Recursive Jump Operators and Optimal Proof Systems
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 , 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 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 rules out optimal proof systems for . Khaniki (FOCS 2024) is interested in the converse of this implication and explicitly poses the following question, where denotes the set of propositional tautologies.
-
Q: Does the non-existence of optimal proof systems for imply the existence of
recursive jump operators for ?
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.
-
: The polynomial-time hierarchy is infinite, has no optimal proof systems, and
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 . We prove that the existence of recursive jump operators is upward closed under -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 OperatorsCategory:
Track A: Algorithms, Complexity and GamesFunding:
Fabian Egidy: supported by the German Academic Scholarship Foundation.2012 ACM Subject Classification:
Theory of computation Oracles and decision trees ; Theory of computation Proof complexity ; Theory of computation Complexity classesAcknowledgements:
We wish to thank Christian Glaßer for his permanent advice and helpful feedback.Editors:
Sayan Bhattacharya, Danupon Nanongkai, Michael Benedikt, and Gabriele PuppisSeries and Publisher:
Leibniz International Proceedings in Informatics, Schloss Dagstuhl – Leibniz-Zentrum für Informatik
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 is a polynomial time computable function whose range is . Two such proof systems for the same set are compared with each other using the notion of simulation. A proof system simulates a proof system if there exists a polynomially-bounded total function such that for all . Intuitively, the proofs of are at most polynomially longer than the proofs of . By Krajíček and Pudlák [36], a proof system for a set is optimal if simulates all proof systems for . In other words, an optimal proof system for has at most polynomially longer proofs than any other proof system for .
One of the main open questions in proof complexity is whether has optimal proof systems, where denotes the set of propositional tautologies (cf. [36, 35]). In fact, it is even open whether there exists any set outside 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 a negative answer is conjectured [36].
| C1: has no optimal proof system. |
Another concept in proof complexity are recursive jump operators. A jump operator for a set is a function such that for any proof system for , is a proof system for that cannot simulate. If additionally, is recursive, we call a recursive jump operator for 111For 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 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: has a recursive jump operator. |
It is immediate that the existence of an optimal proof system for is equivalent to possessing no non-recursive jump operators [36]. Similarly, it is clear that the existence of a recursive jump operator for implies that 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 333For all non-empty 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 imply the existence of | ||
| recursive jump operators for ? |
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 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 there are sets in that do not have optimal proof systems and that all -hard sets for 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 , 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 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 . Krajíček and Pudlák [36] showed that implies the existence of optimal proof systems for , which was improved to 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 implies the existence of -complete sets for , i.e., the class of disjoint -pairs defined by Selman [48] and Selman and Grollman [25]. Initiated by this result, many further connections between proof systems for and disjoint -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 , , ) 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 is to provide a computable procedure that takes an arbitrary proof system and produces an improved system that efficiently proves tautologies for which 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 is equivalent to the non-existence of optimal proof systems for 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 , 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].
| : The polynomial-time hierarchy is infinite, has no optimal proof systems, | ||
| and has no recursive jump operators |
The oracle 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 , 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 -reducibility for the class of all sets with optimal proof systems proved by Köbler and Messner [31], Messner obtains that all -hard sets for do not have optimal proof systems.
First, we show that the existence of recursive jump operators is upward closed under -reducibility, i.e., the existence of recursive jump operators for implies the existence of recursive jump operators for any set such that (cf. Theorem 1). This is a dual result to the -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,
-
has no optimal proof systems,
-
has no recursive jump operators.
We achieve this by constructing a sparse oracle relative to which there are no -complete disjoint -pairs and no recursive jump operators for . By a result of Razborov [45], our oracle then also has no optimal proof systems for . 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 and notations for the same standard enumeration of Turing transducers. For clarity, we use the enumeration when referring to candidate recursive jump operators and when referring to candidate proof systems. We treat all as candidate recursive jump operators for and diagonalize against them. Let be an arbitrary such candidate.
