Friedman’s theorem: a new proof using strong convergence

2 Spectral theory of regular graphs

We shall here present the basic results in the spectral theory of regular graphs, and state the main results this project aims to formalise.

2.1 Trivial eigenvalues

Let \(\delta \) be a non-negative integer. We know the spectrum of any regular graph is included in \([-\delta ,\delta ]\) by Lemma 91. Let us first talk about the edges of this interval, \(\pm \delta \).

Lemma 109

Assume \(G\) is not empty and locally finite. Then \(G\) is regular of degree \(\delta \) iff \(a \mathbf{1}= \delta \mathbf{1}\).

Proof

By Definition 44, \(G\) is regular of degree \(\delta \) if and only if for all \(x \in V(G)\), \(\deg (x)=\delta \). By Lemma 84, this is equivalent to having, for all \(x \in V(G)\), \(a \mathbf{1}(x) = \delta \), which is equivalent to \(a \mathbf{1}= \delta \mathbf{1}\) by Definition 65.

Lemma 110

Assume \(G\) is regular of degree \(\delta \) and \(V(G)\) is finite. Then \(\delta \) is an eigenvalue of the adjacency operator with associated eigenfunction the constant function \(\mathbf{1}\).

Proof

Since \(G\) is finite, \(\mathbf{1}\in \ell ^2(G)\) by Lemma 68. Furthermore, \(\mathbf{1}\neq 0\) by Lemma 66. By Lemma 109, if \(G\) is regular of degree \(\delta \), then \(a \mathbf{1}= \delta \mathbf{1}\). We conclude by the definition of eigenvalue and eigenvector.

Proposition 111

If \(G\) is regular of degree \(\delta \) and \(V(G)\) is finite, then \(\| a\| =\delta \).

Proof

Since \(G\) is regular of degree \(\delta \), by Theorem 85, \(\| a \| \leq \delta \). By Lemma 110, \(\delta \) is an eigenvalue of \(a\) and hence \(\| a\| \geq \delta \), which is enough to conclude.

Proposition 112

Assume \(G\) is regular of degree \(\delta \) and \(V(G)\) is finite. Then the multiplicity of the eigenvalue \(\delta \) is exactly the number of connected components of \(G\).

Proof

We treat differently the case \(\delta =0\), where \(a\) is identically equal to \(0\) and every function \(V(G) \rightarrow \mathbb {C}\) is in the kernel of \(a\), and hence the result holds since the connected components of \(G\) are all the \(\{ x\} \) for \(x \in V(G)\). Now assume \(\delta \neq 0\).

Lemma 83 implies that all locally constant functions are included in the eigenspace associated to the eigenvalue \(\delta \). Let us show the other inclusion. Assume \(f\) is such that \(af=\delta f\). In particular, \(\| af\| =\delta \| f\| \) and hence by the equality case in Lemma 87,

\begin{equation*} \forall x \in V(G), \forall y, z \text{ adjacent to } x, f(y)=f(z). \end{equation*}

In particular

\begin{equation*} \delta f(x) = af(x) = \sum _{d \in \mathrm{dartSet}(x)} f(\mathrm{end}(d)). \end{equation*}

Note that this sum contains \(\delta \) terms and, for all \(d,d' \in \mathrm{dartSet}(x)\), \(f(\mathrm{end}(d))=f(\mathrm{end}(d'))\) so all of its terms are equal. Since \(\delta \neq 0\), we obtain that, for all \(d, d' \in \mathrm{dartSet}(G)\), \(f(\mathrm{end}(d))=f(\mathrm{end}(d'))\), i.e. \(f\) is locally constant.

By Theorem 80, the dimension of the space of locally constant functions is exactly the number of connected components of \(G\), which allows to conclude.

Proposition 113

Assume \(G\) regular of degree \(\delta \geq 1\) and \(V(G)\) is finite. Then \(-\delta \) is an eigenvalue of \(a\) if and only if \(G\) has a bipartite connected component.

