computo ergo sum

2026-10-09 · chapter Yang–Mills and the mass gapPart 10 Towards a proof of the mass gap — building the first step of the staircasesector framework, closing condition, the common wall · Kiichi, Shiori and Rin

The whole book Contents and reading orders
  1. Part 0 Entrance — how to read this book
  2. 0-01 How to read this book
  3. 0-02 One picture
  4. 0-03 Reading the problem statement word by word
  5. 0-04 Four dimensions in mathematics and four dimensions in physics
  6. Part 1 Mathematical preparation
  7. 1-01 Vector spaces and linear maps
  8. 1-02 What a group is
  9. 1-03 Lie groups and Lie algebras
  10. 1-04 SU(2) and SU(3)
  11. 1-05 Manifolds and tangent spaces
  12. 1-06 Differential forms and the exterior derivative
  13. 1-07 Vector bundles and connections
  14. 1-08 Probability and measure
  15. 1-09 Probability in infinite dimensions
  16. 1-10 Hilbert spaces and self-adjoint operators
  17. 1-11 Fourier analysis and distributions
  18. 1-12 Detour: what happens only in four dimensions
  19. Part 2 Physical preparation
  20. 2-01 Lagrangians and the action
  21. 2-02 The idea of a field
  22. 2-03 Electromagnetism is a gauge theory
  23. 2-04 Special relativity and spacetime
  24. 2-05 The bones of quantum mechanics
  25. 2-06 The harmonic oscillator and creation and annihilation
  26. 2-07 The idea of the path integral
  27. 2-08 Statistical mechanics and phase transitions
  28. 2-09 Detour: the gap and the correlation length in the Ising model
  29. 2-10 The relaxation time and the dynamical exponent z
  30. Part 3 Yang–Mills theory (classical)
  31. 3-01 The gauge principle
  32. 3-02 Non-abelian gauge fields
  33. 3-03 The action and the equations
  34. 3-04 Gauge theory as geometry
  35. 3-05 Instantons and topology
  36. 3-06 Detour: Donaldson and exotic R⁴
  37. 3-07 Yang–Mills inside the Standard Model
  38. Part 4 Quantisation
  39. 4-01 Canonical quantisation and the Hamiltonian
  40. 4-02 The path integral and Euclideanisation
  41. 4-03 Perturbation theory and Feynman diagrams
  42. 4-04 Divergences and renormalisation
  43. 4-05 The algebra of divergences
  44. 4-06 Asymptotic freedom
  45. 4-07 Dimensional transmutation and Λ
  46. 4-08 Gauge fixing and Faddeev–Popov
  47. 4-09 The axioms of quantum field theory
  48. 4-10 The Osterwalder–Schrader axioms and reconstruction
  49. 4-11 The definition of the mass gap
  50. 4-12 Detour: the perturbation series diverges
  51. Part 5 Lattice gauge theory
  52. 5-01 Wilson's lattice
  53. 5-02 The strong-coupling expansion
  54. 5-03 Reflection positivity and the transfer matrix
  55. 5-04 The infinite-volume limit and the cluster expansion
  56. 5-05 Weak coupling and the continuum limit
  57. 5-06 How U(1) differs from the non-abelian case
  58. 5-07 The Monte Carlo method
  59. 5-08 Measuring glueballs and the string tension
  60. 5-09 What to hold fixed when taking the limit
  61. 5-10 Lattice gauge theory with finite groups
  62. 5-11 Detour: Bakry–Émery and one-link integration
  63. Part 6 Constructive field theory
  64. 6-01 What constructive field theory is
  65. 6-02 Solvability in two dimensions and the Yang–Mills measure
  66. 6-03 Constructing scalar fields
  67. 6-04 The cluster expansion
  68. 6-05 The sequence of renormalisation group steps
  69. 6-06 Ultraviolet stability of three-dimensional Yang–Mills
  70. 6-07 Four dimensions
  71. 6-08 Triviality of φ⁴ in four dimensions
  72. 6-09 Stochastic quantisation and regularity structures
  73. 6-10 Where four dimensions stops
  74. 6-11 Obstacles other than divergence
  75. 6-12 Detour: "if 1/0 is given a symbol"
  76. Part 7 From the side of physics
  77. 7-01 How physics sees it
  78. 7-02 Mechanisms of confinement
  79. 7-03 The string picture
  80. 7-04 Large N
  81. 7-05 String theory and extra dimensions
  82. 7-06 How extra dimensions become invisible
  83. 7-07 Where gauge fields come from
  84. 7-08 Holography
  85. 7-09 The mass gap becomes geometry
  86. 7-10 Back to four dimensions
  87. 7-11 Supersymmetry and Seiberg–Witten
  88. 7-12 The sentence that plays the role of an equivalence principle
  89. 7-13 Where the way physics digs parts from mathematics
  90. Part 8 A dictionary of two languages — the physical and the mathematical view
  91. 8-01 How to read the dictionary
  92. 8-02 Dictionary A
  93. 8-03 Dictionary B
  94. 8-04 Dictionary C
  95. 8-05 The physical counterparts of our assumptions
  96. Part 9 Where things stand, and open tasks
  97. 9-01 How far the world has come
  98. 9-02 Where the two ways of digging part
  99. 9-03 Candidates for new concepts
  100. 9-04 The list of open tasks
  101. 9-05 Common misconceptions
  102. Part 10 Towards a proof of the mass gap — building the first step of the staircase
  103. 10-00 Entrance — the staircase, and the random walk, the ruler and the clock
  104. 10-01 The line of construction and Assumption H
  105. 10-02 Roads tried on the four-dimensional lattice, and walls
  106. 10-03 The four steps of the staircase — why we start from 0+1 dimensions
  107. 10-04 The path measure of the double well, and kinks
  108. 10-05 The statement of the first step — four conditions and Proposition 4.5
  109. 10-06 (H1) Local Poincaré within a phase
  110. 10-07 The map of (H2) — seven routes and the seam of the ring
  111. 10-08 What computer-assisted means — the conditions on the chain inside the window
  112. 10-09 The sector framework and the three strands of route 5
  113. 10-10 The list of detour plans — types of breakage
  114. 10-11 (H3)(H4) and the constant of the core
  115. 10-12 The integrated table and the dependency graph
  116. 10-13 Lean statements and the limits of machine checking
  117. 10-14 Reconciliation — the numbers of the record and the known numbers
  118. 10-15 What remains and its cost — the distance to a theorem
  119. 10-16 What is not claimed
  120. 10-17 Insights and small questions
  121. Part 11 Further considerations — beyond Assumption H, and other views
  122. 11-00 Further considerations — entrance
  123. 11-01 One form that obstructs H — a nearly conserved global quantity
  124. 11-02 Choosing the ruler and the coordinates again — the length at which conservation breaks
  125. 11-03 Two ways to repair H — the sector H and the local H
  126. 11-04 Which H the one-sided bridge needs
  127. 11-05 Making time continuous — the Hamiltonian lattice and the vacuum measure
  128. 11-06 Paying with rarity instead of convexity — renormalisation on groups and log-Sobolev
  129. 11-07 Because it is four dimensions — the dimensionless coupling and topology
  130. 11-08 Questions, and what is not claimed
  131. 11-A1 Table of notation for Part 11
  132. Appendices
  133. A-01 Table of notation
  134. A-02 Glossary
  135. A-03 Guide to the literature
  136. A-04 Lean and machine checking
  137. A-05 How this book was made
  138. A-06 Index of assumptions