The key idea is to construct a witness proof system that evaluates on its own program code and neutralizes ’s jump. We achieve this by using an effective version of Kleene’s [29, 30, 49] fixed-point theorem. Informally, the Turing transducer works as follows:
-
computes , which is possible by an invocation of the fixed-point theorem.
-
Depending on carefully encoded information in the oracle, may either:
-
–
simulate the allegedly stronger proof system , or
-
–
fall back to a fixed, baseline proof system for .
-
–
There are three ways in which can fail to be a recursive jump operator. Namely, if there is some such that
-
F1
does not halt.
-
F2
and is a proof system for and is no proof system for .
-
F3
and , are proof systems for , but simulates .
Note that properties such as “ is a proof system for ” are generally not robust under extensions of the oracle444Meaning, just because is a proof system for relative to some partial oracle does not mean that this holds relative to extensions of .. We have to account for that in the oracle construction, but for simplicity, we will ignore it in this sketch.
When diagonalizing against , 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 . Since Case F1 failed, is defined. Since Case F2 failed, is a proof system for . We then add some suitable code word to the oracle that allows to simulate . Then , and are proof systems for and simulates .
Towards no complete disjoint sets.
We diagonalize against all disjoint -pairs for being -complete. Given a pair of -machines , we define a corresponding witness disjoint pair whose elements are determined by the oracle on carefully chosen designated lengths. In particular, if is of designated length and the oracle contains words from . Analogous for and .
For each candidate reduction function , we ensure that via . We immediately diagonalize successfully, if we can add some word from (resp., ) to the oracle and (resp., ) rejects. If neither is possible, then both machines must accept on an exponential number of distinct oracle extensions obtained by words of length . 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, and are not disjoint, and hence do not form a -complete disjoint -pair.
2 Basic Definitions and Notations
Sets.
Let be the default alphabet and be the set of finite words over . The set of all (positive) natural numbers is denoted by (). For , we define . We write the empty set as . The cardinality of a set is denoted by . For a set and a number , we define and analogous for . For a clearer notation we use for and for . The operators , , and denote the union, intersection and set-difference. We denote the complement of a set by . We may mix the definition of sets with regular expressions, e.g., the expression denotes the set and the expression denotes the set .
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 is denoted by . We use Turing transducer to compute functions. For a Turing transducer we write when on input the transducer outputs . Hence, a Turing transducer computes a function and we may denote ”the function computed by ” by itself. For a Turing machine or Turing transducer , we denote the number of steps the longest path of the computation takes by . When calling a non-deterministic Turing machine a non-deterministic Turing acceptor, then denotes the number of steps the shortest accepting path of the computation takes, because Turing acceptors may endlessly loop on some computation paths. We denote the program code of a machine with respect to some machine enumeration by .
Functions.
The domain and range of a function are denoted by and . We use the notion of time-constructible functions as described in [1]. A function is called non-polynomial if for every polynomial there is an such that . The function computing the maximum element of a finite subset of is denoted by . Also, let be an injective polynomial-time computable and polynomial-time invertible sequence encoding function such that .
Complexity classes.
The definition of the basic complexity classes such as , , , , , , , , , and the -complete set for can be found in [1]. A set is sparse if there is a polynomial such that for all . We denote the class of all sparse sets as . A disjoint -pair is a pair of disjoint sets in . Let denote the class containing all disjoint -pairs.
We say that a set is polynomial-time many-one reducible to , denoted by , if there exists a function such that for all . We say that a disjoint -pair is polynomial-time many-one reducible to , denoted by , if there is a function such that and . For any class and any notion of reducibility we say that is -hard for when for all . If additionally , we say that is -complete for .
Proof systems.
We use proof systems for sets defined by Cook and Reckhow [14]. They define a function to be a proof system for . Furthermore:
-
A proof system is (p-)simulated by a proof system , denoted by (resp., ), if there exists a total function (resp., ) and a polynomial such that and for all . In this context the function is called simulation function. Note that implies .
