \(X\in{\operatorname{U}}_n({\mathbb F})\) and let \(X'\) be obtained from \(X\) by one lower-directed transvection. Then

\[ \bigl|\Phi_T(X')-\Phi_T(X)\bigr|\le1. \]

Proof

Suppose the gate is \(s\to t\) with \(s<t\). Let \(v_0\) be the lowest node of \(T\) whose two children separate \(s\) and \(t\). The order of the leaves forces \(s\in L_{v_0}\) and \(t\in R_{v_0}\). At this one node, a single row of the cross block \(X[R_{v_0},L_{v_0}]\) changes, so its rank changes by at most one.

At every ancestor of \(v_0\), the two rows lie in the same child. If that child is the right child, the gate is an internal row operation on the relevant cross block and preserves rank; if it is the left child, the cross block is unchanged. At a descendant containing \(t\) but not \(s\), every column of the descendant interval lies strictly to the right of \(s\). Since \(X\) remains lower triangular, row \(s\) vanishes on those columns, so the descendant block is unchanged. All other descendants are also unchanged. Hence only the term at \(v_0\) can vary.

Corollary 9.33: Interval-tree lower bound

For every \(A\in{\operatorname{U}}_n({\mathbb F})\) and every interval tree \(T\),

\[ {\ell_{\downarrow}}(A)\ge\Phi_T(A). \]

Proof

The identity has potential zero. Apply Lemma 9.32 along any lower-directed word from the identity to \(A\).

Definition 9.34: Tree-tight target

A lower-unitriangular target \(A\) is tree tight if some interval tree \(T\) satisfies

\[ \Phi_T(A)={\ell_{\downarrow}}(A). \]

Tree tightness is stronger than possessing a rank lower bound. It says that one ordered hierarchy accounts for the entire restricted word length. The family below is tree tight by construction.

9.7.2 The snapshot family

Fix integers

\[ u\ge1, \qquad 1\le v\le u+1, \]

and choose distinct phases

\[ 0\le s_1<s_2<\cdots<s_v\le u. \]

Order the coordinates as

\[ x_1,\ldots,x_u,\ p,\ q,\ t_1,\ldots,t_v. \]

For \(0\le s\le u\), put

\[ w_s=e_p+\sum_{i=1}^{s}e_{x_i}. \]
(9.12)

Define

\[ A(u;s_1,\ldots,s_v)\in{\operatorname{U}}_{u+v+2}({\mathbb F}) \]
(9.13)

by

\[ R_{x_i}=e_{x_i}, \qquad R_p=w_u, \qquad R_q=e_q, \]

and

\[ R_{t_j}=e_{t_j}+e_q+w_{s_j} \qquad(1\le j\le v). \]
(9.14)

The output rows record selected intermediate versions of the carrier \(p\).

Proof of Theorem 9.5

For the ambient construction, first apply

\[ q\to p. \]

Sweep through the updates

\[ x_1\to p,\ldots,x_u\to p. \]

Whenever phase \(s_j\) is reached, apply

\[ p\to t_j. \]

Finally apply \(q\to p\) with coefficient \(-1\). At phase \(s\), the carrier is \(e_q+w_s\), so every output has the required value, and the final gate removes \(e_q\) from row \(p\). The word has length

\[ 1+u+v+1=u+v+2. \]

Thus

\[ {\ell_{*}}\bigl(A(u;s_1,\ldots,s_v)\bigr)\le u+v+2. \]

For a lower word, perform the same \(u\) updates without opening the catalyst. At each selected phase, use the two gates

\[ p\to t_j, \qquad q\to t_j. \]

This gives length \(u+2v\).

It remains to prove optimality in the lower model. At the root, split

\[ \{x_1,\ldots,x_u,p\} \quad\big|\quad \{q,t_1,\ldots,t_v\}. \]

The nonzero rows of the root cross block are \(w_{s_1},\ldots,w_{s_v}\). Distinct prefix vectors are linearly independent: in a linear relation, inspect successively a coordinate occurring in \(w_{s_j}\) but in none of the earlier prefixes, starting from the largest phase. Hence the root contributes \(v\).

Inside the left child, use the comb that splits off \(x_1\), then \(x_2\), and so on while retaining \(p\) in the remaining interval. Every one of the \(u\) cuts has rank one because the final row \(p\) contains every \(x_i\). Inside the right child, repeatedly split off the last output while retaining \(q\) in the left interval. Each of the \(v\) cuts has rank one because every output contains \(q\). Therefore

\[ \Phi_T\bigl(A(u;s_1,\ldots,s_v)\bigr) =v+u+v=u+2v. \]

The interval-tree lower bound matches the displayed lower circuit.

The connected snapshot family. One temporary upper dependency lets the ambient circuit export v selected prefix states. A lower-only circuit must insert the q component separately into every output.
Figure 9.9. The connected snapshot family. One temporary upper dependency lets the ambient circuit export \(v\) selected prefix states. A lower-only circuit must insert the \(q\) component separately into every output.

