Abstract 1 Introduction 2 Basic Definitions and Notations 3 Recursive Jump Operators for Sets Without Optimal Proof Systems 4 Oracle Against a Positive Answer to Q1 References

Recursive Jump Operators and Optimal Proof Systems

Fabian Egidy ORCID University of Würzburg, Germany
Abstract

We study the relationship between the existence of optimal proof systems and recursive jump operators, two central open problems in proof complexity. For a set L, an optimal proof system is a strongest proof system in terms of proof length, whereas a recursive jump operator uniformly transforms any proof system for L into a stronger one with respect to proof length, thereby witnessing non-optimality. It is clear that the existence of a recursive jump operator for L rules out optimal proof systems for L. Khaniki (FOCS 2024) is interested in the converse of this implication and explicitly poses the following question, where TAUT denotes the set of propositional tautologies.

  • Q: Does the non-existence of optimal proof systems for TAUT imply the existence of
    Q: recursive jump operators for TAUT?

We generalize and address this question from both a relativized and an unrelativized perspective. We show that proving a positive answer for Q is provably hard by constructing the following oracle.

  • O: The polynomial-time hierarchy is infinite, TAUT has no optimal proof systems, and
    O: TAUT has no recursive jump operators.

This shows that Khaniki’s question can not be answered in the positive by relativizable means, even under the standard complexity-theoretic assumption that the polynomial-time hierarchy is infinite.

In contrast, we obtain positive results when the question Q is posed for sets different from TAUT. We prove that the existence of recursive jump operators is upward closed under mp-reducibility, a result that so far was only known for the non-existence of optimal proof systems. Furthermore, we show that the sets known to have no optimal proof systems by Messner (STACS 1999) in fact admit recursive jump operators. Thus, essentially all sets currently known to have no optimal proof systems have recursive jump operators.

Keywords and phrases:
Relativization, Oracles, Proof Complexity, Optimal Proof Systems, Jump Operators
Category:
Track A: Algorithms, Complexity and Games
Funding:
Fabian Egidy: supported by the German Academic Scholarship Foundation.
Copyright and License:
[Uncaptioned image] © Fabian Egidy; licensed under Creative Commons License CC-BY 4.0
2012 ACM Subject Classification:
Theory of computation Oracles and decision trees
; Theory of computation Proof complexity ; Theory of computation Complexity classes
Acknowledgements:
We wish to thank Christian Glaßer for his permanent advice and helpful feedback.
Related Version:
Full Version: http://arxiv.org/abs/2606.01242
Editors:
Sayan Bhattacharya, Danupon Nanongkai, Michael Benedikt, and Gabriele Puppis

1 Introduction

This paper studies the relationship of two longstanding open problems concerning Cook-Reckhow [14] proof systems. A Cook-Reckhow proof system for a set L is a polynomial time computable function f whose range is L. Two such proof systems for the same set are compared with each other using the notion of simulation. A proof system f simulates a proof system g if there exists a polynomially-bounded total function π such that f(π(x))=g(x) for all x. Intuitively, the proofs of f are at most polynomially longer than the proofs of g. By Krajíček and Pudlák [36], a proof system f for a set L is optimal if f simulates all proof systems for L. In other words, an optimal proof system for L has at most polynomially longer proofs than any other proof system for L.

One of the main open questions in proof complexity is whether TAUT has optimal proof systems, where TAUT denotes the set of propositional tautologies (cf. [36, 35]). In fact, it is even open whether there exists any set outside NP that has an optimal proof system (cf. [46, 31, 40]). While it is unclear which answer to this general question is to be expected [26, 9, 35], with respect to TAUT a negative answer is conjectured [36].

C1: TAUT has no optimal proof system.

Another concept in proof complexity are recursive jump operators. A jump operator for a set L is a function such that for any proof system f for L, J(f) is a proof system for L that f cannot simulate. If additionally, J is recursive, we call J a recursive jump operator for L111For improved clarity, we occasionally use the term “non-recursive jump operator” for a general jump operator.. Intuitively, a recursive jump operator computes witnesses of non-optimality for given proof systems.

The first candidate jump operators for TAUT were proposed by Krajíček and Pudlák [36] and implicitly already by Buss [10]. Recently, Khaniki [28] proposed a new candidate jump operator based on interactive proofs. Additionally, Khaniki is interested in the relationship between jump operators and optimal proof systems. Let us present a conjecture which was already implicitly contained in the work of Krajíček and Pudlák [36] and explicitly formulated by Khaniki222Khaniki formulated the conjecture using partial recursive jump operators, but simultaneously shows their existence to be equivalent to the existence of recursive jump operators. [28].

C2: TAUT has a recursive jump operator.

It is immediate that the existence of an optimal proof system for TAUT is equivalent to TAUT possessing no non-recursive jump operators [36]. Similarly, it is clear that the existence of a recursive jump operator for TAUT implies that TAUT does not have optimal proof systems. So conjecture C2 implies conjecture C1. However, it is open whether the converse implication holds. This question is explicitly posed by Khaniki [28, Problem 10] and we state it as question Q1 below. We also generalize question Q1 to any set LNP333For all non-empty LNP it is clear that they have optimal proof systems and no jump operators..

Q1: Does conjecture C1 imply conjecture C2?
Q2: Does the non-existence of optimal proof systems for L imply the existence of
recursive jump operators for L?

Positive answers to these questions would show that non-optimality of proof systems always comes with a procedure computing witnesses of non-optimality, while a negative answer would separate existential and constructive notions of non-optimality in proof complexity.

In this paper we contribute to questions Q1 and Q2. We obtain hardness results for question Q1, but partial positive answers for question Q2. Before we make our contributions precise, we give an overview over Cook-Reckhow proof systems in complexity theory as well as the conjectures C1 and C2.