-
A proof system is (p-)optimal for , if (resp., ) for all with .
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 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 is a function such that on input , if is the code of a proof system for , then is the code of a proof system for such that cannot simulate .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 is recursive, then 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 -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 -reducibility. Second, we extract recursive jump operators from Messner’s [39] proof against the existence of optimal proof systems for sets in for non-polynomial and time-constructible . 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 be some standard enumeration of deterministic Turing transducers.
Theorem 1.
If has a recursive jump operator and , then also has a recursive jump operator.
Proof.
Let denote the recursive jump operator for and let via some function . Let be an arbitrary proof system for and let be an arbitrary element from . Define
Observe that is a proof system for , because if and only if . Let denote the code of a Turing transducer computing . Let
i.e., is a proof system for such that does not simulate . Finally, define
Clearly is a proof system for . We show that does not simulate .
Suppose for the sake of contradiction that simulates via , i.e., for all . Then . Consequently, , showing that any -proof has an at most polynomially longer -proof. This is a contradiction to not simulating , so does not simulate .
Above construction provides a recursive jump operator for . Given any Turing transducer code , can compute the code of a Turing transducer working like where is used for . By assumption, can use to compute . Finally, can compute the code of a Turing transducer computing where is used for and is used for . Hence, is recursive. Also, observe that if is a proof system for , then can compute the codes , , and such that , , and are polynomial-time computable. Hence, is recursive and if is a proof system for , then where is a proof system for that is not simulated by . Above theorem can be helpful when approaching question Q1.
Corollary 2.
Let and . If has recursive jump operators, then 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 be non-polynomial and time-constructible. Then there is a set for which no optimal proof system exists.
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 be non-polynomial and time-constructible. Let be a standard enumeration of non-deterministic Turing acceptors, and let be a universal non-deterministic acceptor that on input simulates such that for some constant . For any define
Define .
Note that by definition a time-constructible function must satisfy .
Observation 6.
It holds that .
Theorem 7.
Let be non-polynomial and time-constructible. Then has a recursive jump operator.
Proof.
For let denote a polynomial time Turing transducer with range and for all . For let denote a non-deterministic Turing acceptor that on input computes for all and accepts on paths where . Then accepts if and only if . It is clear that given one can compute such that .
Algorithm 1 defines how the jump operator for operates.
It is clear that is recursive and that can be computed such that ’s runtime is in the order of magnitude of and . We show that is also a jump operator for . Let such that is a proof system for . Consequently, accepts . Then it holds that
| (1) |
because if for some , then accepts meaning that also accepts, a contradiction to accepting . Furthermore,
| (2) |
because if accepts in less than steps, then , contradicting .
By (1), by , and by being a proof system for , it follows that is also a proof system for . Furthermore, for , , so any has a -proof of length . We show that the proof system can not simulate the proof system , because of ’s short proofs for .
Assume for the sake of contradiction that simulates via the function whose output-length is bounded by the polynomial . Let be the polynomial bounding the runtime of . For any , let be the lexicographically shortest -proof for . Since takes steps to guess the shortest -proof for and at most steps to compute , from (2) we get
Since simulates via , for all it also holds that
Let . Then for all it holds that
Note that is polynomial in . This contradicts that is non-polynomial. So the assumption is false and does not simulate .
In total, is recursive and when is code of a proof system for , then is a code of a proof system for and does not simulate . Hence, is a recursive jump operator for .
Corollary 8.
All sets -hard for have recursive jump operators.
Proof.
4 Oracle Against a Positive Answer to Q1
In this section, we construct a sparse oracle relative to which has no -complete sets and has no recursive jump operator. By a result of Razborov [45], there are also no optimal proof systems for 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 and are equivalent, denoted by , 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 in the superscript of the mentioned concepts, i.e., for a complexity class and for a Turing machine or Turing transducer . 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 -complete set can be generalized such that for every oracle , is -complete. Fix some strictly monotone increasing polynomial such that is decidable in non-deterministic time relative to all oracles .