The sector framework and the three strands of route 5

What this chapter shows — We prove, split into five steps, the construction that controls the gap of the core uniformly in the core length kk (the sector framework), and derive the condition under which it closes, b(AWcH+DW+ln⁡2)<κℓmin⁡b(A_Wc_H+D_W+\ln2)\lt\kappa\ell_{\min}, and the needed value Amax⁡A_{\max} determined by it. We sort the constants of the condition into those that come from the structure and those that come from the choice of tools, and list the directions that raise the needed value and that lower the insufficient side. We put in one table how far the three strands (componentwise, scalar, Feynman–Kac) that attacked the one remaining proposition (that the logarithmic Sobolev constant of the site window lies within the needed value) got, and state in one line of diagonal dominance why all three stop at the same place: the curvature at one site at the top falls 14\tfrac14 short of convexity.

Prerequisite chapters — 10-07 (the positions of routes 3 and 5), 10-08 §02 (the chain condition), 10-05 §03 (condition (H2) and row (T0′P)), 1-10 §07–§09 (Poincaré inequalities).

Said first — The level is [Res], and only §01 is written to be readable at [Y3]. §02 onwards are sections at the research level, and you can skip ahead to Table 4 in §05 and the common wall in §06 and still read the conclusions of this chapter. This part places Assumption H at the axis of the study (10-01), and this chapter says how far the core row of condition (H2) of its first step could be built. The sector framework has been shown, but the one remaining proposition is not closed by any of the three strands.

The order of this chapter
  1. Summary — a section readable at [Y3]
  2. The five steps of the sector framework — sum over sectors, Gibbs in marginal form, componentwise localisation, locality of volume, composition
  3. The closing condition and the needed value Amax⁡A_{\max} — where the constants come from, and two directions (Tables 1 and 2)
  4. The threshold mismatch — an example where the condition, taken literally, gave nothing
  5. The three strands of route 5 — componentwise, scalar (Proposition P5, Table 3), Feynman–Kac, and how far they got (Table 4)
  6. The common wall — the curvature at one site at the top, 15/415/4 against 44
  7. The table of the five grades (Table 5)
  8. The dependency graph

01

Summary

The core Qk=(−xc,0)kQ_k=(-x_c,0)^k is an interval of kk sites where the path stays near the top, and here the Hessian of the action has negative directions. To control the gap of the measure of the core (row (T0′P)) uniformly in kk, one must pay using the fact that places with negative curvature are rare. The sector framework splits that payment into five steps.

  1. Sum over sectors. Even when the space of configurations is split into a direct product of boxes, the Dirichlet form, the variance and the entropy split into sums over sectors, and the number of sectors does not enter the constants.
  2. Gibbs in marginal form. The weight on a rare set BB (measure at most e−ℓe^{-\ell}) can be paid with the entropy and ln⁡2\ln2: ℓ∫Bg2≤Ent+ln⁡2∫g2\ell\int_Bg^2\le\mathrm{Ent}+\ln2\int g^2.
  3. Componentwise localisation. Applying 2. to each component of the gradient with the logarithmic Sobolev constant AWA_W of the marginal of the marks on the 17 sites around that site (the site window), kk does not enter the sum.
  4. Locality of volume. The rarity exponent ℓmin⁡\ell_{\min} does not depend on kk.
  5. Composition. Combining the above with the two inequalities of Barta and Bochner gives, for the gap of the core λ\lambda, λ(1+bAW/ℓmin⁡)≥κ−b(AWcH+DW+ln⁡2)/ℓmin⁡\lambda(1+bA_W/\ell_{\min})\ge\kappa-b(A_Wc_H+D_W+\ln2)/\ell_{\min}. The condition for the right-hand side to be positive is the closing condition b(AWcH+DW+ln⁡2)<κℓmin⁡b(A_Wc_H+D_W+\ln2)\lt\kappa\ell_{\min}.

The closing condition rewritten for AWA_W is the needed value Amax⁡=(κℓmin⁡/b−DW−ln⁡2)/cHA_{\max}=(\kappa\ell_{\min}/b-D_W-\ln2)/c_H. At the three values ℏ=3⋅10−3/10−3/3⋅10−4\hbar=3\cdot10^{-3}/10^{-3}/3\cdot10^{-4}, the original form on the road that defines defects by three sites is negative at 3⋅10−33\cdot10^{-3} (it closes for no AWA_W), 0.200.20 and 7.137.13, and correcting two choices of tools raises it to 25.1/90.3/312.325.1/90.3/312.3 Reading (arithmetic on the measured rarity exponents). On the other hand, in the current construction the upper bound on AWA_W is of order 1857/2794/91061857/2794/9106 Reading (including estimates), 29–74 times short.

The one remaining proposition "AW<Amax⁡A_W\lt A_{\max}" was attacked by three strands. The componentwise strand stopped at 1.4–5.5 times the needed value, the scalar strand became a proposition with a table of assumptions (Proposition P5) for ℏ∈[3⋅10−4,10−3]\hbar\in[3\cdot10^{-4},10^{-3}], and the Feynman–Kac strand lies within 0.54 times the threshold by a Monte Carlo reading, but its upper bound is 10310^3 times the threshold. All three stop at the same place: at the top, the diagonal at one site, 4−14=15/44-\tfrac14=15/4, does not reach the sum of the couplings to the neighbours, 44 (§06).

