Lectures onType Theory
Chapter 39
Chapter 39Optional

Polarization, Focusing, and Proof Search

Prerequisites. Direct starred prerequisites: none. No later core chapter depends on this route.

A derivation with no use of the cut rule—a cut-free derivation, as in section 3.5—can still spend most of its time making choices that do not matter. Consider (pq)(rs)(pr). After the two implication-right steps, an unfocused sequent derivation may decompose the left conjunctions before or after decomposing the right conjunction. It may decompose pq in one branch first and rs in the other branch first. These orders have the same introduction and projection data, but a naive search procedure encounters them as different derivation branches.

The cure is not another logical connective. It is a discipline on the order in which existing rules are used. An invertible rule has the property that derivability of its conclusion entails derivability of its premises. In an inversion phase, every available invertible rule is applied; the focusing literature also calls this the asynchronous phase. When no invertible rule applies, search chooses one formula and enters a focusing phase; only that formula is decomposed until a shift ends the phase. A synchronous phase is this uninterrupted decomposition of the chosen formula. This chapter constructs that discipline for one polarized propositional intuitionistic calculus and proves that it loses no derivations.

Signature.

The calculus is propositional and intuitionistic. Contexts are finite sets, so exchange and contraction are definitional and weakening is admissible. Its formulas contain positive and negative atoms, both polarized conjunctions and units, disjunction, falsehood, implication, and the two explicit shifts. The focalization theorem theorem 39.19 and decision theorem theorem 39.23 quantify over exactly this finite signature and concern derivability, without a term assignment.

The permutations that search should not see

The ordinary calculus has formulas A,B::=aABABAB. Write ΓA, where Γ is a finite set. The long arrow is sequent punctuation, whereas the shorter PN is the negative implication connective of definition 39.4. Thus exchange and contraction are definitional and weakening is admissible.

Definition 39.1 — Unfocused calculus

The initial and nullary rules are aΓΓaUInitΓΓCUBotLXΓUTopR. The disjunction and conjunction rules are ΓAΓABUOrR1ΓBΓABUOrR2 Γ,AB,ACΓ,AB,BCΓ,ABCUOrL ΓAΓBΓABUAndR Γ,AB,ACΓ,ABCUAndL1Γ,AB,BCΓ,ABCUAndL2. Finally, Γ,ABΓABUImpR Γ,ABAΓ,AB,BCΓ,ABCUImpL. There is no right rule for and no left rule for .

The repeated principal formula in every left rule internalizes contraction. For example, AB remains available after U-AndL1. This is important later: focused proof search may revisit a hypothesis, so termination cannot be justified merely by saying that every rule deletes a connective.

Lemma 39.2 — Invertibility of the ordinary inversion rules

Rules U-OrL, U-AndR, U-AndL1, U-AndL2, and U-ImpR are invertible: derivability of a rule’s conclusion entails derivability of each of that rule’s premises. The right disjunction rules and U-ImpL are not asserted invertible.

Proof of Lemma 39.2 — Invertibility of the ordinary inversion rules

Proof. Fix one of the five rules and induct on the given derivation of its conclusion. If the last rule introduces the connective being inverted, its immediate premise or premises are the required sequents; set weakening restores any repeated assumption. Otherwise apply the induction hypothesis to every premise of the last rule and reapply that rule. For example, to invert U-AndR over a final U-OrL deriving Γ,ABCD, apply the induction hypothesis to both U-OrL premises to derive C and D from each of Γ,A and Γ,B; rebuild U-OrL once for C and once for D, then apply U-AndR. The other nonprincipal rule pairs use the same premise-by-premise commutation. An initial or nullary last rule closes because its triggering atom or remains a member after the required set extension. These cases cover every last rule of definition 39.1.

For U-AndL1 and U-AndL2, invertibility is the direct weakening fact: a derivation from Γ,AB remains a derivation after adding A or B. This unfocused invertibility does not determine the focused phase of a polarization; negative &-left retains a genuine choice between its projections. ◻

Example 39.3 — One theorem, several schedules

Put F=(pq)(rs)(pr). One derivation begins with two U-ImpR steps, then U-AndR. Put Δ=pq,rs. Its two branches are pΔ,pΔ,ppUInitΔpUAndL1rΔ,rΔ,rrUInitΔrUAndL1. Joining them by U-AndR and restoring the two implications gives the complete derivation ΔpΔrΔprUAndRpq(rs)(pr)UImpRFUImpR. Another schedule uses U-AndL1 on pq immediately after the implication rules, then on rs, and only then applies U-AndR. It has the same two initial leaves. The trees differ only by commuting rule schedules, but bottom-up search has treated those schedules as choices.

The right rule for implication is invertible: if ΓAB is derivable, then so is Γ,AB. Choosing a disjunct on the right is not invertible. A search for pqp must choose the second injection. Focusing turns this difference into syntax.