Words and sets.
We denote the length of a word by . The empty word has length and is denoted by . The -th letter of a word for is denoted by , i.e., . If is a (strict) prefix of , we write () or ().
We identify with through a polynomial-time computable and polynomial-time invertible bijection defined as . Thus, we can treat words from 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, . Expressions like and are ambiguous, because they can be interpreted as words from or numbers. We resolve this ambiguity by the context or explicitly naming the interpretation. A word can be interpreted as a set and subsequently as a partial oracle, which is defined for all words up to . So is the first word that is not defined for, i.e., and . During the oracle construction we often use words from 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 and an oracle , we define as the set of words queried to the oracle by the computation . For a non-deterministic Turing machine , we define as the set of words queried on the leftmost accepting computation path of . If rejects, then is the empty set. Note that in the context of we view a chained computation like as one computation that first computes and then .
Functions.
A function is an extension of a function , denoted by or , if and for all . If , then denotes the extension of such that for and . We define polynomial functions for by .
Definite computations.
A computation is called definite, if is defined for all words of length less than or equal to the runtime bound of . 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., “ is definite” means outputs some and is definite, and is definite.
Enumerations.
For any oracle let be a standard enumeration of polynomial time oracle Turing transducers, where has running time exactly . For any oracle let be a standard enumeration of non-deterministic polynomial time oracle Turing machines, where has running time exactly . For any oracle , let be a standard enumeration of oracle Turing transducers and let be a different notation for the same enumeration. For readability, we will use the machines when referring to candidate jump operators and the machines when referring to candidate proof systems, although is the same machine as .
4.2 Oracle Construction
For this section, let (equivalently ) be arbitrary. We will treat as some base oracle already present in the beginning of the construction. We will construct a sparse oracle (equivalently ), such that the desired properties hold relative to .
Witness pairs.
For each candidate disjoint -pair we define a witness pair showing that , i.e., is a witness that is no -complete pair for .
Definition 9 (Stages).
Define such that and for . For define . Define .
Observation 10 (Properties of ).
and for all .
Definition 11 (Witness pair).
For an oracle and define
Observation 12.
For all and all oracles , it holds that .
Observation 13.
Let and be an oracle. If for all it holds that or , then .
Witness proof systems.
For each candidate recursive jump operator we define many witness proof systems possibly witnessing that is no recursive jump operator for , i.e., and either is no proof system for or simulates .
Theorem 14 (Relativized effective version of Kleene’s fixed-point theorem [29, 30, 49]).
There is a recursive function such that for all it holds that if is total, then relative to any oracle .
We use this fixed-point theorem to define our witness proof systems such that they evaluate on their own program code. For this, let and let be a function that returns the code of the oracle-program defined in Algorithm 2 when given as input. Note that is a placeholder for an arbitrary oracle, let be a proof system for relative to all oracles, and recall that is the polynomial bounding the number of steps to non-deterministically decide relative to any oracle. We provide some intuition of Algorithm 2 after Observation 17.
For all , let denote the program code of a polynomial-time Turing transducer computing . The following observation shows that such a Turing transducer exists.
Observation 15.
Let be an arbitrary oracle. For all it holds that
-
(i)
.
-
(ii)
.
Proof.
Let be arbitrary. It is clear that (i) holds. Property (ii) follows by the totality of and Theorem 14 invoked with for .
Definition 16 (Witness proof systems).
Let be an arbitrary oracle and let . Define .
Observation 17.
The witness proof system has code and works like Algorithm 2 for , , and .
With this, for every candidate recursive jump operator , we have infinitely many witness proof systems behaving like Algorithm 2 where . So first evaluates on its own program code and obtains the code of a supposedly stronger proof system . Depending on information in the oracle, is allowed to simulate . Here, the oracle should only allow the simulation of if . Lastly, only simulates if the simulation can be done in a polynomial number of steps, ensuring that remains polynomial-time computable.