02

The five steps of the sector framework

Setting. Take the core Qk=(−xc,0)kQ_k=(-x_c,0)^k (xc=0.89x_c=0.89), fix the end values z0,zk+1≤−xcz_0,z_{k+1}\le-x_c, and let μ∝e−S/ℏ1Qk\mu\propto e^{-S/\hbar}\mathbf 1_{Q_k} and E(f)=ℏ∫∣∇f∣2dμ\mathcal E(f)=\hbar\int|\nabla f|^2d\mu (Neumann on the faces of the box). Let λ\lambda be the first non-zero eigenvalue of −L-L, ff the eigenfunction, u=∇fu=\nabla f, and put

X=∫∣u∣2dμ,Z=ℏ∫∥∇u∥2dμ,Y=∑j=1k∫Njuj2 dμ(1)X=\int|u|^2d\mu,\qquad Z=\hbar\int\|\nabla u\|^2d\mu,\qquad Y=\sum_{j=1}^k\int_{N_j}u_j^2\,d\mu \tag{1}

. NjN_j is the defect set of site jj (configurations where jj or one of its neighbours lies on the top side of the threshold −θB-\theta_B, θB=0.57\theta_B=0.57). Attach a mark σj=1[zj>−θ]\sigma_j=\mathbf 1[z_j\gt-\theta] to each site, and write σWj\sigma_{W_j} for the set of marks on the window WjW_j around site jj. A sector is a direct product of boxes for each type of marks, Ωσ=∏jIσj\Omega_\sigma=\prod_jI_{\sigma_j}.

(Σ.1) Sum over sectors

For any partition P\mathcal P into direct products of boxes, (a) ∑Pμ(P)EP(f)=E(f)\sum_P\mu(P)\mathcal E_P(f)=\mathcal E(f) (faces have measure 0, and ∣∇f∣2|\nabla f|^2 is the same function on each sector), (b) Var⁡μf=∑Pμ(P)Var⁡μPf+Var⁡ν(E[f∣P])\operatorname{Var}_\mu f=\sum_P\mu(P)\operatorname{Var}_{\mu_P}f+\operatorname{Var}_\nu(\mathbb E[f\mid\mathcal P]) (the law of total variance; the entropy has a chain rule of the same form), (c) if Var⁡μPf≤CPEP(f)\operatorname{Var}_{\mu_P}f\le C_P\mathcal E_P(f) on each sector, the first term is at most (sup⁡PCP) E(f)(\sup_PC_P)\,\mathcal E(f) Proved here. The number of sectors appears only in the weights μ(P)\mu(P), which sum to 1. Leanvar_split_cells (no assumptions), cell_sum_sup (assumptions: wi≥0w_i\ge0, Ei≥0E_i\ge0, Ci≤Cmax⁡C_i\le C_{\max}).

(Σ.2) The Gibbs step in marginal form

The Gibbs variational inequality. For a probability measure ν\nu, G≥0G\ge0 and a function FF,

∫FG dν ≤ Entν(G)+(∫G dν)ln⁡∫eF dν(2)\int FG\,d\nu\ \le\ \mathrm{Ent}_\nu(G)+\Bigl(\int G\,d\nu\Bigr)\ln\int e^F\,d\nu \tag{2}

Proved here Proof. Put G~=G/∫G\tilde G=G/\int G. Jensen's inequality gives ln⁡∫eFdν≥ln⁡∫G~>0eF−ln⁡G~G~ dν≥∫(F−ln⁡G~)G~ dν\ln\int e^Fd\nu\ge\ln\int_{\tilde G\gt0}e^{F-\ln\tilde G}\tilde G\,d\nu\ge\int(F-\ln\tilde G)\tilde G\,d\nu. Multiplying both sides by ∫G\int G gives (2). ∎

Taking F=t1BF=t\mathbf 1_B and p=ν(B)≤e−ℓp=\nu(B)\le e^{-\ell} in (2) gives ln⁡∫eF=ln⁡(1−p+pet)\ln\int e^F=\ln(1-p+pe^t), and with t=ℓt=\ell this is ≤ln⁡2\le\ln2 Leangibbs_ln2_cell (assumptions: p≥0p\ge0, ℓ≥0\ell\ge0, peℓ≤1pe^\ell\le1). If BB is a set determined by a coarse variable F\mathcal F, taking G=E[g2∣F]G=\mathbb E[g^2\mid\mathcal F] gives

ℓ∫Bg2 dμ ≤ Entν(E[g2∣F])+ln⁡2∫g2 dμ(3)\ell\int_Bg^2\,d\mu\ \le\ \mathrm{Ent}_\nu\bigl(\mathbb E[g^2\mid\mathcal F]\bigr)+\ln2\int g^2\,d\mu \tag{3}

. This is the form that pays for the weight on a rare set with the entropy of the marginal of the coarse variable.

(Σ.3) Componentwise localisation

As input we assume, for all jj and gg, the logarithmic Sobolev inequality of the marginal on the window

(LSW)EntνWj(E[g2∣σWj]) ≤ AW E(g)+DW∫g2(4)\text{(LS}_W)\qquad \mathrm{Ent}_{\nu_{W_j}}\bigl(\mathbb E[g^2\mid\sigma_{W_j}]\bigr)\ \le\ A_W\,\mathcal E(g)+D_W\int g^2 \tag{4}

Assumption, and let Nj⊂BjN_j\subset B_j (BjB_j a set determined by σWj\sigma_{W_j}, ℓmin⁡=min⁡jln⁡(1/μ(Bj))\ell_{\min}=\min_j\ln(1/\mu(B_j))). Applying (3) to g=ujg=u_j and summing over jj, from ∑jE(uj)=Z\sum_j\mathcal E(u_j)=Z and ∑j∫uj2=X\sum_j\int u_j^2=X,

ℓmin⁡ Y ≤ AW Z+(DW+ln⁡2) X(5)\ell_{\min}\,Y\ \le\ A_W\,Z+(D_W+\ln2)\,X \tag{5}

Proved here Leancomp_sum_le (assumptions: 0<ℓ≤ℓj0\lt\ell\le\ell_j, the inequality for each component). kk does not enter. For contrast, if (3) is applied to a single union ⋃jBj\bigcup_jB_j with a scalar gg, without splitting the gradient into components, just putting in the constant function g≡1g\equiv1 makes the defect term at least ∑jμ(Bj)\sum_j\mu(B_j), and it is not uniform in kk Proved here Leanscalar_not_uniform (assumption: p>0p\gt0; the conclusion is "there is no dd with kp≤dkp\le d for all kk"). Uniformity in kk and having AWA_W enter the condition are a trade-off.