Exercise 39.1

★★☆ Write the two complete derivations described in example 39.3. Mark the adjacent rule pairs that commute. Do not identify the derivations until after both trees are displayed.

Polarities and shifts

The polarity of a connective records whether its right rule requires a choice or can be applied without backtracking. Positive connectives require a choice on the right; negative connectives can be decomposed there without backtracking. Intuitionistic conjunction and truth admit both readings, so we include both rather than pretending that their polarity is forced.

Definition 39.4 — Polarized propositions and erasure

Positive and negative propositions are generated by P,Q::=p+∣↓N0PQ1+PQ,N,M::=p∣↑PPN1N&M. Erasure () forgets shifts and polarity: (p+)=p,(N)=N,(0)=,(PQ)=PQ,(1+)=,(PQ)=PQ,(p)=p,(P)=P,(PN)=PN,(1)=,(N&M)=NM. The polarity assigned to each atom is fixed throughout one derivation.

The symbols deliberately expose polarity. Positive unit 1+ and positive tensor erase to ordinary truth and conjunction; negative unit 1 and additive conjunction &, read “with,” erase to the same ordinary connectives. These decorated units are local polarization syntax: neither is the linear-logic constant written without a decoration in adjacent chapters. Likewise here denotes context-sharing positive conjunction, not the resource-splitting tensor of chapter 18 and the proof-net literature. The name “additive” is inherited from linear logic, where &-right shares a resource context while tensor right splits it. Both conjunction rules in this structural intuitionistic calculus share the persistent context, so the name here records the connective’s lineage and polarity rather than a context-management distinction. Positive falsehood 0 has no right rule. There is no separate negative disjunction: intuitionistic disjunction is treated as the positive choice PQ, with shifts used when a negative formula must contain it. That choice connective is written in chapter 18.

Erasure has many partial inverses. For instance, the unpolarized AB may be represented by PAPB, by NA&NB, or by shifted versions of either. These polarizations can change proof shape. The focalization theorem compares their derivability after the sequent grammar and its suspension condition have been fixed.

Example 39.5 — Two polarizations of the running theorem

Take all four atoms negative. One polarization of F is F:=(p&q)((r&s)(p&r)). Taking the atoms positive gives instead F+:=(p+q+)((r+s+)⇒↑(p+r+)). Both erase to F. In the first, the two hypotheses enter the persistent context as negative conjunctions and projection is performed only after a left focus. In the second, the positive conjunctions are inverted immediately into suspended atoms before the final positive pair is built.

Exercise 39.2

★☆☆ Give two polarizations of (pq)(qp), one with positive atoms and one with negative atoms. Erase each formula component by component.

Three judgments, one phase at a time

A focused derivation uses a persistent hypothetical context Γ, an ordered inversion context Ω, and one succedent. The ordered context does not express the noncommutative resource discipline of chapter 38; it is only a queue that forces the next invertible left step.

Definition 39.6 — Focused sequents and stability

Let Γ::=Γ,NΓ,P,Ω::=P,Ω,U::=PNN. The displayed grammar gives presentations of Γ modulo finite-set equality: comma denotes set insertion, so exchange and contraction are definitional. Only Ω is an order-sensitive list. The three judgments are Γ[P]Γ;ΩUΓ;[N]U. The first judgment decomposes a positive formula in right focus. The second processes the ordered inversion queue. A stable succedent is a succedent of the form P or N. The third judgment decomposes the selected negative formula in left focus and is admitted only with a stable succedent. A whole inversion sequent is stable exactly when its queue is empty and its succedent is stable. Angle brackets denote suspension; square brackets denote the unique formula currently in focus.

The complete focused rule sheet is collected in subappendix A.53; the derivation below shows how its three judgments hand control to one another.

Definition 39.7 — Suspension-normal syntax

A suspension-normal persistent context contains only suspensions P with atomic P=p+. A suspension-normal succedent contains only atomic suspensions. Queues and focused formulas contain no suspension constructor of their own. A focused sequent is suspension-normal when its persistent context and succedent are.

Definition 39.8 — The focused calculus

The right-focus rules keep decomposing one positive proposition: Γ;NΓ[N]FDownR Γ[P]Γ[PQ]FOrR1Γ[Q]Γ[PQ]FOrR2 XΓ[1+]FOnePosRΓ[P]Γ[Q]Γ[PQ]FTensorR. There is no right-focus rule for 0. Notice that both tensor premises receive the same persistent context. A linear version would split a resource context; that is a different calculus. The tensor of chapter 18 is exactly such a rule, so the shared glyph does not identify the two.

