MerLean-example

27 Thm 6: Alon–Chung Bound

Definition 305 Induced Edge Set
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Let \(G = (V, E)\) be a simple graph and \(S \subseteq V\) a finite subset. The induced edge set of \(S\) is

\[ X(S)_1 \; =\; \{ e \in E \mid \forall \, v \in e,\; v \in S \} \; =\; E \cap S^{(2)}, \]

where \(S^{(2)}\) denotes the set of unordered pairs of elements of \(S\).

Lemma 306 Membership in Induced Edges

For a simple graph \(G\) on \(V\), a subset \(S \subseteq V\), and an unordered pair \(e \in \operatorname {Sym}^2(V)\),

\[ e \in X(S)_1 \; \Longleftrightarrow \; e \in E(G) \; \land \; \forall \, v \in e,\; v \in S. \]
Proof

This follows by unfolding the definition of \(X(S)_1 = E(G) \cap S^{(2)}\) and applying the characterisation of membership in \(S^{(2)}\): by simplification, \(e \in E(G) \cap S^{(2)}\) if and only if \(e \in E(G)\) and every vertex of \(e\) lies in \(S\).

Lemma 307 Nonemptiness of Induced Edges

If there exists an edge \(e \in E(G)\) such that every vertex of \(e\) lies in \(S\), then \(X(S)_1\) is nonempty.

Proof

From the hypothesis, obtain \(e \in E(G)\) with \(\forall v \in e,\, v \in S\). Then \(e \in X(S)_1\) by the membership characterisation (Lemma 306), so \(X(S)_1\) is nonempty.

Definition 308 Indicator Vector
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For a finite vertex set \(V\) and \(S \subseteq V\), the indicator vector \(\mathbf{1}_S : V \to \mathbb {R}\) is defined by

\[ \mathbf{1}_S(v) \; =\; \begin{cases} 1 & \text{if } v \in S, \\ 0 & \text{if } v \notin S. \end{cases} \]
Lemma 309 Quadratic Form Equals Twice Induced Edges

Let \(G\) be a simple graph on \(V\) and \(M = A(G)\) its adjacency matrix over \(\mathbb {R}\). For any \(S \subseteq V\),

\[ \mathbf{1}_S^\top M\, \mathbf{1}_S \; =\; 2\, |X(S)_1|. \]
Proof

We unfold the dot product and matrix-vector multiplication using the definitions of \(\mathbf{1}_S\) and \(M\):

\[ \mathbf{1}_S^\top M \mathbf{1}_S = \sum _{v \in V} \mathbf{1}_S(v)\sum _{w \in V} M_{vw}\, \mathbf{1}_S(w). \]

Step 1. Since \(M_{vw} = \mathbf{1}[G.Adj(v,w)]\) and \(\mathbf{1}_S(v), \mathbf{1}_S(w) \in \{ 0,1\} \), the double sum simplifies to

\[ \sum _{v \in V}\sum _{w \in V} \mathbf{1}[G.\operatorname {Adj}(v,w) \land v \in S \land w \in S]. \]

Step 2. By rewriting via the indicator function of the filtered product set, this equals the cardinality

\[ \bigl|\{ (v,w) \in V \times V \mid G.\operatorname {Adj}(v,w),\, v \in S,\, w \in S\} \bigr|. \]

Step 3. We exhibit a \(2\)-to-\(1\) map from these ordered pairs to unordered induced edges: by the symmetry of adjacency, each unordered edge \(\{ v,w\} \in X(S)_1\) corresponds to exactly two ordered pairs \((v,w)\) and \((w,v)\) with \(v \neq w\). Concretely, for each \(e = s(v,w) \in X(S)_1\) the fibre \(\{ (a,b) : G.\operatorname {Adj}(a,b) \land a \in S \land b \in S \land s(a,b) = e\} \) equals \(\{ (v,w),(w,v)\} \), which has cardinality \(2\) since \(v \neq w\) (graphs have no self-loops). Partitioning the filtered product by edge and applying the constant-fibre sum formula gives the total count \(= 2\, |X(S)_1|\). Simplification by ring arithmetic concludes.