1.1 Previous Work

In the past 35 years optimal proof systems have been studied extensively and have shown to be connected to a wide range of research areas, including the separation of complexity classes [14, 36, 31, 39, 40, 33, 37, 13], the existence of complete sets for promise classes [45, 46, 37, 8, 43], the existence of optimal acceptors [36, 47, 39, 40], mathematical logic [36, 32, 44, 43], descriptive complexity [11], parameterized complexity [12], learning theory [41] and more (cf. Krajíček’s book on proof complexity [35]). We focus on the results from structural complexity theory that are most relevant to our work and refer the reader to the literature above for a comprehensive overview of optimal proof systems.

(Non)-existence of optimal proof systems.

It is an easy fact that all sets in NP have optimal proof systems. Messner [39] shows that there are sets without optimal proof systems. He proved that for any non-polynomial time-constructible function t there are sets in coNTIME(t) that do not have optimal proof systems and that all mp-hard sets for coNE do not have optimal proof systems. Surprisingly, this already covers all that we unconditionally know about the existence of optimal proof systems. Messner [40] also shows that if NP=coNP, then arbitrary complex sets with optimal proof systems exist. In contrast, Egidy and Glaßer [19] construct two oracles: relative to the first all sets outside non-deterministic quasi-polynomial time do not have optimal proof systems and relative to the second the polynomial-time hierarchy is infinite and all sets in PSPACENP do not have optimal proof systems. Hence, for most sets we do not know whether they have optimal proof systems and proving their existence would require to overcome at least the relativization barrier.

Proof systems for TAUT.

The most interesting and best-studied proof systems are proof systems for TAUT. Krajíček and Pudlák [36] showed that NE=coNE implies the existence of optimal proof systems for TAUT, which was improved to NEE=coNEE by Köbler, Messner, and Torán [37]. Razborov [45] discovered the first connection between optimal proof systems and promise classes by showing that the existence of optimal proof systems for TAUT implies the existence of mpp-complete sets for DisjNP, i.e., the class of disjoint NP-pairs defined by Selman [48] and Selman and Grollman [25]. Initiated by this result, many further connections between proof systems for TAUT and disjoint NP-pairs were obtained [42, 3, 23, 4, 5, 21, 22, 7, 6, 9, 24]. As already mentioned above, the relationship between proof systems and promise classes has turned out to be quite fruitful. These connections in addition to various connections of optimal proof systems to bounded arithmetic (cf. [32, 44, 35]) lead into a research program initiated by Pudlák [43]. Pudlák surveys on several conjectures concerning the existence of optimal proof systems for sets (including conjecture C1) and the existence of complete sets for promise classes (like UP, NPcoNP, TFNP) and asks for a systematic investigation of their relationships. In particular, Pudlák is interested in either proving further implications between conjectures or disproving them relative to an oracle. Since then several implications have been disproved relative to an oracle [15, 18, 16, 17, 20, 23, 27].

Optimal proof systems and recursive jump operators.

One approach to rule out the existence of optimal proof systems for TAUT is to provide a computable procedure that takes an arbitrary proof system f and produces an improved system that efficiently proves tautologies for which f admits only long proofs. Khaniki [28] calls such procedures efficient jump operators. Several candidate efficient jump operators have been proposed [36, 10, 34, 28] in the hope that they are useful to prove that even strong proof systems like extended Frege are not optimal. A similar concept are hard tautology generators, that informally compute families of tautologies that a given proof system requires super-polynomial size proofs on (cf. [28, Def. 3.2] for a precise definition).

The existence of non-recursive jump operators for TAUT is equivalent to the non-existence of optimal proof systems for TAUT which is equivalent to the existence of hard tautology generators [36, 28]. Khaniki [28] extends this relationship to the “efficient” setting, i.e., Khaniki shows that the existence of all of the following concepts are equivalent: partial recursive jump operators, recursive jump operators, polynomial time computable jump operators, partial recursive hard tautology generators, recursive hard tautology generators, polynomial time computable hard tautology generators. Khaniki [28] explicitly asks whether the existence of recursive jump operators is also equivalent to the non-existence of optimal proof systems for TAUT, to which our main result contributes to.

1.2 Our Contribution

We address the questions Q1 and Q2 from a relativized and an unrelativized perspective.

Contribution to Q1.

Our main contribution to Q1 is the construction of the following oracle (cf. Corollary 33), which shows that proving a positive answer for Q1 is provably hard and answers an open question by Khaniki [28].

O: The polynomial-time hierarchy is infinite, TAUT has no optimal proof systems,
and TAUT has no recursive jump operators

The oracle O answers the question posed by Khaniki [28, Problem 10] in the sense that no relativizable proof can show the implication Q1. Even more, the hardness of Q1 remains true even if one assumes that the polynomial-time hierarchy is infinite. Note that from the point of view of answering Q1 in the negative, results like ours are the best we can hope for, because actually proving Q1 in the negative implies a proof of conjecture C1 and thus NPcoNP, which currently seems completely out of reach. Hence, a separation via oracles is a standard approach to separate two such longstanding complexity theoretic conjectures from each other, e.g., as reflected by Pudlák’s [43] approach to separate conjectures in his research program.

Contribution to Q2.

In contrast to Q1, we obtain partial positive results regarding Q2, namely for sets currently known to lack optimal proof systems. Messner [39] shows the existence of sets that do not have optimal proof systems. Together with the closure under mp-reducibility for the class of all sets with optimal proof systems proved by Köbler and Messner [31], Messner obtains that all mp-hard sets for coNE do not have optimal proof systems.

First, we show that the existence of recursive jump operators is upward closed under mp-reducibility, i.e., the existence of recursive jump operators for L implies the existence of recursive jump operators for any set L such that LmpL (cf. Theorem 1). This is a dual result to the mp-closure result of Köbler and Messner. Second, we analyze Messner’s proof against the existence of optimal proof systems for sets. By doing so, we derive a recursive jump operator for these sets (cf. Theorem 7). In total, our results show that any set shown to not have optimal proof systems by Messner [39] in fact has recursive jump operators. This covers essentially all sets currently known to have no optimal proof systems.