(Σ.4) Locality of volume

ℓmin⁡\ell_{\min} is the rarity exponent of the defect set, and does not depend on kk. On the road that defines defects by three sites, the measured values ℏln⁡μ(Nj)\hbar\ln\mu(N_j) give ℓmin⁡=38.3/121.9/406.8\ell_{\min}=38.3/121.9/406.8 (ℏ=3⋅10−3/10−3/3⋅10−4\hbar=3\cdot10^{-3}/10^{-3}/3\cdot10^{-4}) Reading (floating-point transfer matrix; 3⋅10−43\cdot10^{-4} is an extrapolation, and the remeasured value is 420.0420.0). On the road that defines defects by lumps of length 8 or more, ℓmin⁡≥E8/ℏ−ln⁡Vloc\ell_{\min}\ge E_8/\hbar-\ln V_{\rm loc} (E8=0.402E_8=0.402, ln⁡Vloc=2.3\ln V_{\rm loc}=2.3) Reading. To say the same on the bridge, one needs that the remainder of the transfer operator of a scrap is small uniformly in the end values (PFseg) Assumption.

(Σ.5) Composition

We combine the following three inequalities.

Putting Bochner into (5), and that into Barta, gives

λ(1+bAWℓmin⁡) ≥ κ−b (AWcH+DW+ln⁡2)ℓmin⁡(6)\lambda\Bigl(1+\frac{bA_W}{\ell_{\min}}\Bigr)\ \ge\ \kappa-\frac{b\,(A_Wc_H+D_W+\ln2)}{\ell_{\min}} \tag{6}

Proved here Leancomp_close (assumptions: X>0X\gt0, b,A≥0b,A\ge0, ℓ>0\ell\gt0, and the three inequalities Barta, (5), Bochner). If the right-hand side is positive, that is, if

b (AWcH+DW+ln⁡2) < κ ℓmin⁡(7)b\,(A_Wc_H+D_W+\ln2)\ \lt\ \kappa\,\ell_{\min} \tag{7}

, the gap of the core λ\lambda is bounded below by a positive number that does not depend on kk. (7) is the closing condition. Of the five steps, the constructions of (Σ.1)–(Σ.3) and (Σ.5) have elementary proofs placed in the text, and what remains as assumptions is the inputs (LSW), (PFseg), the Barta rows, the regularity for Bochner, and whether AWA_W is small enough to satisfy (7). What remains as an assumption is not structure but the size of a constant.

03

The closing condition and the needed value Amax⁡A_{\max}

Solving (7) for AWA_W gives the needed value

AW < Amax⁡(ℏ):=κℓmin⁡/b−DW−ln⁡2cH(8)A_W\ \lt\ A_{\max}(\hbar):=\frac{\kappa\ell_{\min}/b-D_W-\ln2}{c_H} \tag{8}

Proved here (rearranging (7)). That AWA_W is smaller than this is the one remaining proposition (LSW♭), route 5 of 10-07 §02.

Where the constants come from. We sort the six constants of (7) into those that come from the structure and those that come from the choice of tools.

Table 1 Where the constants of the closing condition (7) come from
ConstantValueOriginSide
κ\kappa3/10003/1000Lower bound on the Barta rows outside the defects (small because the threshold θB=0.57\theta_B=0.57 is placed just above the one-site threshold 0.56530.5653)Structure
bb493/1000493/1000The worst value of the same rows over the whole box (−0.49-0.49 on the top side)Structure
ℓmin⁡\ell_{\min}Table 2The rarity exponent of the defect set (not a length)Structure
cHc_H14\tfrac14In the Bochner step, the minimum w(0)=−14w(0)=-\tfrac14 of the negative curvature w=εV′′w=\varepsilon V'' paid uniformly over the whole coreChoice of tools
ln⁡2\ln20.6930.693The value with the tilt tt in the Gibbs step fixed at t=ℓt=\ellChoice of tools
DWD_W00A construction that puts no defect term in (LSW)—

The reason AWA_W enters the condition multiplied by cHc_H is this: when AWZA_WZ on the right of (5) is replaced by (λ+cH)X(\lambda+c_H)X using Bochner, the λ\lambda part can be moved to the left side, but cHXc_HX remains without a factor λ\lambda and can only be paid by κ\kappa. The amplification b/κ≈164b/\kappa\approx164 multiplies AWcHA_Wc_H here.

Two directions — raising the needed side, lowering the insufficient side

Raising the needed side (correcting the choice of tools).

The closing condition with both combined is b(AWδ+DW+L(t∗))<κ(t∗−AWγ)b(A_W\delta+D_W+L(t^*))\lt\kappa(t^*-A_W\gamma), and the needed value is Amax⁡=(κℓmin⁡−0.0183−bDW)/(bδ+κγ)A_{\max}=(\kappa\ell_{\min}-0.0183-bD_W)/(b\delta+\kappa\gamma). Raising the threshold θ\theta further to near 1/31/\sqrt3 gives δ≤0\delta\le0, and the condition becomes in effect AW≲4ℓmin⁡A_W\lesssim4\ell_{\min}.

Table 2 The needed value Amax⁡A_{\max} (DW=0D_W=0; triples are ℏ=3⋅10−3/10−3/3⋅10−4\hbar=3\cdot10^{-3}/10^{-3}/3\cdot10^{-4}; values are arithmetic on the measured ℓmin⁡\ell_{\min}, Reading)
FormAmax⁡A_{\max}Remarks
Original form (road defining defects by lumps of length 8 or more)0.43/6.96/29.80.43/6.96/29.8ℓmin⁡≥E8/ℏ−ln⁡Vloc\ell_{\min}\ge E_8/\hbar-\ln V_{\rm loc}
Original form (road defining defects by three sites)Negative / 0.200.20 / 7.137.13At 3⋅10−33\cdot10^{-3} it does not close even with AW=0A_W=0
Gibbs tilt only0.78/2.82/9.750.78/2.82/9.75Three-site road
Localised Bochner onlyNegative / 6.236.23 / 228228As above
Both combined25.1/90.3/312.325.1/90.3/312.3As above. Leanjudge_i_inside (assumptions: ℓ≥406\ell\ge406, ℓ≥121\ell\ge121, 0≤A≤220\le A\le22, 0≤L≤1/1780\le L\le1/178)
Raising the threshold to 1/31/\sqrt3128/452/1604128/452/1604κ(θ)\kappa(\theta) and ℓ(θ)\ell(\theta) are floating-point lattice values