Lemma 310 Twice Edge Count for Regular Graphs
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If \(G\) is \(s\)-regular on \(V\), then

\[ 2\, |E(G)| \; =\; s\, |V|. \]
Proof

We use the handshaking lemma \(\sum _{v \in V} \deg (v) = 2|E(G)|\). Since \(G\) is \(s\)-regular, \(\deg (v) = s\) for all \(v\), so \(\sum _{v}\deg (v) = s\, |V|\). Substituting and casting to \(\mathbb {R}\) gives \(2|E(G)| = s|V|\).

Lemma 311 Spectral Decomposition of the Quadratic Form

Let \(A\) be a Hermitian matrix on \(V\) with orthonormal eigenvector basis \((v_j)_{j \in V}\) and corresponding real eigenvalues \((\lambda _j)\). For any \(x : V \to \mathbb {R}\),

\[ x^\top A x \; =\; \sum _{j \in V} \lambda _j \, (x \cdot v_j)^2. \]
Proof

Let \(U\) be the eigenvector unitary (orthogonal matrix) with \(A = U D U^\top \) (spectral theorem for real Hermitian matrices), where \(D = \operatorname {diag}(\lambda _j)\).

Step 1. We verify \(\star U = U^\top \) using that \(A\) is real Hermitian.

Step 2. Set \(y = U^\top x\). Then \(Ax = U(Dy)\) by associativity.

Step 3. Compute \(x^\top (Ax) = x^\top U (D y)\). Since \(\operatorname {vecMul}(x, U) = U^\top x = y\) (by expanding definitions of vector multiplication and transposition for real matrices), we get \(x^\top A x = y^\top D y\).

Step 4. Since \(D\) is diagonal, \(y^\top D y = \sum _j \lambda _j y_j^2\).

Step 5. Observe that \(y_j = (U^\top x)_j = \sum _i x_i U_{ij} = x \cdot v_j\) where \(v_j\) is the \(j\)-th eigenvector. Rewriting using \(U_{ij} = (v_j)_i\) and collecting terms gives the result.

Lemma 312 Parseval Identity for Eigenvector Basis
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Let \(A\) be Hermitian on \(V\) with orthonormal eigenvector basis \((v_j)\). For any \(x : V \to \mathbb {R}\),

\[ \| x\| ^2 \; =\; \sum _{j \in V} (x \cdot v_j)^2. \]
Proof

Let \(U\) be the eigenvector unitary. We first show \(\| x\| ^2 = \| y\| ^2\) where \(y = U^\top x\). Indeed, by the orthogonality identity \(UU^\top = I\) (from the unitary property and \(\star U = U^\top \)):

\[ \| y\| ^2 = y^\top D_1 y = (U^\top x)^\top (U^\top x) = x^\top (UU^\top ) x = x^\top x = \| x\| ^2, \]

computed via the chain \(\| y\| ^2 = \operatorname {vecMul}(U^\top x, U^\top ) \cdot x = U(U^\top x) \cdot x = (UU^\top x) \cdot x = x \cdot x\). Then \(\| y\| ^2 = \sum _j y_j^2\), and since \(y_j = x \cdot v_j\), this gives \(\| x\| ^2 = \sum _j (x\cdot v_j)^2\).

Lemma 313 Quadratic Form Bounded by Maximum Eigenvalue

Let \(A\) be Hermitian on \(V\) and suppose all eigenvalues satisfy \(\lambda _j \leq C\). Then for any \(x : V \to \mathbb {R}\),

\[ x^\top A x \; \leq \; C\, \| x\| ^2. \]
Proof

Rewrite using the spectral decomposition (Lemma 311) and Parseval identity (Lemma 312):

\[ x^\top Ax = \sum _j \lambda _j (x\cdot v_j)^2 \; \leq \; \sum _j C(x \cdot v_j)^2 = C\sum _j (x\cdot v_j)^2 = C\, \| x\| ^2, \]

where the inequality uses \(\lambda _j \leq C\) and \((x\cdot v_j)^2 \geq 0\) term by term.

Lemma 314 All Eigenvalues of a Regular Graph Are at Most the Degree

If \(G\) is \(s\)-regular and \(j \in V\), then \(\lambda _j(A(G)) \leq s\).

Proof

Let \(v = v_j\) be the \(j\)-th orthonormal eigenvector. By the Rayleigh quotient characterisation, \(\lambda _j = v^\top A v\) (since \(\| v\| = 1\)). We bound \(v^\top Av\) by the AM–GM inequality.