1.3 Sketch of the Oracle Construction

We sketch the ideas behind the oracle construction. Our main goal is to obtain an oracle relative to which

  • the polynomial-time hierarchy is infinite,

  • TAUT has no optimal proof systems,

  • TAUT has no recursive jump operators.

We achieve this by constructing a sparse oracle relative to which there are no mpp-complete disjoint NP-pairs and no recursive jump operators for TAUT. By a result of Razborov [45], our oracle then also has no optimal proof systems for TAUT. Using the approach of Egidy and Glaßer [19], we can combine our sparse oracle with an oracle of Yao [50] relative to which the polynomial-time hierarchy is infinite and obtain our desired oracle with combined properties.

We outline the construction of the sparse oracle by explaining how to achieve its two main properties separately. Combining both properties into a single oracle requires additional technical care and is achieved using a priority argument, which we defer to the full construction.

Towards no recursive jump operators for TAUT.

Let J1,J2, and P1,P2, notations for the same standard enumeration of Turing transducers. For clarity, we use the enumeration Ji when referring to candidate recursive jump operators and Pi when referring to candidate proof systems. We treat all Ji as candidate recursive jump operators for TAUT and diagonalize against them. Let Ji be an arbitrary such candidate.

The key idea is to construct a witness proof system Wi that evaluates Ji on its own program code and neutralizes Ji’s jump. We achieve this by using an effective version of Kleene’s [29, 30, 49] fixed-point theorem. Informally, the Turing transducer Wi works as follows:

  • Wi computes Ji(Wi)=b, which is possible by an invocation of the fixed-point theorem.

  • Depending on carefully encoded information in the oracle, Wi may either:

    • simulate the allegedly stronger proof system Pb, or

    • fall back to a fixed, baseline proof system for TAUT.

There are three ways in which Ji can fail to be a recursive jump operator. Namely, if there is some a+ such that

  1. F1

    Ji(a) does not halt.

  2. F2

    Ji(a)=b and Pa is a proof system for TAUT and Pb is no proof system for TAUT.

  3. F3

    Ji(a)=b and Pa, Pb are proof systems for TAUT, but Pa simulates Pb.

Note that properties such as “Pb is a proof system for TAUT” are generally not robust under extensions of the oracle444Meaning, just because Pb is a proof system for TAUT relative to some partial oracle w does not mean that this holds relative to extensions of w.. We have to account for that in the oracle construction, but for simplicity, we will ignore it in this sketch.

When diagonalizing against Ji, the oracle construction first attempts to realize Case F1 or F2 by an appropriate partial extension of the oracle. If this is not possible, we enforce Case F3 with aWi. Since Case F1 failed, Ji(Wi)=b is defined. Since Case F2 failed, Pb is a proof system for TAUT. We then add some suitable code word to the oracle that allows Wi to simulate Pb. Then Ji(Wi)=b, Wi and Pb are proof systems for TAUT and Wi simulates Pb.

Towards no complete disjoint sets.

We diagonalize against all disjoint NP-pairs for being mpp-complete. Given a pair of NP-machines (N0,N1), we define a corresponding witness disjoint pair (A,B) whose elements are determined by the oracle on carefully chosen designated lengths. In particular, 0nA if n is of designated length and the oracle contains words from 00Σn2. Analogous for B and 01Σn2.

For each candidate reduction function fFP, we ensure that (A,B)mpp(L(N0),L(N1)) via f. We immediately diagonalize successfully, if we can add some word from 00Σn2 (resp., 01Σn2) to the oracle and N0(f(0n)) (resp., N1(f(0n))) rejects. If neither is possible, then both machines must accept on an exponential number of distinct oracle extensions obtained by words of length n. However, each leftmost accepting path queries only polynomially many oracle words. This allows us to extend the oracle by two words such that neither leftmost accepting path recognizes the second word. Consequently, L(N0) and L(N1) are not disjoint, and hence do not form a mpp-complete disjoint NP-pair.

2 Basic Definitions and Notations

Sets.

Let Σ{0,1} be the default alphabet and Σ be the set of finite words over Σ. The set of all (positive) natural numbers is denoted by (+). For a,b, we define a+b{an+bn}. We write the empty set as . The cardinality of a set A is denoted by #A. For a set AΣ and a number n, we define An{wA|w|n} and analogous for =. For a clearer notation we use Σn for Σn and Σn for Σ=n. The operators , , and denote the union, intersection and set-difference. We denote the complement of a set AΣ by A¯={xΣxA}. We may mix the definition of sets with regular expressions, e.g., the expression 0Σ denotes the set {0xxΣ} and the expression 010 denotes the set {010nn}.

Machines.

We use the default model of a Turing machine in both the deterministic and non-deterministic variant. The language decided by a Turing machine M is denoted by L(M). We use Turing transducer to compute functions. For a Turing transducer F we write F(x)=y when on input x the transducer outputs y. Hence, a Turing transducer F computes a function and we may denote ”the function computed by F” by F itself. For a Turing machine or Turing transducer M, we denote the number of steps the longest path of the computation M(x) takes by time(M(x)). When calling a non-deterministic Turing machine M a non-deterministic Turing acceptor, then time(M(x)) denotes the number of steps the shortest accepting path of the computation M(x) takes, because Turing acceptors may endlessly loop on some computation paths. We denote the program code of a machine M with respect to some machine enumeration by M.

Functions.

The domain and range of a function f are denoted by dom(f) and ran(f). We use the notion of time-constructible functions as described in [1]. A function f: is called non-polynomial if for every polynomial p there is an n such that f(n)p(n). The function computing the maximum element of a finite subset of is denoted by max. Also, let :i0i(2+1) be an injective polynomial-time computable and polynomial-time invertible sequence encoding function such that |u1,,un|=2(|u1|++|un|+n)+1.

Complexity classes.

The definition of the basic complexity classes such as P, FP, NP, coNP, PH, PSPACE, E, coNE, NTIME, coNTIME and the mp-complete set TAUT for coNP can be found in [1]. A set SΣ is sparse if there is a polynomial p such that #Snp(n) for all n. We denote the class of all sparse sets as SPARSE. A disjoint NP-pair is a pair (A,B) of disjoint sets in NP. Let DisjNP denote the class containing all disjoint NP-pairs.