Lowering the insufficient side (rebuilding the upper bound on AWA_W). The upper bound on AWA_W for the three-site window ∣W∣=3|W|=3 is 1857/2794/91061857/2794/9106 in the current construction Reading (including estimates), which is 74 / 31 / 29 times outside the needed value with both combined, and 14.5 / 6.2 / 5.7 times outside the needed value with the threshold raised (the latter is an estimate that assumes the same upper-bound technique gives the same value when the threshold is raised). On the other hand, the lower bound on AWA_W measured by test functions is 1.71/1.74/2.591.71/1.74/2.59 and does not exclude the needed value. That the true AWA_W lies within the needed value is not excluded; what falls short is the way the upper bound is built. This is the starting point of the three strands of route 5.

04

The threshold mismatch — an example where the condition, taken literally, gave nothing

(Σ.3) uses Nj⊂BjN_j\subset B_j, with BjB_j a set determined only by the marks of the window σWj\sigma_{W_j}. In Table 1, κ\kappa, bb and ℓmin⁡\ell_{\min} were values measured with the defect threshold θB=0.57\theta_B=0.57, while AWA_W was measured with the mark threshold θσ=12\theta_\sigma=\tfrac12. If θσ<θB\theta_\sigma\lt\theta_B, the atom of marks "all marks in the window on the valley side" contains points with zi∈(−θB,−θσ]z_i\in(-\theta_B,-\theta_\sigma], that is, points of NjN_j. The only set determined by the marks that contains NjN_j is the whole space, so μ(Bj)=1\mu(B_j)=1 and ℓ=0\ell=0 Proved here (one line of measurability). With the two thresholds mismatched, (7), taken literally, gives nothing. The fix is not to lower θB\theta_B to 12\tfrac12 (at θ=12\theta=\tfrac12 the lower bound κ\kappa on the Barta rows becomes negative), but to measure AWA_W with marks at θσ=θB\theta_\sigma=\theta_B, which is an order to the insufficient side. It is an example showing that, when numerical constructions are stacked, a step is needed that checks literally whether each of the conditions being composed holds on the same definitions.

05

The three strands of route 5

The one remaining proposition was attacked in three forms that differ in the functional form of the condition. None of the strands has shown (Σ.5), (T0′) or (H2). All numbers are values on the 0+1-dimensional double well on the lattice ε=12\varepsilon=\tfrac12. The full list of detour plans and the types of breakage are sent to 10-10.

Strand 1 The componentwise form

On top of the localised Bochner and the Gibbs tilt, adding a form that pays the negative curvature at each point by the rarity of that point (paying the curvature with a function of height h=(−w(zj))+h=(-w(z_j))_+) raises the needed value to 537/1754/6052537/1754/6052 Reading. The upper bound is built in the product form of "a coarse step" and "a propagation step".

The remaining step: a Lyapunov function with a coupling term between neighbours that lowers the finite-ℏ\hbar correction. Grades: Reading and Assumption.

Strand 2 The scalar form — Proposition P5

This form does not split the gradient into components: it applies Bakry–Émery to the convex bottom (the box on the valley side) and pays for the band at the top by the Gibbs step at each site. The condition is only ln⁡k<ℓ帯\ln k\lt\ell_{\rm 帯}, and AWA_W, κ\kappa, bb and cHc_H are not needed, but kk enters as ln⁡k\ln k, so it works only over a finite range of core lengths. The Poincaré constant of the core becomes the sum of CP(1)≈50〜64C_P^{(1)}\approx50〜64 and a remainder (Rem2), and, restricted to the first eigenfunction, the remainder only needs to be small, R2(f)/∫g2<14R_2(f)/\int g^2\lt\tfrac14. Proposition P5 turns this into a proposition with a table of assumptions.

Proposition P5 (with a table of assumptions)

0+1-dimensional double well, ε=12\varepsilon=\tfrac12, xc=0.89x_c=0.89, core length k=20k=20, central lump {9,10}\{9,10\}, ff the first non-zero eigenfunction. Under the rows of Table 3, at each node {3,4,…,10}⋅10−4\{3,4,\dots,10\}\cdot10^{-4} of ℏ∈[3⋅10−4,10−3]\hbar\in[3\cdot10^{-4},10^{-3}], the remainder quantity RR satisfies R≤2AR\le2A, with A=2kPve−Ev∫f2A=2kP_ve^{-E_v}\int f^2 and 2kPve−Ev≤14e−32kP_ve^{-E_v}\le\tfrac14e^{-3}.

Leanpath5_conditional (assumptions, named: the remainder inequality, the proxy ratio, the rarity, the arithmetic margin c0+qg+lμ≤−0.7c_0+q_g+l_\mu\le-0.7), p5_assembly (assumptions: the proxy ratio, the rarity, the threshold, arithmetic, monotonicity).

Table 3 The rows of Proposition P5 (five grades)
RowStatement (one line)GradeNotes
SpecDiscrete spectrum, existence and regularity of eigenfunctions, simplicity of λ1\lambda_1AssumptionRegularity of the Neumann problem on a box with corners does not follow from standard theorems
LS1Logarithmic Sobolev with a defect at one site of the bandAssumptionNot yet
SBConvex bottom and propagation in the band (CP(1)≈50〜64C_P^{(1)}\approx50〜64)AssumptionThe paper argument is not placed in the book
HλUpper bound on λ1\lambda_1 uniform in kk (Rayleigh quotient)ReadingInterval-arithmetic scheme (1 run per node), not yet run
EHEstimate of localisation in the direction of exitAssumptionA paper estimate. The IMS localisation formula is Cited (checked in a secondary source)
RareRarity of the target μ(Remv)≤elμ(ℏ)\mu(\mathrm{Rem}_v)\le e^{l_\mu(\hbar)}, lμ≤−4.97l_\mu\le-4.97ReadingFloating-point transfer. Interval-arithmetic scheme with 7 runs per node, not yet run
ProxyProxy ratio c1≤c∗(ℏ)c_1\le c_*(\hbar) (c∗≥5.39c_*\ge5.39, ℏ≤10−3\hbar\le10^{-3})AssumptionThe only assumption that lifts beyond the measured range: a linear lift from the measured values for two-site lumps, 0.002〜0.0330.002〜0.033, by +0.048+0.048 per step (tolerance ≥0.67\ge0.67)
BTComparison of level sets ln⁡Φ≤−4.209\ln\Phi\le-4.209ReadingInterval-arithmetic scheme with 3 runs per node, not yet run
NumArithmetic of the margin c1+ln⁡Φ≤−3.7c_1+\ln\Phi\le-3.7Proved hereArithmetic
RangeEnclosure of ℏ\hbar between the nodesAssumptionNot yet. The range [3⋅10−4,10−3][3\cdot10^{-4},10^{-3}] is point values at 8 nodes