Since \(G\) is \(s\)-regular, the adjacency matrix satisfies \(A_{pq} = \mathbf{1}[G.\operatorname {Adj}(p,q)]\) and \(\sum _q \mathbf{1}[G.\operatorname {Adj}(p,q)] = s\) for all \(p\).

Unit norm. The orthonormality of the eigenvector basis gives \(v^\top v = \sum _i v_i^2 = 1\) (after converting the Euclidean norm condition \(\| v\| = 1\) via \(\sqrt{\sum _i |v_i|^2} = 1\)).

AM–GM bound. For all \(a, b \in \mathbb {R}\): \(ab \leq (a^2 + b^2)/2\) (since \((a-b)^2 \geq 0\)). Therefore

\[ v^\top Av = \sum _p \sum _q \mathbf{1}[G.\operatorname {Adj}(p,q)]\, v_p v_q \; \leq \; \sum _p\sum _q \mathbf{1}[G.\operatorname {Adj}(p,q)]\, \frac{v_p^2 + v_q^2}{2}. \]

Splitting the sum: \(\sum _p\sum _q \mathbf{1}[G.\operatorname {Adj}(p,q)] v_p^2/2 = (s/2)\sum _p v_p^2\) by regularity, and symmetrically for the \(v_q^2\) terms (using \(G.\operatorname {Adj}(p,q) \Leftrightarrow G.\operatorname {Adj}(q,p)\)). Thus the bound equals \(s\sum _p v_p^2 = s\). Since \(v^\top v = 1\), we obtain \(\lambda _j = v^\top Av \leq s\).

Lemma 315 The Degree is an Eigenvalue of a Regular Graph
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If \(G\) is \(s\)-regular and \(|V| \geq 1\), then \(s \in \operatorname {Spec}(A(G))\), i.e. \(s\) equals some eigenvalue.

Proof

We show \((s : \mathbb {R})\) lies in the spectrum of \(A(G)\) by proving it is not in the resolvent. Assume for contradiction that \(sI - A\) is invertible. The all-ones vector \(\mathbf{1} : V \to \mathbb {R}\) is in the kernel of \(sI - A\): for each \(v\),

\[ ((sI - A)\mathbf{1})_v = s - \sum _w A_{vw} = s - \deg (v) = s - s = 0 \]

by regularity. Since \(\mathbf{1} \neq 0\) (it evaluates to \(1\) at any vertex), injectivity of \(sI - A\) is contradicted. Hence \(s \in \operatorname {Spec}(A(G))\), and by the spectral theorem for real Hermitian matrices this coincides with the range of the eigenvalue function.

Lemma 316 The Largest Eigenvalue of a Regular Graph Equals the Degree

If \(G\) is \(s\)-regular and \(|V| \geq 2\), then \(\lambda _1(A(G)) = s\), i.e. the largest eigenvalue equals \(s\).

Proof

Let \(\lambda _1 = \operatorname {adjEigenvalues}(G)\langle 0, \cdot \rangle \) (the largest eigenvalue in descending order).

Upper bound \(\lambda _1 \leq s\): Express \(\lambda _1\) in terms of the Hermitian eigenvalue function and apply Lemma 314.

Lower bound \(s \leq \lambda _1\): By \(|V| \geq 2\) the graph is nonempty, so by Lemma 315 there exists an index \(j\) with \(\lambda _j = s\). Expressing \(\lambda _j\) via the equivalence from \(\operatorname {Fin}(|V|)\) and using the antitone property \(\lambda _k \leq \lambda _1\) for all \(k\) (Lemma 241), we get \(s = \lambda _j \leq \lambda _1\).

Combining, \(\lambda _1 = s\).

Lemma 317 Norm of the Indicator Vector

For any \(S \subseteq V\),

\[ \mathbf{1}_S \cdot \mathbf{1}_S \; =\; |S|. \]
Proof

Expanding the dot product and using that \(\mathbf{1}_S(v)^2 = \mathbf{1}_S(v)\) (since values are \(0\) or \(1\)), we obtain \(\sum _{v \in V} \mathbf{1}_S(v) = |S \cap V| = |S|\) by the boolean sum formula.