The following lemma will be useful.

Assume \(G\) is preconnected and \(E(G)\) is non-empty. Then \(G\) is bipartite iff there exists a non-zero function \(f : V(G) \rightarrow \mathbb {C}\) such that, for all \(x, y \in V(G)\), if \(x\) and \(y\) are adjacent, then \(f(x)=-f(y)\).

We first prove Lemma 114.

Proof

Assume \(G\) is bipartite. Then there exists a partition \(U_1, U_2\) of \(V(G)\) such that any edge of \(G\) has one end in \(U_1\) and the other in \(U_2\). Take \(f = \mathbf{1}_{U_1}-\mathbf{1}_{U_2}\). The function \(f\) is not equal to \(0\), since \(U_1\) is not empty, and for \(x \in U_1\), \(f(x)=1 \neq 0\). For any \(x, y \in V(G)\) adjacent, one of the following occurs:

  • either \(x \in U_1\) and \(y \in U_2\), and hence \(f(x)=1=-f(y)\);

  • or \(x \in U_2\) and \(y \in U_1\), and hence \(f(x)=-1=-f(y)\).

Now assume there exists a non-zero function \(f : V(G) \rightarrow \mathbb {C}\) such that, for any \(x, y \in V(G)\) adjacent, \(f(x)=-f(y)\). By assumption, \(E(G)\) is not empty, so there exists \(x \in V(G)\) with at least an adjacent vertex. For any \(y \in V(G)\), since \(G\) is preconnected, there exists a walk \(w\) from \(x\) to \(y\). We check by induction that the hypothesis on \(f\) implies \(f(y) = (-1)^{\mathrm{length}(w)}f(x)\). Since \(f \neq 0\), there exists \(y \in V(G)\) such that \(f(y) \neq 0\), from which we deduce \(f(x) \neq 0\). We define \(U_1=\{ y \in V(G) : f(y)=f(x)\} \) and \(U_2=\{ y \in V(G) : f(y)=-f(x)\} \).

  • By the previous computation, \(V(G) = U_1 \cup U_2\).

  • Since \(f(x) \neq 0\), \(U_1 \cap U_2 = \emptyset \).

  • \(U_1\) contains \(x\) and is hence not empty. We picked \(x\) so that it has at least one adjacent edge, which will be an element of \(U_2\), and hence \(U_2\) is not empty.

  • For any edge \(e \in E(G)\) linking two vertices \(y, z\), we check that \(y \in U_1 \Rightarrow x \in U_2\) and \(y \in U_2 \Rightarrow z \in U_1\) thanks to the fact that \(f(y)=-f(z)\).

So, \(G\) is bipartite.

We can now proceed to the proof of Proposition 113.

Proof

Let us assume that \(- \delta \) is an eigenvalue of \(a\). Then by definition there exists a non-zero function \(f \in \ell ^2(G)\) such that \(af=-\delta f\). In particular \(\| af\| =\delta \| f\| \). By the equality case in Lemma 87, for any \(x \in V(G)\), any \(y, z\) adjacent to \(x\), \(f(y)=f(z)\). But then we have for \(x \in V(G)\)

\begin{equation*} - \delta f(x) = af(x) = \sum _{d \in \mathrm{dartSet}(x)} f(\mathrm{end}(d)) \end{equation*}

a sum with \(\delta \neq 0\) terms in which all terms are equal. Hence for any \(y\) adjacent to \(x\), \(f(y)=-f(x)\). Since \(f \neq 0\), there exists \(x \in V(G)\) such that \(f(x) \neq 0\). We apply Lemma 114 to the graph \(\mathrm{cc}(x)\) with the restriction of the function \(f\) (which we can do as \(\mathrm{cc}(x)\) is preconnected and has at least one edge since \(\deg (x) = \delta \geq 1\)), and obtain that \(\mathrm{cc}(x)\) is bipartite.