The number of runs to move to interval arithmetic is 8 nodes × 14 runs = 112 runs plus the enclosures between the nodes, and not a single one has been run yet. Slightly beyond 10−310^{-3} the two conditions no longer hold together on the same window (they do not hold together at 1.35⋅10−31.35\cdot10^{-3} Reading), and it does not extend towards ℏ→0\hbar\to0 either, because the estimate in the direction of exit is not uniform, by ℏ−1/2\hbar^{-1/2}. Proposition P5 is a proposition with a table of assumptions on a finite range at the lower end of the window.

Strand 3 The Feynman–Kac form

In the form that keeps the Feynman–Kac weight on the diagonal of the comparison, what is needed is that the logarithmic Sobolev constant of the whole core is Acore≲a/ℏA_{\rm core}\lesssim a/\hbar with a<1.29/1.47/1.55a\lt1.29/1.47/1.55 (the question extends to the coefficient of 1/ℏ1/\hbar). The lower bound from a family of test functions is ℏAcore≈0.78〜0.83\hbar A_{\rm core}\approx0.78〜0.83 Reading, a margin of 1.6–1.9 times. Splitting into radial chains, the chain constant is 0.54〜0.560.54〜0.56 times the needed value (on the model chain) Reading, and what remains is the quantity K2=sup⁡∣∇ψ∣2K^2=\sup|\nabla\psi|^2 in the Helffer–Sjöstrand representation Cited (bibliographic only; the statement is unchecked, so this book treats it as Assumption), with threshold 1+K2≤W1+K^2\le W, that is, K2≤W−1=0.83〜0.86K^2\le W-1=0.83〜0.86 (WW is the ratio of the needed value to the chain constant).

The remaining step: an upper bound that keeps the direction (a matrix Lyapunov function along the path, or an estimate split into soft and hard subspaces).

The three side by side

Table 4 How far the three strands got (triples are ℏ=3⋅10−3/10−3/3⋅10−4\hbar=3\cdot10^{-3}/10^{-3}/3\cdot10^{-4})
StrandHow far it gotGradeRange of ℏ\hbarThe remaining step
2 ScalarProposition P5 (with a table of assumptions, one lifting assumption, 112 interval-arithmetic runs not yet made)Assumption + Reading8 nodes of [3⋅10−4,10−3][3\cdot10^{-4},10^{-3}]Interval arithmetic at each node, enclosures between the nodes, making the lifting assumption explicit
3 Feynman–Kac0.54 times the threshold by the Monte Carlo reading. The paper upper bound is 10310^3 times the thresholdReading10−310^{-3}, 3⋅10−43\cdot10^{-4}An upper bound that keeps the direction
1 ComponentwiseWent beyond the leading term of the Lyapunov criterion, but 5.5 / 2.6 / 1.4 times the needed value. The floor for all Lyapunov functions is 31ReadingThree pointsA Lyapunov function with coupling terms

Table 4 is not a ranking of which strand is "close". Strand 2 has a form only at the lower end of the window, and only strands 1 and 3 have forms that cover the whole window. Read progress by the grade of each row.

06

The common wall — the curvature at one site at the top, 15/415/4 against 44

The Hessian of the action of the core is, on the lattice ε=12\varepsilon=\tfrac12, the tridiagonal matrix

Hess⁡S=(4+w1−2−24+w2−2⋱⋱⋱−24+wk),wj=εV′′(zj)=3zj2−14(10)\operatorname{Hess}S=\begin{pmatrix}4+w_1&-2&&\\-2&4+w_2&-2&\\&\ddots&\ddots&\ddots\\&&-2&4+w_k\end{pmatrix},\qquad w_j=\varepsilon V''(z_j)=\frac{3z_j^2-1}{4} \tag{10}

(the neighbour term (zj+1−zj)2/(2ε)(z_{j+1}-z_j)^2/(2\varepsilon) gives 44 on the diagonal and −2-2 next to it). Looking at one row, the diagonal is 4+wj4+w_j, and the sum of the absolute values of the couplings to the neighbours is 2+2=42+2=4. At the top zj=0z_j=0, wj=−14w_j=-\tfrac14, so

diagonal = 4−14 = 154 < 4 = sum of couplings(11)\text{diagonal}\ =\ 4-\tfrac14\ =\ \tfrac{15}{4}\ \lt\ 4\ =\ \text{sum of couplings} \tag{11}

, and diagonal dominance fails by 14\tfrac14 Proved here. Row-by-row estimates (Gershgorin discs) only go as far as "smallest eigenvalue ≥min⁡jwj=−14\ge\min_jw_j=-\tfrac14", and in fact on the face x≡0x\equiv0 where every site is at the top, the smallest eigenvalue of a lump of kk sites with both ends fixed is 8sin⁡2π2(k+1)−148\sin^2\frac{\pi}{2(k+1)}-\tfrac14, negative for k≥8k\ge8 Proved here (the closed formula for the eigenvalues of tridiag(−2,4,−2)\mathrm{tridiag}(-2,4,-2)). To check by hand: at k=7k=7, 8sin⁡2(π/16)≈0.304>148\sin^2(\pi/16)\approx0.304\gt\tfrac14; at k=8k=8, 8sin⁡2(π/18)≈0.241<148\sin^2(\pi/18)\approx0.241\lt\tfrac14.

The three strands came back to this one-line shortfall in changed forms.