We say that a set A is polynomial-time many-one reducible to B, denoted by AmpB, if there exists a function fFP such that xAf(x)B for all xΣ. We say that a disjoint NP-pair (A,B) is polynomial-time many-one reducible to (C,D), denoted by (A,B)mpp(C,D), if there is a function fFP such that f(A)C and f(B)D. For any class 𝒞 and any notion of reducibility we say that A is -hard for 𝒞 when BA for all B𝒞. If additionally A𝒞, we say that A is -complete for 𝒞.

Proof systems.

We use proof systems for sets defined by Cook and Reckhow [14]. They define a function fFP to be a proof system for ran(f). Furthermore:

  • A proof system g is (p-)simulated by a proof system f, denoted by gf (resp., gpf), if there exists a total function π (resp., πFP) and a polynomial p such that |π(x)|p(|x|) and f(π(x))=g(x) for all xΣ. In this context the function π is called simulation function. Note that gpf implies gf.

  • A proof system f is (p-)optimal for ran(f), if gf (resp., gpf) for all gFP with ran(g)=ran(f).

In order to define jump operators, we must extend the definition of proof systems from polynomial-time computable functions to Turing transducers. There are two sensible options. First, one may consider any Turing transducer computing an FP function as a proof system, even if the transducer itself does not run in polynomial time. Alternatively, one may only consider Turing transducers running in polynomial time as proof systems. In this paper, we adopt the second option and thus identify proof systems with polynomial-time Turing transducers.

Recursive jump operator.

A jump operator for a set L is a function J:++ such that on input a, if a is the code of a proof system F for L, then J(a) is the code of a proof system G for L such that F cannot simulate G.555Note that the choice of which Turing transducers are regarded as a proof system is relevant here, since this determines the set of valid outputs as well as the set of inputs on which the jump operator is required to produce valid outputs. If additionally J is recursive, then J is a recursive jump operator.

3 Recursive Jump Operators for Sets Without Optimal Proof Systems

Köbler and Messner [31] show that the class of sets with optimal proof systems is downward-closed under mp-reducibility, with the trivial exception of , which admits no proof system by definition. Our first result follows up on this by showing that the class of sets with recursive jump operators is upward-closed under mp-reducibility. Second, we extract recursive jump operators from Messner’s [39] proof against the existence of optimal proof systems for sets in coNTIME(t) for non-polynomial and time-constructible t. Combining both results shows that the sets known to not have optimal proof system by Messner [39] also have recursive jump operators.

For the rest of this section, let P1,P2, be some standard enumeration of deterministic Turing transducers.

Theorem 1.

If A has a recursive jump operator and AmpB, then B also has a recursive jump operator.

Proof.

Let J denote the recursive jump operator for A and let AmpB via some function fFP. Let g be an arbitrary proof system for B and let be an arbitrary element from A. Define

g(x,w){x,if g(w)=f(x),otherwise.

Observe that g is a proof system for A, because xran(g) if and only if f(x)ran(g)=B. Let g denote the code of a Turing transducer computing g. Let

hJ(g),

i.e., h is a proof system for A such that g does not simulate h. Finally, define

h(w){f(h(w)),if w=1wg(w),if w=0w

Clearly h is a proof system for B. We show that g does not simulate h.

Suppose for the sake of contradiction that g simulates h via π, i.e., h(w)=g(π(w)) for all wΣ. Then g(π(1w))=h(1w)=f(h(w)). Consequently, g(h(w),π(1w))=h(w), showing that any h-proof has an at most polynomially longer g-proof. This is a contradiction to g not simulating h, so g does not simulate h.

Above construction provides a recursive jump operator J for B. Given any Turing transducer code a, J can compute the code b of a Turing transducer working like g where Pa is used for g. By assumption, J can use J to compute cJ(b). Finally, J can compute the code d of a Turing transducer computing h where Pa is used for g and Pc is used for h. Hence, J is recursive. Also, observe that if Pa is a proof system for B, then J can compute the codes b, c, and d such that Pb, Pc, and Pd are polynomial-time computable. Hence, J is recursive and if Pa is a proof system for B, then J(a)=d where Pd is a proof system for B that is not simulated by Pa. Above theorem can be helpful when approaching question Q1.

Corollary 2.

Let L and LmpTAUT. If L has recursive jump operators, then TAUT has recursive jump operators.

Next, we present the two most prominent results showing that there are sets without optimal proof systems.

Theorem 3 ([39, 40]).

Let t: be non-polynomial and time-constructible. Then there is a set LcoNTIME(t) for which no optimal proof system exists.

Corollary 4 ([39, 40]).

No set mp-hard for coNE has an optimal proof system.

We prove that the sets from Theorem 3 and Corollary 4 without optimal proof systems admit recursive jump operators. For this, we first define the sets considered in the proof of Theorem 3 and follow with our result.

Definition 5.

Let t: be non-polynomial and time-constructible. Let N1,N2, be a standard enumeration of non-deterministic Turing acceptors, and let U be a universal non-deterministic acceptor that on input 0i1x simulates Ni(0i1x) such that time(U(0i1x))citime(Ni(0i1x))+ci for some constant ci. For any i+ define

Li,t{x0i10U(x) does not accept in less than t(|x|) steps}

Define Lti+Li,t.

Note that by definition a time-constructible function t must satisfy t(n)n.

Observation 6.

It holds that LtcoNTIME(t).

Theorem 7.

Let t: be non-polynomial and time-constructible. Then Lt has a recursive jump operator.

Proof.

For i+ let D[i] denote a polynomial time Turing transducer with range 0i10 and D[i](0i10j)=0i10j for all j. For a+ let N[a] denote a non-deterministic Turing acceptor that on input y computes Pa(x)=y for all x and accepts on paths where y=y. Then N[a] accepts Lt if and only if ran(Pa)=Lt. It is clear that given a+ one can compute i+ such that Ni=N[a].