Now, let us assume that one connected component \(C\) of \(G\) is bipartite. \(C\) is not empty so it contains at least one vertex, which has at least one incident edge as the graph is regular of degree \(\delta \geq 1\). Hence we can apply Lemma 114 to \(C\) and obtain a function \(f\) such that, for any \(x\), \(y\) adjacent, \(f(x)=-f(y)\). Then, let us define \(F(x) = f(x)\) if \(x \in C\) and \(0\) otherwise. \(F \in \ell ^2(G)\) since \(G\) is finite. We check that \(aF=- \delta F\) (here using the fact that, if \(x\), \(y\) are adjacent, then \(x \in C \Leftrightarrow y \in C\)). \(F \neq 0\) as there exists \(x \in C \subset V(G)\) for which \(F(x) = f(x) \neq 0\). So \(-\delta \) is an eigenvalue of \(a\).

2.2 The spectral gap

Let us now introduce the main object of interest of this project, the spectral gap.

Lemma 115

Assume \(G\) is regular of degree \(\delta \) and \(V(G)\) is finite. Then the operator \(a\) induces a bounded self-adjoint operator \(a|_{\mathbf{1}^\perp }\) on the orthogonal of \(\mathbf{1}\) in \(\ell ^2(G)\), and \(\| a|_{\mathbf{1}^\perp }\| \leq d\).

Proof

This is classic theory of self-adjoint bounded operators, as \(\mathbf{1}\) is an eigenvector of \(a\) by Lemma 110.

We will aim to study \(\| a|_{\mathbf{1}^\perp }\| \). For us, the “spectral gap" is the difference

\[ d - \| a|_{\mathbf{1}^\perp }\| = \| a\| - \| a|_{\mathbf{1}^\perp }\| \geq 0. \]

We will see in the results below why this is an interesting quantity. Since there are several co-existing conventions for what the spectral gap is we will refrain from making it into a formal definition.

This special norm is actually the absolute value of an eigenvalue of the graph.

Lemma 116

Assume \(G\) is regular of degree \(\delta \) and \(V(G)\) is finite. Then there exists \(\lambda \in \mathbb {R}\) and a non-zero function \(f : V(G) \rightarrow \mathbb {C}\) such that \(af=\lambda f\), \(\sum _{x \in V(G)}f(x)=0\) and \(|\lambda | = \| a|_{\mathbf{1}^\perp }\| \).

Proof

The operator \(a|_{\mathbf{1}^\perp }\) is a self-adjoint operator in finite dimension by Lemma 115, and hence its spectrum is entirely made of real eigenvalues and its norm is the supremum of their absolute values. Hence there exists a function \(f \in \mathbf{1}^\perp \) and \(\lambda \in \mathbb {R}\) such that \(a|_{\mathbf{1}^\perp }f = \lambda f\), \(f \neq 0\) and \(|\lambda |=\| a|_{\mathbf{1}^\perp }\| \). The function \(f\) and the number \(\lambda \) satisfy the claim.

The results proven in Section 2.1 imply the following.

Assume \(G\) is regular of degree \(\delta \) and \(V(G)\) is finite. Then, \(\| a|_{\mathbf{1}^\perp }\| = d\) iff \(G\) is disconnected or bipartite.

Proof

By Lemma 116, there exists a function \(f : V(G) \rightarrow \mathbb {C}\) and a real number \(\lambda \) such that \(af=\lambda f\), \(|\lambda |=d\) and \(\sum _{x \in V(G)} f(x)=0\). Since \(\lambda \in \mathbb {R}\), either \(\lambda = d\) or \(\lambda =-d\).

  • If \(\lambda = d\), then since \(f\) is not constant (otherwise it would be equal to \(0\) as \(\sum _{x \in V(G)}f(x)=0\)), the multiplicity of the eigenvalue \(d\) for \(a\) is at least \(2\). By Proposition 112, the number of connected components of \(G\) is \(\geq 2\) and hence \(G\) is disconnected.