Lemma 318 Adjacency Action on Constant Vectors
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If \(G\) is \(s\)-regular and \(c \in \mathbb {R}\), then \(A(G)\, \mathbf{c} = (sc)\, \mathbf{1}\), i.e. the constant vector \(\mathbf{c} : V \to \mathbb {R}\) with value \(c\) is an eigenvector of \(A(G)\) with eigenvalue \(s\).

Proof

For each \(v \in V\): \((A(G)\mathbf{c})_v = \sum _w A_{vw} c = c \sum _w \mathbf{1}[G.\operatorname {Adj}(v,w)] = c\cdot s = sc\) by regularity. Hence \(A(G)\mathbf{c} = sc\, \mathbf{1}\).

Lemma 319 Quadratic Form Decomposition
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Let \(G\) be \(s\)-regular. Suppose \(x = \gamma \mathbf{1} + z\) where \(\sum _v z_v = 0\). Then

\[ x^\top A(G)\, x \; =\; s\gamma ^2|V| + z^\top A(G)\, z. \]
Proof

Since \(x_v = \gamma + z_v\), we compute \(A(G)x\) using linearity and Lemma 318: \((A(G)x)_v = s\gamma + (A(G)z)_v\). Expanding the quadratic form:

\[ x^\top A(G)x = \sum _v (\gamma + z_v)(s\gamma + (Az)_v) = \sum _v \bigl[s\gamma ^2 + \gamma (Az)_v + s\gamma z_v + z_v(Az)_v\bigr]. \]

Summing term by term:

  • \(\sum _v s\gamma ^2 = s\gamma ^2|V|\).

  • \(\sum _v \gamma (Az)_v = \gamma \sum _v(Az)_v = \gamma \cdot s\sum _v z_v = 0\), since \(\sum _v (Az)_v = \sum _v\sum _w A_{vw}z_w = \sum _w z_w\sum _v A_{vw} = s\sum _w z_w = 0\) using symmetry of adjacency and regularity, together with \(\sum _v z_v = 0\).

  • \(\sum _v s\gamma z_v = s\gamma \sum _v z_v = 0\).

  • \(\sum _v z_v(Az)_v = z^\top Az\).

Therefore \(x^\top Ax = s\gamma ^2|V| + z^\top Az\).

Theorem 320 Axiom: Regularity Implies Eigenvalue-\(s\) Eigenvectors Are Constant

red[UNPROVEN AXIOM]

Let \(G\) be an \(s\)-regular graph with \(s \geq 1\) and \(|V| \geq 2\). Suppose the largest eigenvalue \(\lambda _1\) is strictly larger than the second-largest:

\[ \lambda _1(A(G)) {\gt} \lambda _2(A(G)). \]

If \(v : V \to \mathbb {R}\) satisfies \(A(G)\, v = s\cdot v\), then \(v\) is globally constant, i.e. there exists \(c \in \mathbb {R}\) such that \(v = c\, \mathbf{1}\).

Note: This is stated as an axiom because the required infrastructure (harmonic function theory on graphs and eigenspace dimension theory) is not currently available in Mathlib. The result combines two classical facts: (1) the discrete maximum principle shows eigenvectors for eigenvalue \(s\) are constant on connected components, and (2) a simple top eigenvalue implies the graph is connected (otherwise each component contributes an independent eigenvector, giving multiplicity \(\geq 2\)).

Let \(G\) be \(s\)-regular with \(s \geq 1\), \(|V| \geq 2\). Let \(n = |V|\), \(\gamma = |S|/n\), and \(\lambda _2 = \lambda _2(A(G))\). Then

\[ \mathbf{1}_S^\top A(G)\, \mathbf{1}_S \; \leq \; s\gamma ^2 n + \lambda _2 \gamma (1-\gamma )n. \]
Proof

orange[Uses unproven axiom: thm:AlonChung.regular_eigenvector_s_constant]

Set \(z_v = \mathbf{1}_S(v) - \gamma \). Since \(n {\gt} 0\) and \(\gamma = |S|/n\):

\[ \sum _v z_v = |S| - \gamma n = |S| - |S| = 0. \]

Write \(\mathbf{1}_S = \gamma \mathbf{1} + z\). By the quadratic decomposition (Lemma 319):

\[ \mathbf{1}_S^\top A\mathbf{1}_S = s\gamma ^2 n + z^\top Az. \]

It suffices to show \(z^\top Az \leq \lambda _2\, \| z\| ^2\), since \(\| z\| ^2 = \gamma (1-\gamma )n\) (computed by expanding \(\sum _v(1_S(v)-\gamma )^2 = |S| - 2\gamma |S| + n\gamma ^2 = \gamma (1-\gamma )n\)).