Algorithm 1 defines how the jump operator J for Lt operates.

Algorithm 1 Jump operator J for Lt.

It is clear that J is recursive and that b can be computed such that Pb’s runtime is in the order of magnitude of Pa and D[i]. We show that J is also a jump operator for Lt. Let a+ such that Pa is a proof system for Lt. Consequently, N[a]=Ni accepts Lt. Then it holds that

0i10Lt, (1)

because if 0i10jLt for some j, then U(0i10j) accepts meaning that also Ni(0i10j) accepts, a contradiction to Ni accepting Lt. Furthermore,

citime(Ni(x))+citime(U(x))t(|x|) for x0i10, (2)

because if U(x) accepts in less than t(|x|) steps, then xLt, contradicting 0i10Lt.

By (1), by ran(D[i])=0i10, and by Pa being a proof system for Lt, it follows that Pb is also a proof system for Lt. Furthermore, for x0i10, Pb(0x)=D[i](x)=x, so any x0i10 has a Pb-proof of length |x|+1. We show that the proof system Pa can not simulate the proof system Pb, because of Pb’s short proofs for 0i10.

Assume for the sake of contradiction that Pa simulates Pb via the function π whose output-length is bounded by the polynomial q. Let p be the polynomial bounding the runtime of Pa. For any xLt, let x^ be the lexicographically shortest Pa-proof for x. Since Ni(x) takes |x^| steps to guess the shortest Pa-proof for x and at most p(|x^|) steps to compute Pa(x^), from (2) we get

cip(|x^|)+|x^|+cicitime(Ni(x))+cit(|x|) for x0i10.

Since Pa simulates Pb via π, for all x0i10 it also holds that

|x^|q(|x|+1).

Let dimax{t(n)ni}. Then for all n it holds that

cip(q(n+1))+q(n+1)+ci+dit(n).

Note that cip(q(n+1))+q(n+1)+ci+di is polynomial in n. This contradicts that t is non-polynomial. So the assumption is false and Pa does not simulate Pb.

In total, J is recursive and when a is code of a proof system Pa for Lt, then b=J(a) is a code of a proof system Pb for Lt and Pa does not simulate Pb. Hence, J is a recursive jump operator for Lt.

Corollary 8.

All sets mp-hard for coNE have recursive jump operators.

Proof.

Let t(n)2n. By Theorem 7 and Observation 6, there is LtcoNTIME(t)coNE that has a recursive jump operator. Let L be an arbitrary mp-hard set for coNE. Then LtmpL and thus Theorem 1 gives that L also has recursive jump operators.

4 Oracle Against a Positive Answer to Q1

In this section, we construct a sparse oracle relative to which DisjNP has no mpp-complete sets and TAUT has no recursive jump operator. By a result of Razborov [45], there are also no optimal proof systems for TAUT relative to the sparse oracle. Using the approach of Egidy and Glaßer [19], we can combine this sparse oracle with an oracle relative to which the polynomial-time hierarchy is infinite and obtain an oracle that has the combined properties. First, we introduce some further definitions and oracle-specific notations and follow with the rigorous construction of the oracle.

4.1 Notation for the Oracle Construction

We relativize the concept of Turing machines and Turing transducers by giving them access to a write-only oracle tape. We say that two oracle transducers F and G are equivalent, denoted by FG, if they compute the same function. We relativize machines, complexity classes, proof systems, jump operators, and (p-)simulation by defining them over machines with oracle access, i.e., whenever a Turing machine or Turing transducer is part of a definition, we replace them by an oracle Turing machine or an oracle Turing transducer. We indicate the access to some oracle O in the superscript of the mentioned concepts, i.e., 𝒞O for a complexity class 𝒞 and MO for a Turing machine or Turing transducer M. We sometimes omit the oracles in the superscripts, e.g., when sketching ideas in order to convey intuition, but never in actual proofs. We also transfer all notations to the respective oracle concepts. Note that the coNP-complete set TAUT can be generalized such that for every oracle O, TAUTO is coNPO-complete. Fix some strictly monotone increasing polynomial pt such that TAUTO¯ is decidable in non-deterministic time pt relative to all oracles O.

Words and sets.

We denote the length of a word wΣ by |w|. The empty word has length 0 and is denoted by ε. The (i+1)-th letter of a word w for 0i<|w| is denoted by w(i), i.e., w=w(0)w(1)w(|w|1). If v is a (strict) prefix of w, we write vw (vw) or wv (wv).

We identify Σ with through a polynomial-time computable and polynomial-time invertible bijection enc:Σ defined as enc(w)=i<|w|(1+w(i))2i. Thus, we can treat words from Σ as numbers from and vice versa, which allows us to use notations, relations and operations of words for numbers and vice versa (e.g., we can define the length of a number by this). In particular, ran()0Σ. Expressions like 0i and 1i are ambiguous, because they can be interpreted as words from Σ or numbers. We resolve this ambiguity by the context or explicitly naming the interpretation. A word wΣ can be interpreted as a set {iw(i)=1} and subsequently as a partial oracle, which is defined for all words up to |w|1. So |w| is the first word that w is not defined for, i.e., |w|w1 and |w|w0. During the oracle construction we often use words from Σ to denote partially defined oracles. In particular, oracle queries for undefined words of a partial oracle are answered negatively.

For a deterministic Turing machine or transducer F and an oracle O, we define Q(FO(x)) as the set of words queried to the oracle by the computation FO(x). For a non-deterministic Turing machine N, we define Q(NO(x)) as the set of words queried on the leftmost accepting computation path of NO(x). If NO(x) rejects, then Q(NO(x)) is the empty set. Note that in the context of Q we view a chained computation like NO(FO(x)) as one computation that first computes FO(x)=y and then NO(y).

Functions.

A function f is an extension of a function f, denoted by ff or ff, if dom(f)dom(f) and f(x)=f(x) for all xdom(f). If xdom(f), then f{xy} denotes the extension f of f such that f(z)=f(z) for zx and f(x)=y. We define polynomial functions pi: for i+ by pi(n)ni+i.