  • If \(\lambda = -d\), then \(-d\) is an eigenvalue of \(a\). By Proposition 113, \(G\) has a connected component \(C\) that is bipartite.

    • If \(C=V(G)\) then \(G\) is bipartite.

    • Otherwise \(G\) is disconnected as it has a strict connected component.

The Alon–Boppana bound is the following lower bound.

Theorem 118

Let \(G\) be a regular graph of degree \(\delta \) with a finite diameter. Then,

\begin{equation*} \| a|_{\mathbf{1}^\perp }\| \geq 2 \sqrt{2 \delta -1} - \frac{2 \sqrt{2 \delta -1}-1}{\lfloor \mathrm{diam}(G) /2 \rfloor }. \end{equation*}

This bound is not required for the project, but it is not very difficult to prove and I believe it would be a good side project if someone wants to give it a try. Here is a reference [ , where the proof if for simple graphs but can be easily adapted.

The special value \(2\sqrt{2 \delta - 1}\) appears here as the spectral radius of the \(\delta \)-regular tree.

Definition 119

A graph \(G\) is a \(\delta \)-regular tree if it is a tree and regular of degree \(\delta \).

Theorem 120

Let \(G\) be a \(\delta \)-regular tree. Then \(\| a\| = 2 \sqrt{\delta -1}\).

The proof of Theorem 120 will be detailed in Section 2.3.

Proposition 63 allows to see the Alon–Boppana bound as a limitation for the spectral gap as the graph grows (i.e. \(\# V(G)\) is large). From this observation Alon famously conjectured that most large regular trees have a near-optimal spectral gap. The aim of this blueprint is to prove this result for the permutation model introduced in Definition 108.

Theorem 121

Let \(\delta \geq 4\) be an even integer. For any \(\epsilon {\gt} 0\),

\begin{equation} \lim _{n \rightarrow \infty } \mathrm{Prob}_{n,\delta }(\| a|_{\mathbf{1}^\perp }\| \leq 2 \sqrt{2\delta -1} + \epsilon ) = 1. \end{equation}
1

This result was first proven by Friedman in the early 2000s in a very long proof [ . We will use a new method introduced by Chen, Garza-Vargas, Tropp and van Handel in [ called the polynomial method, which produced a radically simpler proof of this result.

Let us prove a simple consequence of this result.

Proposition 122

Let \(\delta \geq 4\) be an even integer. Then,

\begin{equation} \lim _{n \rightarrow \infty } \mathrm{Prob}_{n,\delta }(G_{\vec{\pi }} \text{ is connected})=1 \end{equation}
2

and

\begin{equation} \lim _{n \rightarrow \infty } \mathrm{Prob}_{n,\delta }(G_{\vec{\pi }} \text{ is bipartite})=0. \end{equation}
3

Proof

Denote \(A = "G_{\vec{\pi }} \text{ is disconnected}"\) and \(B = "G_{\vec{\pi }} \text{ is bipartite}"\). By Proposition 117,

\begin{equation*} \mathrm{Prob}_{n,\delta }(A \cup B) = \mathrm{Prob}_{n,\delta }(\| a|_{\mathbf{1}^\perp }\| = \delta ). \end{equation*}

We check directly that \(2 \sqrt{2 \delta - 1} {\lt} \delta \). Hence taking \(\epsilon = (\delta - 2 \sqrt{2 \delta - 1})/2 {\gt} 0\) we obtain

\begin{equation*} \forall x, \quad x = \delta \Rightarrow x {\gt} 2 \sqrt{2\delta -1} + \epsilon . \end{equation*}

Hence

\begin{equation*} \mathrm{Prob}_{n,\delta }(A \cup B) \leq \mathrm{Prob}_{n,\delta }(\| a|_{\mathbf{1}^\perp }\| {\gt} 2 \sqrt{2\delta -1} + \epsilon ) \end{equation*}

which goes to \(0\) as \(n \rightarrow \infty \) by Theorem 121. So \(\lim _n \mathrm{Prob}_{n,\delta }(A) = 0\) and \(\lim _n \mathrm{Prob}_{n,\delta }(B)=0\) which allows to conclude.