Why the wall is universal (one line). Tools whose entrance is convexity (a positive lower bound on the Hessian) — Bakry–Émery, Brascamp–Lieb, the Barta rows, diagonal dominance — must, since the Hessian really has a negative direction on the plateau at the top, pay this 14\tfrac14 somewhere with the rarity (entropy) of the plateau, and ℏ\hbar enters that payment. A detailed study of this view, and other viewpoints that do not rely on convexity, are treated in Part 11 (11-06).

07

The table of the five grades — the rows of the sector framework and route 5

Table 5 The rows of this chapter ("—" in the range of ℏ\hbar marks an assumption row not shown at any ℏ\hbar)
RowStatement (one line)GradeGroundsRange of ℏ\hbarMachine checking
LSWInput (LSW) (the form of logarithmic Sobolev for the marginal on the window)Assumption§02 (4)——
PF(PFseg) (locality of volume on the bridge)Assumption§02 (Σ.4)——
BARBarta rows κ=3/1000\kappa=3/1000, b=493/1000b=493/1000Assumption§02 (Σ.5) (the paper argument is not placed in the book)Independent of ℏ\hbar—
REGVanishing of the Bochner boundary terms and regularity of eigenfunctionsAssumption§02 (Σ.5)——
PROXThe lifting assumption of Proposition P5 and the other Assumption rows of Table 3Assumption§05 Table 3——
BOCThe integrated form of Bochner's formulaCitedProposition 1.3 of Ledoux's lectures (checked in the original text)Independent of ℏ\hbar—
ELLℓmin⁡=38.3/121.9/406.8\ell_{\min}=38.3/121.9/406.8Reading§02 (Σ.4) (transfer matrix, including extrapolation)Three points—
AWUpper bound 1857/2794/91061857/2794/9106 and lower bound 1.71/1.74/2.591.71/1.74/2.59 on AWA_WReading§03 (including estimates / family values)Three points—
S1(Σ.1) Sum over sectorsProved here§02Independent of ℏ\hbarvar_split_cells (no assumptions), cell_sum_sup (assumptions: wi,Ei≥0w_i,E_i\ge0, Ci≤Cmax⁡C_i\le C_{\max})
S2(Σ.2) The Gibbs variational inequality (2) and (3)Proved hereProof in §02Independent of ℏ\hbargibbs_ln2_cell (assumptions: p≥0p\ge0, ℓ≥0\ell\ge0, peℓ≤1pe^\ell\le1)
S3(Σ.3) Componentwise localisation (5) ⟸ LSWProved here§02Independent of ℏ\hbarcomp_sum_le (assumptions: 0<ℓ≤ℓj0\lt\ell\le\ell_j, the inequality for each component)
SKThe scalar form is not uniform in kkProved here§02 (Σ.3)Independent of ℏ\hbarscalar_not_uniform (assumption: p>0p\gt0)
S5(Σ.5) Composition (6) and the closing condition (7)Proved here§02Independent of ℏ\hbarcomp_close (assumptions: X>0X\gt0, b,A≥0b,A\ge0, ℓ>0\ell\gt0, Barta, (5), Bochner)
AMXThe needed value (8)Proved here§03 (the values are arithmetic on ELL, hence Reading)Three points—
R1Localised Bochner (9)Proved here§03Independent of ℏ\hbarnegw_le_localized, bochner_localized (the assumptions are in the text of §03)
R2Optimising the Gibbs tiltProved here§03Independent of ℏ\hbartilt_cost_le (assumptions: b≥0b\ge0, L≤1/178L\le1/178)
AM2The needed value with both combined 25.1/90.3/312.325.1/90.3/312.3Reading§03 Table 2Three pointsjudge_i_inside (assumptions: lower bounds on the measured ℓ\ell, A≤22A\le22)
THRWith mismatched thresholds ℓ=0\ell=0Proved here§04Independent of ℏ\hbar—
P5Proposition P5Assumption§05 strand 2 (a construction on the Assumption rows PROX and Spec)8 nodes of [3⋅10−4,10−3][3\cdot10^{-4},10^{-3}]path5_conditional, p5_assembly (the assumptions are in §05)
ST1How far strand 1 got (1.4–5.5 times the needed value, floor 31)Reading§05 strand 1Three pointstilt_g1 (assumption: θ^ Var≤ℏb\hat\theta\,\mathrm{Var}\le\hbar b)
ST3How far strand 3 got (reading 0.54 times, paper upper bound 10310^3 times)Reading§05 strand 3Two pointsmbar_bound_false (counterexample, no assumptions)
WALLDiagonal dominance fails by 14\tfrac14 at one site at the topProved here§06 (11)Independent of ℏ\hbar—
LSWb(LSW♭) AW<Amax⁡A_W\lt A_{\max}AssumptionRoute 5——

The "Proved here" rows of Table 5 are all either algebra on assumption rows or general inequalities whose proofs are placed in the text. They do not mean that a lower bound on the gap of the core has been shown unconditionally.

08

The dependency graph

The format is the same as 10-05 §07, and the numbers to the right of "⟸" are always placed smaller than the number on the left.

[01] ASM LSW    input (LS_W)                                      ħ: —
[02] ASM PF     (PF_seg)                                          ħ: —
[03] ASM BAR    Barta rows κ = 3/1000, b = 493/1000               independent of ħ
[04] ASM REG    Bochner boundary terms and regularity             ħ: —
[05] ASM PROX   Assumption rows of Proposition P5 (lifting assumption etc.)  ħ: —
[06] ASM LSWb   (LS_W♭) A_W < A_max                               ħ: —
[07] CIT BOC    integrated form of Bochner's formula              independent of ħ
[08] RDG ELL    ℓ_min = 38.3 / 121.9 / 406.8                      ħ: three points
[09] RDG AW     upper and lower bounds on A_W                     ħ: three points
[10] PRV S1     (Σ.1) sum over sectors                            independent of ħ
               Lean var_split_cells, cell_sum_sup
[11] PRV S2     (Σ.2) Gibbs variational inequality                independent of ħ
               Lean gibbs_ln2_cell (assumptions: p ≥ 0, ℓ ≥ 0, p·e^ℓ ≤ 1)
[12] PRV S3     (Σ.3) componentwise localisation (5) ⟸ [01][10][11]  independent of ħ
               Lean comp_sum_le
[13] PRV SK     the scalar form is not uniform in k               independent of ħ
               Lean scalar_not_uniform (assumption: p > 0)
[14] RDG S4     (Σ.4) ℓ_min does not depend on k ⟸ [02][08]       ħ: three points
[15] PRV R1     localised Bochner (9) ⟸ [04][07]                  independent of ħ
               Lean negw_le_localized, bochner_localized
[16] PRV R2     optimising the Gibbs tilt                         independent of ħ
               Lean tilt_cost_le
[17] PRV S5     composition (6), closing condition (7) ⟸ [03][04][07][12][14]  independent of ħ
               Lean comp_close (assumptions: Barta, (5), Bochner)
[18] PRV AMX    needed value (8) ⟸ [17]                           independent of ħ
[19] RDG AM2    needed value 25.1 / 90.3 / 312.3 ⟸ [08][15][16][18]  ħ: three points
               Lean judge_i_inside (assumption: lower bounds on the measured ℓ)
[20] PRV THR    with mismatched thresholds ℓ = 0                  independent of ħ
[21] ASM P5     Proposition P5 ⟸ [05]                             ħ: 8 nodes
               Lean path5_conditional, p5_assembly
[22] RDG ST1    how far strand 1 got ⟸ [19]                       ħ: three points
[23] RDG ST3    how far strand 3 got                              ħ: two points
[24] PRV WALL   diagonal dominance fails by ¼ at the top          independent of ħ
[25] PRV CORE   positive lower bound on the core gap uniform in k ⟸ [06][17]  ħ: —