Definite computations.

A computation Fw(x) is called definite, if w is defined for all words of length less than or equal to the runtime bound of Fw(x). A computation definitely accepts (resp., rejects), if it is definite and accepts (resp., rejects). We may combine computations to more complex expressions and call those definite, if every individual computation is definite, e.g., “Nw(Fw(x)) is definite” means Fw(x) outputs some y and is definite, and Nw(y) is definite.

Enumerations.

For any oracle O let {FiO}i+ be a standard enumeration of polynomial time oracle Turing transducers, where FiO has running time exactly pi. For any oracle O let {NiO}i+ be a standard enumeration of non-deterministic polynomial time oracle Turing machines, where NiO has running time exactly pi. For any oracle O, let {JiO}i+ be a standard enumeration of oracle Turing transducers and let {PiO}i+ be a different notation for the same enumeration. For readability, we will use the machines Ji when referring to candidate jump operators and the machines Pi when referring to candidate proof systems, although Ji is the same machine as Pi.

4.2 Oracle Construction

For this section, let A1Σ (equivalently A2) be arbitrary. We will treat A as some base oracle already present in the beginning of the construction. We will construct a sparse oracle O0Σ (equivalently O2+1), such that the desired properties hold relative to OA.

Witness pairs.

For each candidate disjoint NP-pair (C,D) we define a witness pair (Am,Bm)DisjNP showing that (Am,Bm)mpp(C,D), i.e., (Am,Bm) is a witness that (C,D) is no mpp-complete pair for DisjNP.

Definition 9 (Stages).

Define e: such that e(0)2 and e(n)2e(n1) for n+. For m define Hmie(m,i). Define =mHm.

Observation 10 (Properties of Hm).

P and HmP for all m.

Definition 11 (Witness pair).

For an oracle O and m define

AmO {0nnHm and O=n00Σn2}
BmO {0nnHm and O=n01Σn2}
Observation 12.

For all m and all oracles O, it holds that AmO,BmONPO.

Observation 13.

Let m and O be an oracle. If for all nHm it holds that O=n00Σn2= or O=n01Σn2=, then (AmO,BmO)DisjNPO.

Witness proof systems.

For each candidate recursive jump operator Ji we define many witness proof systems Wi,m possibly witnessing that Ji is no recursive jump operator for TAUT, i.e., Ji(Wi,m)=b and either Pb is no proof system for TAUT or Wi,m simulates Pb.

Theorem 14 (Relativized effective version of Kleene’s fixed-point theorem [29, 30, 49]).

There is a recursive function fp:++ such that for all i+ it holds that if Ji is total, then Pfp(i)OPJi(fp(i))O relative to any oracle O.

We use this fixed-point theorem to define our witness proof systems Wi,m such that they evaluate Ji on their own program code. For this, let i,m+ and let si,m:++ be a function that returns the code of the oracle-program defined in Algorithm 2 when given z+ as input. Note that O is a placeholder for an arbitrary oracle, let F be a proof system for TAUT relative to all oracles, and recall that pt is the polynomial bounding the number of steps to non-deterministically decide TAUT¯ relative to any oracle. We provide some intuition of Algorithm 2 after Observation 17.

Algorithm 2 Witness proof system with code si,m(z).

For all i,m+, let si,m denote the program code of a polynomial-time Turing transducer computing si,m. The following observation shows that such a Turing transducer exists.

Observation 15.

Let O be an arbitrary oracle. For all i,m+ it holds that

  1. (i)

    si,mFP.

  2. (ii)

    Pfp(si,m)OPsi,m(fp(si,m))O.

Proof.

Let i,m+ be arbitrary. It is clear that (i) holds. Property (ii) follows by the totality of si,m and Theorem 14 invoked with si,m for i.

Definition 16 (Witness proof systems).

Let O be an arbitrary oracle and let i,m+. Define Wi,mOPfp(si,m)OPsi,m(fp(si,m))O.

Observation 17.

The witness proof system Wi,m has code fp(si,m) and works like Algorithm 2 for i, m, and zfp(si,m).

With this, for every candidate recursive jump operator Ji, we have infinitely many witness proof systems Wi,m behaving like Algorithm 2 where z=Wi,m. So Wi,m first evaluates Ji on its own program code and obtains the code of a supposedly stronger proof system Pb. Depending on information in the oracle, Wi,m is allowed to simulate Pb. Here, the oracle should only allow the simulation of Pb if ran(Pb)TAUT. Lastly, Wi,m only simulates Pb if the simulation can be done in a polynomial number of steps, ensuring that Wi,m remains polynomial-time computable.

The following results show that if Pb is a proof system and the oracle has the right conditions, Wi,m is a proof system for TAUT that simulates Pb.

Lemma 18.

For all i,m+ and all oracles O it holds that if bJiO(fp(si,m)) is defined, then Wi,mO is total and runs in polynomial time. If additionally ran(PbO)TAUTO, then Wi,mO is a proof system for TAUTO.

Proof.

Consider Wi,mO. Line 2 does not depend on the size of the input and halts by assumption, thus requiring only constant time. Lines 3 and 4 are about at most polynomially many polysize oracle queries. Lines 5 and 6 are about simulating computations for a polynomially bounded number of steps. Finally, lines 8 and 12 simulate a proof system for TAUTO. Hence, Wi,mO runs in polynomial time.

Line 2 computes the number b from the assumption. Any output is either computed by PbO or FO, whose ranges are subsets of TAUTO. Hence, ran(Wi,m)TAUTO. Furthermore, line 3 never evaluates to TRUE for inputs of the form x,ε, so line 12 is executed for all xΣ at least once, resulting in ran(Wi,mO)ran(FO)=TAUTO. Consequently, ran(Wi,mO)=TAUTO. Together with Wi,mO running in polynomial time, we get that Wi,mO is a proof system for TAUTO.

Lemma 19.