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Remark 9.35: Support connectivity

For \(u,v\ge1\), the undirected support graph of \(A(u;s_1,\ldots,s_v)-I\) is connected. Row \(p\) joins all update coordinates \(x_i\), while every output joins both \(p\) and \(q\). The separation below therefore does not arise from a direct sum of independent six-row gadgets.

9.7.3 Exact higher binary examples

The interval tree gives the exact restricted distance in all dimensions. For the first three higher targets, a separate bidirectional search also proves that the displayed ambient construction is optimal.

Theorem 9.36: Exact binary cases in dimensions seven through nine

Over \({\mathbb F}_2\), let

\[ H_7=A(2;0,1,2), \qquad H_8=A(3;0,1,2), \qquad H_9=A(3;0,1,2,3). \]

Then

\[ ({\ell_{\downarrow}}(H_7),{\ell_{*}}(H_7))=(8,7), \]
\[ ({\ell_{\downarrow}}(H_8),{\ell_{*}}(H_8))=(9,8), \]

and

\[ ({\ell_{\downarrow}}(H_9),{\ell_{*}}(H_9))=(11,9). \]

Proof

The restricted values follow from Theorem 9.5. The ambient words have lengths \(7\), \(8\), and \(9\). To exclude shorter words, the supplement computes exact ambient balls and checks that the two relevant balls do not intersect. The certificate sizes are

Meet-in-the-middle ball sizes for connected-family lower bounds
\(n\)tested splitleft ballright ball
\(7\)\(3+3\)\(23276\)\(23276\)
\(8\)\(3+4\)\(52277\)\(1174097\)
\(9\)\(4+4\)\(2994949\)\(2994949\)

Every intersection is empty. Since the generating sets are symmetric, an empty radius-\(r\) versus radius-\(s\) intersection rules out every word of length at most \(r+s\).

These are exact higher-dimensional examples, not merely padded copies of \(C\).

9.7.4 A connected defect in every dimension

Proof of Corollary 9.6

For \(n\ge7\), put

\[ v_n=\left\lfloor\frac{n-1}{2}\right\rfloor, \qquad u_n=n-v_n-2, \]

and take the phases

\[ 0,1,\ldots,v_n-1. \]

The inequality \(v_n\le u_n+1\) holds, so the snapshot target is defined. By Theorem 9.5,

\[ {\ell_{\downarrow}}(A_n)=u_n+2v_n=n+v_n-2, \]

while

\[ {\ell_{*}}(A_n)\le u_n+v_n+2=n. \]

Hence

\[ {\ell_{\downarrow}}(A_n)-{\ell_{*}}(A_n) \ge v_n-2 = \left\lfloor\frac{n-5}{2}\right\rfloor. \]

Connectivity follows from the preceding remark.

Successive connected cases from the optimized snapshot family. The restricted value is exact; the ambient column is a certified construction and is exact for \(n=7,8,9\) over \({\mathbb F}_2\).
\(n\)\(u\)\(v\)\({\ell_{\downarrow}}\)ambient upper bound / certified gap
\(7\)\(2\)\(3\)\(8\)\(7\;/\;1\)
\(8\)\(3\)\(3\)\(9\)\(8\;/\;1\)
\(9\)\(3\)\(4\)\(11\)\(9\;/\;2\)
\(10\)\(4\)\(4\)\(12\)\(10\;/\;2\)
\(11\)\(4\)\(5\)\(14\)\(11\;/\;3\)
\(12\)\(5\)\(5\)\(15\)\(12\;/\;3\)
\(13\)\(5\)\(6\)\(17\)\(13\;/\;4\)
\(15\)\(6\)\(7\)\(20\)\(15\;/\;5\)
\(17\)\(7\)\(8\)\(23\)\(17\;/\;6\)
\(19\)\(8\)\(9\)\(26\)\(19\;/\;7\)
\(21\)\(9\)\(10\)\(29\)\(21\;/\;8\)
The six-row atom is the first exact defect. From dimension seven onward, the connected snapshot family gives an exact restricted length and a shorter ambient construction in every dimension.
Figure 9.10. The six-row atom is the first exact defect. From dimension seven onward, the connected snapshot family gives an exact restricted length and a shorter ambient construction in every dimension.

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The ratio also increases beyond the block-sum value \(7/6\).

Corollary 9.37: Asymptotic multiplicative distortion

For every field,

\[ \limsup_{n\to\infty} \sup_{A\in{\operatorname{U}}_n({\mathbb F}),\,A\ne I} \frac{{\ell_{\downarrow}}(A)}{{\ell_{*}}(A)} \ge\frac32. \]

Proof

Along the optimized connected family,

\[ \frac{{\ell_{\downarrow}}(A_n)}{{\ell_{*}}(A_n)} \ge \frac{n+\lfloor(n-1)/2\rfloor-2}{n}, \]

which tends to \(3/2\).

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