The following results show that if is a proof system and the oracle has the right conditions, is a proof system for that simulates .
Lemma 18.
For all and all oracles it holds that if is defined, then is total and runs in polynomial time. If additionally , then is a proof system for .
Proof.
Consider . 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 . Hence, runs in polynomial time.
Line 2 computes the number from the assumption. Any output is either computed by or , whose ranges are subsets of . Hence, . Furthermore, line 3 never evaluates to TRUE for inputs of the form , so line 12 is executed for all at least once, resulting in . Consequently, . Together with running in polynomial time, we get that is a proof system for .
Lemma 19.
Let and be an arbitrary oracle. Let be defined and let be a proof system for . If for some and for all , then it holds that is a proof system for simulating .
Proof.
By Lemma 18 and being a proof system for , it follows that is also a proof system for .
Let be a strictly monotone increasing polynomial bounding the runtime of the proof system . Let be arbitrary such that line 3 evaluates to TRUE on input . Only finitely many do not satisfy this. Also by assumption, line 4 always evaluates to TRUE. Then for the input line 5 evaluates to TRUE, because halts in steps. Hence, for all but finitely many it holds that . Consequently, has at most polynomially longer proofs than , so simulates .
Valid oracles.
During the construction of the oracle, we successively add requirements that we maintain. These are specified by a function , called requirement function. Recall that denotes an arbitrary base oracle. An oracle is -valid for a requirement function , if it satisfies the following requirements (let ):
-
V1
and for all .
(Meaning: and is sparse.)
-
V2
If or for some , then .
(Meaning: Codings for can not be queried during the simulation in line 2.)
-
V3
If , then for all .
(Meaning: Here, commits to also return by line 6.)
-
V4
If , then for all .
(Meaning: is disjoint relative to combined with any extension of .)
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(), V2(), V3() and V4() to clearly state the referred oracle and requirement function .
Observation 20.
If is an -valid oracle, then is -valid.
Observation 21.
If is -valid, then is also -valid for any .
Observation 22.
If is -valid and , then is also -valid.
Oracle construction.
The oracle construction will take care of the following set of tasks that are defined below. Let be an enumeration of these tasks with the property that appears earlier than . In each step we treat the smallest task in the order specified by , and after treating a task we remove it from .
In step we define and as the nowhere defined requirement function. In step we define and such that is -valid by treating the earliest task in and removing it from . We do this according to the following procedure (let ):
Task
-
1.
If there exists an -valid partial oracle such that there are and with
-
a.
is a proof system for relative to combined with any fully defined -valid extension of ,
-
b.
is definite,
-
c.
is definite,
then define and .
(Meaning: will not be a jump operator, because maps some code to some code , while will be and will not be a proof system for relative to the final oracle.)
-
a.
-
2.
Otherwise, if there exists an such that never halts relative to combined with any -valid partial extension of , then define and .
(Meaning: will not be a recursive jump operator, because will not be total.)
-
3.
Otherwise,
-
a.
let ,
-
b.
let be the smallest -valid partial oracle such that halts in less than steps,
-
c.
and let be an extension of via zeros such that .
Then define and .
-
a.
Task
-
1.
If there exists an -valid partial oracle such that there is an with and accept definitely, then define and . Remove all tasks with from .
(Meaning: The pair is not disjoint.)
-
2.
Otherwise, define and .
(Meaning: Assign the pair some witness pair and promise to keep the witness-pair disjoint.)
Task
-
1.
Let and let be -valid such that with and . Choose
-
a.
either such that rejects
-
b.
or such that rejects.
Then define and define such that it contains the same words as and .
(Meaning: The witness pair is not reducible to via . It must be shown that can be chosen as stated. Intuitively, this follows from .)
-
a.
Definition 23 (Desired Oracle).
Define and .