Let i,m+ and O be an arbitrary oracle. Let bJiO(fp(si,m)) be defined and let PbO be a proof system for TAUTO. If 0i,0m,0nO for some n and 1i,1m,1nO for all n, then it holds that Wi,mO is a proof system for TAUTO simulating PbO.

Proof.

By Lemma 18 and PbO being a proof system for TAUTO, it follows that Wi,mO is also a proof system for TAUTO.

Let p be a strictly monotone increasing polynomial bounding the runtime of the proof system PbO. Let x be arbitrary such that line 3 evaluates to TRUE on input x,0p(|x|). Only finitely many x do not satisfy this. Also by assumption, line 4 always evaluates to TRUE. Then for the input x,0p(|x|) line 5 evaluates to TRUE, because PbO(x) halts in p(|x|) steps. Hence, for all but finitely many x it holds that Wi,m(x,0p(|x|))=PbO(x). Consequently, Wi,mO has at most polynomially longer proofs than PbO, so Wi,mO simulates PbO.

Valid oracles.

During the construction of the oracle, we successively add requirements that we maintain. These are specified by a function r:+××, called requirement function. Recall that A1Σ denotes an arbitrary base oracle. An oracle w is r-valid for a requirement function r, if it satisfies the following requirements (let i,j,m+):

  1. V1

    w0Σ and #(wΣn)2 for all n+.

    (Meaning: w2+1 and w is sparse.)

  2. V2

    If 0i,0m,0nw or 1i,1m,1nw for some n, then n>time(JiwA(fp(si,m))).

    (Meaning: Codings for Wi,m can not be queried during the simulation in line 2.)

  3. V3

    If r(i,0,0)=m>1, then 1i,1m,1nw for all n.

    (Meaning: Here, Wi,m commits to also return by line 6.)

  4. V4

    If r(i,j,0)=m>0, then #(wΣn)1 for all nHm.

    (Meaning: (Am,Bm) is disjoint relative to A combined with any extension of w.)

We will prove that V1, V2, V3 and V4 are satisfied for various oracles and requirement functions. To prevent confusion, we use the notation V1(w), V2(w), V3(w,r) and V4(w,r) to clearly state the referred oracle w and requirement function r.

Observation 20.

If w is an r-valid oracle, then w0 is r-valid.

Observation 21.

If w is r-valid, then w is also r-valid for any rr.

Observation 22.

If w is r-valid and vw, then v is also r-valid.

Oracle construction.

The oracle construction will take care of the following set of tasks {τi,j,ki+,j,k} that are defined below. Let 𝒯 be an enumeration of these tasks with the property that τi,j,k appears earlier than τi,j,k+1. In each step we treat the smallest task in the order specified by 𝒯, and after treating a task we remove it from 𝒯.

In step s=0 we define w0ε and r0 as the nowhere defined requirement function. In step s>0 we define wsws1 and rsrs1 such that ws is rs-valid by treating the earliest task τ in 𝒯 and removing it from 𝒯. We do this according to the following procedure (let i,j,k+):

Task τi,0,0

  1. 1.

    If there exists an rs1-valid partial oracle vws1 such that there are a+ and xΣ with

    1. a.

      Pa is a proof system for TAUT relative to A combined with any fully defined rs1-valid extension of v,

    2. b.

      JivA(a)=b is definite,

    3. c.

      PbvA(x)TAUTvA is definite,

    then define wsv and rsrs1{(i,0,0)0}.

    (Meaning: Ji will not be a jump operator, because Ji maps some code a to some code b, while Pa will be and Pb will not be a proof system for TAUT relative to the final oracle.)

  2. 2.

    Otherwise, if there exists an a+ such that Ji(a) never halts relative to A combined with any rs1-valid partial extension of ws1, then define wsws10 and rsrs1{(i,0,0)1}.

    (Meaning: Ji will not be a recursive jump operator, because Ji will not be total.)

  3. 3.

    Otherwise,

    1. a.

      let m|ws1|+2,

    2. b.

      let vws1 be the smallest rs1-valid partial oracle such that JivA(fp(si,m)) halts in less than v steps,

    3. c.

      and let v be an extension of v via zeros such that 0i,0m,0vv1.

    Then define wsv1 and rsrs1{(i,0,0)m}.

    (Meaning: Choose a sufficiently large m such that ws1 can not contain words of the form 0i,0m, and let ws contain the permission such that Wi,m can return by line 6, thereby ruling out Ji as a jump operator. Statement 3b is possible since Case 2 failed.)


Task τi,j,0

  1. 1.

    If there exists an rs1-valid partial oracle vws1 such that there is an x with NivA(x) and NjvA(x) accept definitely, then define wsv and rsrs1{(i,j,0)0}. Remove all tasks τi,j,k with k+ from 𝒯.

    (Meaning: The pair (L(Ni),L(Nj)) is not disjoint.)

  2. 2.

    Otherwise, define wsws10 and rsrs1{(i,j,0)|ws|+2}.

    (Meaning: Assign the pair (L(Ni),L(Nj)) some witness pair (A|ws|+2,B|ws|+2) and promise to keep the witness-pair disjoint.)


Task τi,j,k

  1. 1.

    Let mrs1(i,j,0) and let vws1 be rs1-valid such that v=0n with nHm and 2n2>6(pi+j(pk(n)))2+1. Choose

    1. a.

      either z00Σn2 such that Niv{z}A(Fkv{z}A(0n)) rejects

    2. b.

      or z01Σn2 such that Njv{z}A(Fkv{z}A(0n)) rejects.

    Then define rsrs1{(i,j,k)0} and define wsv such that it contains the same words as v{z} and ws=2pi+j(pk(n))+1.

    (Meaning: The witness pair (Am,Bm) is not reducible to (L(Ni),L(Nj)) via Fk. It must be shown that z can be chosen as stated. Intuitively, this follows from rs1(i,j,0)0.)

Definition 23 (Desired Oracle).

Define Osws and rsrs.