We use the spectral decomposition (Lemma 311) and Parseval (Lemma 312):

\[ z^\top Az = \sum _j \lambda _j(z\cdot v_j)^2, \qquad \| z\| ^2 = \sum _j (z\cdot v_j)^2. \]

We need \(\sum _j \lambda _j c_j^2 \leq \lambda _2 \sum _j c_j^2\) where \(c_j = z\cdot v_j\).

Case 1: All eigenvalues \(\leq \lambda _2\). Then term by term \(\lambda _j c_j^2 \leq \lambda _2 c_j^2\), so the sum inequality holds.

Case 2: Some eigenvalue \({\gt} \lambda _2\). This forces a gap \(\lambda _1 {\gt} \lambda _2\). For each \(j\):

  • If \(\lambda _j \leq \lambda _2\): \(\lambda _j c_j^2 \leq \lambda _2 c_j^2\).

  • If \(\lambda _j {\gt} \lambda _2\): By the antitone ordering of eigenvalues and the gap, \(j\) must correspond to index \(0\) (the largest), i.e. \(\lambda _j = \lambda _1 = s\) (Lemma 316). The eigenvector \(v_j\) satisfies \(A v_j = s\, v_j\), and by the axiom (Theorem 320), \(v_j = c\mathbf{1}\) for some constant \(c\). Then \(z\cdot v_j = c\sum _v z_v = 0\), so \(c_j = 0\) and \(\lambda _j c_j^2 = 0 \leq \lambda _2 c_j^2\).

Summing over all \(j\) gives \(z^\top Az \leq \lambda _2\| z\| ^2\), completing the proof.

Let \(G\) be a finite \(s\)-regular simple graph with \(s \geq 1\) and \(|V| \geq 2\). Let \(\lambda _2 = \lambda _2(A(G))\) be the second-largest eigenvalue of the adjacency matrix. For any nonempty proper subset \(S \subsetneq V\), set \(n = |V|\), \(\gamma = |S|/n\), and

\[ \alpha \; =\; \gamma ^2 + \frac{\lambda _2}{s}\, \gamma (1-\gamma ). \]

Then the number of edges in the induced subgraph on \(S\) satisfies

\[ |X(S)_1| \; \leq \; \alpha \, |E(G)|. \]
Proof

orange[Uses unproven axiom: thm:AlonChung.regular_eigenvector_s_constant]

Step 1. By the quadratic form identity (Lemma 309):

\[ \mathbf{1}_S^\top A(G)\mathbf{1}_S = 2\, |X(S)_1|. \]

Step 2. By the spectral bound (Lemma 321):

\[ \mathbf{1}_S^\top A(G)\mathbf{1}_S \leq s\gamma ^2 n + \lambda _2\gamma (1-\gamma )n. \]

Combining Steps 1 and 2 by linear arithmetic:

\[ 2\, |X(S)_1| \leq s\gamma ^2 n + \lambda _2\gamma (1-\gamma )n. \]

Step 3. By the edge count formula (Lemma 310): \(2|E(G)| = sn\), so \(|E(G)| = sn/2\).

Step 4. We expand \(\alpha \, |E(G)|\):

\[ \alpha \, |E(G)| = \left(\gamma ^2 + \frac{\lambda _2}{s}\gamma (1-\gamma )\right)\cdot \frac{sn}{2} = \frac{(s\gamma ^2 + \lambda _2\gamma (1-\gamma ))\, n}{2}, \]

where the field simplification uses \(s {\gt} 0\). Combining with Step 2 and \(n {\gt} 0\), \(s {\gt} 0\):

\[ |X(S)_1| = \frac{2|X(S)_1|}{2} \leq \frac{s\gamma ^2 n + \lambda _2\gamma (1-\gamma )n}{2} = \alpha \, |E(G)|. \qedhere \]