How to check. The rows with ⟸ are [12] ([01][10][11]), [14] ([02][08]), [15] ([04][07]), [17] ([03][04][07][12][14]), [18] ([17]), [19] ([08][15][16][18]), [21] ([05]), [22] ([19]) and [25] ([06][17]). In each the numbers on the right are smaller than the one on the left, so there is no circle.

What to read. The conclusion [25] depends, through [17], on the structural steps ([10]–[14]) and the input assumptions ([01]–[04]), and further on the assumption row [06] (the one remaining proposition). The candidates to support [06] are the three strands [21][22][23], and none of them shows [06] ([21] is a proposition with a table of assumptions at the lower end of the window, [22][23] are readings). [20] is a checking row: unless [01] and [03] are measured at the same threshold, [12] is empty. [24] explains where the three strands stopped, and is a premise of no conclusion.

We also check that the statements of the assumption rows do not contain the quantity of the conclusion. The quantity of the conclusion is the gap λ\lambda of the measure of the core. [01] and [06] are logarithmic Sobolev constants of the marginal of the marks on the window, [02] the remainder of the transfer operator of a scrap, [03] the lower bound on the weighted rows, [04] the boundary terms and regularity, [05] the remainder quantity and the proxy ratio. None of them contains λ\lambda.

09

To the next chapters

The full list of detour plans tried for route 5 (twenty-two, plus two born along the way, and their derivatives) and the types of breakage that appeared repeatedly are treated in 10-10. The construction that controls the core constant in three steps from the side of the box is 10-11. This part places Assumption H at the axis of the study, and this chapter has said how far the core row of (H2) of its first step could be built. A viewpoint that handles the negative curvature at the top without relying on convexity is treated in Part 11 (11-06).


What this chapter can say

What is saidWhat is not said
Proved here The constructions of (Σ.1)–(Σ.3) and (Σ.5) of the sector framework, the closing condition (7), the needed value (8), the localised Bochner and the Gibbs tilt, the consequence of the threshold mismatch, the failure of diagonal dominance at the top Lean (algebra)The inputs (LSW), (PFseg), the Barta rows, regularity
Reading The needed value 25.1/90.3/312.325.1/90.3/312.3, the gap of 29–74 times to the upper bound on AWA_W, how far the three strands gotThe one remaining proposition (LSW♭). Hence the core row (T0′P) and condition (H2)
Assumption Proposition P5 (8 nodes of ℏ∈[3⋅10−4,10−3]\hbar\in[3\cdot10^{-4},10^{-3}], with a table of assumptions)Interval arithmetic for Proposition P5, between the nodes, the upper half of the window and ℏ→0\hbar\to0

Sources and reproduction

ItemKindSource / tools
The integrated form of Bochner's formulaCitedM. Ledoux, Sém. Probab. XXXV, LNM 1755 (2001) 167–194 (Proposition 1.3; text checked).
Lyapunov functions and criteria for local PoincaréCitedD. Bakry, F. Barthe, P. Cattiaux, A. Guillin, Electron. Commun. Probab. 13 (2008); D. Bakry, P. Cattiaux, A. Guillin, J. Funct. Anal. 254 (2008) 727–759 (Theorem 3.6 checked in a restatement in a secondary source).
The IMS localisation formulaCitedH. L. Cycon, R. G. Froese, W. Kirsch, B. Simon, Schrödinger Operators, Springer 1987 (checked in a restatement of §3).
The Helffer–Sjöstrand representationAssumptionB. Helffer, J. Sjöstrand, J. Stat. Phys. 74 (1994) 349–409 (bibliographic only; statement unchecked).
The Gibbs variational inequality, sum over sectors, componentwise localisation, compositionProved here, LeanProofs in §02 of the text. var_split_cells, cell_sum_sup, gibbs_ln2_cell, comp_sum_le, comp_close, scalar_not_uniform.
The two corrections on the needed sideProved here, Reading, Lean§03. negw_le_localized, bochner_localized, tilt_cost_le, judge_i_inside. The rarity exponents from the transfer matrix (midpoint rule, the smaller of grids 600 and 1200).
Numbers of the three strandsReading, LeanStrand 1: duality and the primal problem on floating-point grids (grids 40–160), tilt_g1. Strand 2: floating-point transfer, path5_conditional, p5_assembly. Strand 3: Monte Carlo of the adjoint estimator (32 paths, search for starting points), mbar_bound_false.

Words used in this chapter — sector framework, sector, mark, site window, defect set, rarity exponent, Gibbs variational inequality, componentwise localisation, closing condition, needed value, choice of tools and structure, threshold mismatch, the three strands, Proposition P5, lifting assumption, the common wall, diagonal dominance. Their meanings are in A-02 Glossary.

Next chapter to read: 10-10 The list of detour plans — types of breakage — puts the detour plans into one table with "the line that killed it", and reads the three sides (the needed side, the form, the floor) and the types of breakage that appeared repeatedly.

← 10-08 What computer-assisted means — the conditions on the chain inside the windowContents10-10 The list of detour plans — types of breakage →

Revised 2026-10-09: first version.