It remains to show that Definition 23 is well-defined (i.e., that all steps of the oracle construction can be performed and makes real progress) and that O satisfies the desired properties. In Lemma 24, we show that O can be constructed as stated, in particular, we show that Case 3 of task τi,0,0 and Case 1 of task τi,j,k are possible. The Propositions 29, 30, and 31 show that O satisfies all the desired properties.

Lemma 24.

For all s it holds that ws, rs are well-defined, wsws+1, rsrs+1 and that ws is rs-valid.

Proof.

It is clear that w0 and r0 are well-defined and that w0 is r0-valid. Let s+ and ws be rs-valid for s<s. The following three claims show that ws is both well-defined and rs-valid when defined by any given task. Let i,j,k+.

Claim 25.

ws is well-defined and rs-valid when defined by task τi,0,0.

Proof sketch. When the task is treated by the Cases 1 or 2, then the claim follows from the choice of ws and Observation 20. For Case 3, the well-definedness follows from Case 2 failing and Observation 20. The rs-validity follows from carefully choosing an rs1-valid oracle v and from Observation 20.

Claim 26.

ws is well-defined and rs-valid when defined by task τi,j,0.

Proof.

If ws is defined by Case 1 of task τi,j,0 then ws is explicitly chosen as an rs1-valid extension of ws1. Furthermore, no additional requirement must hold by the extension of rs1 to rs via {(i,j,0)0}. So ws is also rs-valid.

Otherwise ws=ws10. By Observation 20, ws remains rs1-valid. The extension of rs1 to rs via {(i,j,0)|ws|+2} affects V4. Since ws<rs(i,j,0), ws is not defined for words of any length in Hm. Hence, V4(ws,rs) also remains satisfied. Consequently, ws is rs-valid also in this case.

Claim 27.

ws is well-defined and rs-valid when defined by task τi,j,k.

Proof sketch. The main challenge is to show that choosing an appropriate z0Σn1 for some n is possible. We prove the existence of such z by a proof by contradiction. If no choice of z satisfies neither Statement 1a nor Statement 1b, then Ni(Fk(0n)) and Nj(Fk(0n)) must accept for at least 2n2 pairwise different choices of z respectively. Since every such accepting path queries at most polynomially many words, it is possible to choose z000Σn2 and z101Σn2 such that Ni(Fk(0n)) does not query z1 and Nj(Fk(0n)) does not query z0. Hence, by adding z0 and z1 to the oracle, both Ni(Fk(0n)) and Nj(Fk(0n)) accept. From this we infer a contradiction on how the task τi,j,0 was treated, as Case 1 would have already ruled out Ni and Nj to work disjoint.

Lemma 28.

O is r-valid.

Proof.

Follows from Lemma 24 and that any violation of V1 to V4 would also be a violation for some pair (ws,rs) with s.

Proposition 29.

OSPARSE.

Proof.

Follows by V1(O) which holds by Lemma 28.

Proposition 30.

There are no recursive jump operators for TAUT relative to OA.

Proof sketch. We assume that there is some recursive jump operator Ji and derive a contradiction by analyzing the treatment of task τi,0,0. The Cases 1 and 2 achieve this contradiction almost by definition: the latter by showing that Ji is not recursive and the former by showing that Ji maps some proof system Pa for TAUT onto some transducer Pb which is no proof system for TAUT. Case 3 achieves a contradiction by showing that Ji maps some proof system for TAUT, namely Wi,m for some m, onto some transducer Pb which is simulated by Wi,m. The simulation is possible, because Wi,m uses Kleene’s fixed point theorem to compute this mapping of Ji itself. Now, either ran(Pb)TAUT and Wi,m can safely simulate Pb. Or ran(Pb)TAUT, then we show that τi,0,0 would have been treated by Case 1. The latter is enabled by the possibility to revoke the permission of Wi,m to simulate Pb via words of the form 1+,1+,1 inside the oracle. In total, all options to treat τi,0,0 lead to a contradiction.

Proposition 31.

There are no mpp-complete disjoint NP-pairs relative to OA.

Proof sketch. We assume that there is some mpp-complete pair (L(Ni),L(Nj)) and derive a contradiction by analyzing the treatment of the tasks τi,j,0 and τi,j,k for k+. When τi,j,0 is treated by Case 1, then the oracle is chosen such that L(Ni) and L(Nj) are not disjoint. Otherwise, the tasks τi,j,1,τi,j,2, are treated. These tasks constructs the witness pair (Am,Bm) such that it remains disjoint and such that it is not reducible to (L(Ni),L(Nj)) via F1,F2,, thus ruling out the reducibility to (L(Ni),L(Nj)).

Theorem 32.

Let A2 be arbitrary. There is a sparse oracle O2+1 relative to which DisjNPOA has no mpp-complete pairs, TAUTOA has no optimal proof systems, and TAUTOA has no recursive jump operators relative to OA.

Proof.

Take oracle O from Definition 23. Then the properties for O and OA follow by Propositions 29, 30, 31, and the fact that the non-existence of mpp-complete pairs for DisjNP relativizably implies that TAUT has no optimal proof systems by Razborov [45].

Corollary 33.

There is an oracle B relative to which PHB is infinite, DisjNPB has no mpp-complete pairs, TAUTB has no optimal proof systems, and TAUTB has no recursive jump operators relative to B.

Proof.

Let A be the oracle of Yao [50] relative to which the polynomial-time hierarchy is infinite. Without loss of generality, A2. Let O2+1 be the sparse oracle from Theorem 32 such that the properties of Theorem 32 hold relative to OA.

By results of Balcázar, Book, and Schöning [2] and Long and Selman [38], if the polynomial-time hierarchy is infinite, then the polynomial-time hierarchy is also infinite relative to any sparse oracle. Egidy and Glaßer [19, Cor. 3.18] show that this result allows us to combine above oracle A2 relative to which the polynomial-time hierarchy is infinite with above sparse oracle O2+1 and the polynomial-time hierarchy remains infinite relative to OA. Then BOA is the desired oracle of this theorem.

Corollary 34.

Question Q1 can not be answered in the positive by relativizable means, even when assuming that the polynomial-time hierarchy is infinite.

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