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 satisfies the desired properties. In Lemma 24, we show that can be constructed as stated, in particular, we show that Case 3 of task and Case 1 of task are possible. The Propositions 29, 30, and 31 show that satisfies all the desired properties.
Lemma 24.
For all it holds that , are well-defined, , and that is -valid.
Proof.
It is clear that and are well-defined and that is -valid. Let and be -valid for . The following three claims show that is both well-defined and -valid when defined by any given task. Let .
Claim 25.
is well-defined and -valid when defined by task .
Proof sketch. When the task is treated by the Cases 1 or 2, then the claim follows from the choice of and Observation 20. For Case 3, the well-definedness follows from Case 2 failing and Observation 20. The -validity follows from carefully choosing an -valid oracle and from Observation 20.
Claim 26.
is well-defined and -valid when defined by task .
Proof.
If is defined by Case 1 of task then is explicitly chosen as an -valid extension of . Furthermore, no additional requirement must hold by the extension of to via . So is also -valid.
Otherwise . By Observation 20, remains -valid. The extension of to via affects V4. Since , is not defined for words of any length in . Hence, V4() also remains satisfied. Consequently, is -valid also in this case.
Claim 27.
is well-defined and -valid when defined by task .
Proof sketch. The main challenge is to show that choosing an appropriate for some is possible. We prove the existence of such by a proof by contradiction. If no choice of satisfies neither Statement 1a nor Statement 1b, then and must accept for at least pairwise different choices of respectively. Since every such accepting path queries at most polynomially many words, it is possible to choose and such that does not query and does not query . Hence, by adding and to the oracle, both and accept. From this we infer a contradiction on how the task was treated, as Case 1 would have already ruled out and to work disjoint.
Lemma 28.
is -valid.
Proof.
Follows from Lemma 24 and that any violation of V1 to V4 would also be a violation for some pair with .
Proposition 29.
.
Proof.
Proposition 30.
There are no recursive jump operators for relative to .
Proof sketch. We assume that there is some recursive jump operator and derive a contradiction by analyzing the treatment of task . The Cases 1 and 2 achieve this contradiction almost by definition: the latter by showing that is not recursive and the former by showing that maps some proof system for onto some transducer which is no proof system for . Case 3 achieves a contradiction by showing that maps some proof system for , namely for some , onto some transducer which is simulated by . The simulation is possible, because uses Kleene’s fixed point theorem to compute this mapping of itself. Now, either and can safely simulate . Or , then we show that would have been treated by Case 1. The latter is enabled by the possibility to revoke the permission of to simulate via words of the form inside the oracle. In total, all options to treat lead to a contradiction.
Proposition 31.
There are no -complete disjoint -pairs relative to .
Proof sketch. We assume that there is some -complete pair and derive a contradiction by analyzing the treatment of the tasks and for . When is treated by Case 1, then the oracle is chosen such that and are not disjoint. Otherwise, the tasks are treated. These tasks constructs the witness pair such that it remains disjoint and such that it is not reducible to via , thus ruling out the reducibility to .
Theorem 32.
Let be arbitrary. There is a sparse oracle relative to which has no -complete pairs, has no optimal proof systems, and has no recursive jump operators relative to .
Proof.
Take oracle from Definition 23. Then the properties for and follow by Propositions 29, 30, 31, and the fact that the non-existence of -complete pairs for relativizably implies that has no optimal proof systems by Razborov [45].
Corollary 33.
There is an oracle relative to which is infinite, has no -complete pairs, has no optimal proof systems, and has no recursive jump operators relative to .
Proof.
Let be the oracle of Yao [50] relative to which the polynomial-time hierarchy is infinite. Without loss of generality, . Let be the sparse oracle from Theorem 32 such that the properties of Theorem 32 hold relative to .
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 relative to which the polynomial-time hierarchy is infinite with above sparse oracle and the polynomial-time hierarchy remains infinite relative to . Then 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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