2.3 The infinite regular tree

Let \(\delta \geq 2\) be an integer.

2.3.1 A model for the regular tree

We define a model for the \(\delta \)-regular tree. Let \(W_\delta \) denote the set of words on the alphabet \([\delta ]\), \(V_\delta \) denote the set of reduced words in \(W_\delta \) and \(\pi : W_\delta \rightarrow V_\delta \) the projection. For words \(w, w' \in W_\delta \), we write \(ww'\) their concatenation and \(w^{-1}\) the reversed version of the word \(w\).

Definition 123

We define a dartlike structure on \(V_\delta \) by letting:

  • \(D_\delta = V_\delta \times [\delta ]\);

  • for \(d=(w,i) \in D_\delta \), we define:

    • \(\mathrm{start}(d)=w\);

    • \(\mathrm{end}(d) = \pi (wi)\) to be the reduced version of the word \(wi\);

    • \(\mathrm{symm}(d)=(\pi (wi),i)\).

Definition 124

The model \(\delta \)-reguar tree \(\mathbb {T}_\delta \) is defined as the graph induced by the dartlike structure defined in Definition 123, where \(V(\mathbb {T}_\delta ) = V_\delta \), \(D(\mathbb {T}_\delta )=D_\delta \) and \(E(\mathbb {T}_\delta )=D(\mathbb {T}_\delta )\diagup \mathrm{symm}\).

\(\mathbb {T}_\delta \) is regular of degree \(\delta \).

Proof

For \(w \in V(\mathbb {T}_\delta )\), we have \(\mathrm{dartSet}(w) = \{ (w,i), i \in [\delta ]\} \) which has cardinal \(\delta \).

We now prove that \(\mathbb {T}_\delta \) is a tree.

Let \((d_k)_{1 \leq k \leq m}\) be a dartwalk on \(\mathbb {T}_\delta \) from \(w\) to \(w'\). Then \(w' = \pi (w i_1 \ldots i_m)\).

Proof

By induction.

  • If \(m=0\) (the walk is empty) then \(w'=w = \pi (w)\) since \(w\) is reduced.

  • Otherwise, the walk is the concatenation of \(d_1\) and the rest of the walk. Then by the induction hypothesis \(w' = \pi (\mathrm{end}(d_1) i_2 \ldots i_m)\). The conclusion follows from \(\mathrm{end}(d_1) = \pi (wi_1)\) by Definition 123 together with the properties of \(\pi \).

Definition 127

Let us define the projection map \(\Pi _\delta ^{\mathrm{dw}}\) from the set of all dartwalks to \(W_\delta \) defined by

\begin{equation*} \Pi _\delta ^{\mathrm{dw}}((w_k,i_k)_{1 \leq k \leq m}) = i_1 \ldots i_m. \end{equation*}
Lemma 128

Let \(w, w' \in V(\mathbb {T}_\delta )\). The restriction of \(\Pi _\delta ^{\mathrm{dw}}\) to the set of dartwalks from \(w\) to \(w'\) is a bijection onto the set of words \(w''\) such that \(w' = \pi (w w'')\).

Proof

Let \((d_k)_{1 \leq k \leq m}\) be a dartwalk from \(w\) to \(w'\) and denote \(w'' = \Pi _\delta ^{\mathrm{dw}}(d_k)_{1 \leq k \leq m}\). By Lemma 126, \(w' = \pi (w w'')\) so the range of the image is included in the claimed set.

Let us prove it is a bijection by exhibiting an inverse. We define a function \(\Psi \) which to a word \(w''=i_1 \ldots i_m\) in \(W_\delta \) such that \(w'=\pi (ww'')\) associates the darts \((d_k)_{1 \leq k \leq m}\) where \(d_k = (\pi (w i_1 \ldots i_{k-1}), i_k)\). This is a dartwalk since \(\mathrm{end}(d_k) = \pi (\pi (w i_1 \ldots i_{k-1})i_{k}) = \pi (w i_1 \ldots i_k) = \mathrm{start}(d_{k+1})\) by the properties of \(\pi \). Also \(\mathrm{start}(d_1)= \pi (w) = w\) and \(\mathrm{end}(d_m) = \pi (w w'') = w'\). So \(\Psi (w'')\) is a dartwalk from \(w\) to \(w'\).

Now we check that \(\Psi \) is an inverse of \(\Pi _\delta ^{\mathrm{dw}}\) directly from the definition.

Lemma 129
#

A dartwalk is closed (i.e. starts and ends at the same vertex) iff its image by \(\Pi _\delta ^{\mathrm{dw}}\) reduces to the trivial word.

A dartwalk \((d_i)_{1 \leq i \leq m}\) is a path iff its image by \(\Pi _\delta ^{\mathrm{dw}}\) is reduced.

Proof

Let \(p = (d_i)_{1 \leq k \leq m}\) be a dartwalk and denote \(w = i_1 \ldots i_m\) its image by \(\Pi _\delta ^{\mathrm{dw}}\) and \((x_i)_{0 \leq i \leq m}\) its support.

  • Assume \(w\) is not reduced. Then there exists \(1 \leq k {\lt} m\) such that \(i_k=i_{k+1}\). Then we check \(x_{k-1}=x_{k+1}\) and hence the walk is not a path.

  • Assume \(w\) is reduced. Let \(1 \leq k \leq l \leq m\). Assume \(x_k=x_l\). Then the dartwalk \((d_i)_{k {\lt} i \leq l}\) is a closed dartwalk. By Lemma 129, \(\pi (i_{k+1} \ldots i_l)\) is the empty word. Since \(w\) is reduced, it contains no non-trivial words that reduce to the empty word, and hence we have \(k=l\).

Proposition 131

\(\mathbb {T}_\delta \) is a tree.

Proof

Let \(w\), \(w'\) be two vertices of \(\mathbb {T}_\delta \), i.e. two elements of \(V_\delta \). We need to prove that there is a unique path from \(w\) to \(w'\). By Lemma 128, any walk from \(w\) to \(w'\) is given by a unique word \(w''\) such that \(w'=\pi (w w'')\). By Lemma 130, the walk is a path iff the word \(w''\) is reduced. Note that the word \(w''=\pi (w^{-1}w')\) is always reduced, satisfies \(w'=\pi (w w'')\), and hence induces a path from \(w\) to \(w'\). For any path, since \(w''\) is reduced, \(w''=\pi (w'') = \pi (w^{-1}ww'') = \pi (w^{-1}w')\) by properties of \(\pi \). So this is the unique path from \(w\) to \(w'\).

2.3.2 The spectrum of the regular tree

Let \(\delta \geq 2\) be an integer.

Proposition 132

Let \(G\) be a \(\delta \)-regular tree. Then, for any \(f \in \ell ^2(G)\), \(|\langle af, f \rangle | \leq 2 \sqrt{\delta -1} \| f \| ^2\).

Proof

Take \(f \in \ell ^2(G)\). By Lemma 89,

\begin{equation*} \langle af, f \rangle = \sum _{d \in D(G)} f(\mathrm{end}(d)) \overline{f(\mathrm{start}(d))} \end{equation*}

so by the triangular inequality

\begin{equation*} |\langle af, f \rangle | \leq \sum _{d \in D(G)} |f(\mathrm{end}(d)) \overline{f(\mathrm{start}(d))}|. \end{equation*}

[todo:continue]