The inversion rules for positive assumptions and negative conclusions are Γ,N;ΩUΓ;N,ΩUFDownLXΓ;0,ΩUFZeroL, Γ;P,ΩUΓ;Q,ΩUΓ;PQ,ΩUFOrL, Γ;ΩUΓ;1+,ΩUFOnePosLΓ;P,Q,ΩUΓ;PQ,ΩUFTensorL, Γ;PΓ;⊢↑PFUpRΓ;PNΓ;PNFImpR, XΓ;1FOneNegRΓ;NΓ;MΓ;N&MFWithR.

At a stable sequent, search may choose a focus: Γ[P]Γ;PFReleaseRΓ,N;[N]UΓ,N;UFFocusL. Rule F-FocusL selects one persistent negative hypothesis; the hypothesis remains available, and the rule schema restricts U to stable conclusions. Read bottom-up, F-ReleaseR begins a right focus; read top-down, it releases the constructed positive result into inversion. Thus the local rule name describes the top-down reading. In standard bottom-up vocabulary this boundary is a right focus or decide step; the shift rules are the boundaries that leave synchronous decomposition.

Left focus decomposes only its selected negative formula: Γ;PUΓ;[P]UFUpL Γ[P]Γ;[N]UΓ;[PN]UFImpL Γ;[N]UΓ;[N&M]UFWithL1Γ;[M]UΓ;[N&M]UFWithL2. There is no left-focus rule for 1.

Atoms stop decomposition. The first pair of rules is identity only for an explicit suspension; the second pair creates suspensions only at atoms: PΓΓ[P]FIdPosXΓ;[N]NFIdNeg, Γ,p+;ΩUΓ;p+,ΩUFSuspendPosΓ;pΓ;pFSuspendNeg.

Lemma 39.9 — Heredity of suspension normality

If the conclusion of a focused derivation is suspension-normal, every sequent in the derivation is suspension-normal.

Proof of Lemma 39.9 — Heredity of suspension normality

Proof. Inspect the rules and induct on derivation height. The only rule that adds a positive suspension to the persistent context is F-SuspendPos; it adds exactly p+. A suspension exposed by F-IdNeg is already in its conclusion, so normality forces its formula to be the atom p. Every other rule preserves existing suspensions and introduces none. ◻

Lemma 39.10 — Focused persistent structural rules

All three focused judgments are preserved when the persistent set Γ is enlarged. Exchange and contraction are definitional consequences of the set representation.

Proof of Lemma 39.10 — Focused persistent structural rules

Proof. Induct on the focused derivation, enlarging Γ uniformly in every premise. Membership premises remain true. In F-FocusL, retain the same selected negative hypothesis; in F-IdPos, retain the same suspended member. Every other rule reapplies directly to the induction hypotheses. ◻

Remark 39.11 — Why suspension is explicit

If identity were stated directly for atoms, the proof of identity for a compound proposition would have to anticipate a phase change for every connective. For example, an attempted tensor case would stop at Γ,PQ[PQ], because atomic identity does not apply and no stable-to-focus rule can invent the two component identities inside the structural induction. Suspended compound propositions provide a uniform substitution boundary. Compound suspensions are proof devices, not extra source formulas; definition 39.7 excludes them from theorem interfaces.

The judgments form three bands rather than one undifferentiated rule graph: Mathematical diagramDiagram Within a focus band only the selected formula is decomposed. Inversion continues until its queue is empty and its succedent is stable.

Exercise 39.3

★☆☆ For every rule above, state whether bottom-up application continues inversion, starts focus, continues focus, or releases focus. Identify the two genuine choices in the rules for disjunction and negative conjunction.

A complete focused calculation

The negatively polarized running formula F has one focused derivation. After the two implications have been inverted, let Γ0=p&q, r&s. The left projection of the first hypothesis gives XΓ0;[p]pFIdNegΓ0;[p&q]pFWithL1Γ0;pFFocusL. Rule F-SuspendNeg turns this conclusion into Γ0;p. The same calculation with the second hypothesis and F-WithL1 gives Γ0;r. Therefore Γ0;pΓ0;rΓ0;p&rFWithR. Prepending the two deterministic blocks Γ0;p&rp&q;(r&s)p&rFDownLp&q;⊢↓(r&s)(p&r)FImpR;(p&q)⊢↓(r&s)(p&r)FDownL;FFImpR completes the derivation. Reading bottom up, there is no scheduling choice: both implication rules, both downshift-left rules, and the negative conjunction-right rule are forced. The only remaining choices are which hypothesis to focus on and which projection to take; those choices determine the proof itself.

With F+, inversion has a different order. Each PQ assumption is decomposed immediately by F-TensorL, and the two atoms are suspended by F-SuspendPos. After four such suspensions the context contains p+,q+,r+,s+. Rule F-UpR decomposes p+r+; F-ReleaseR starts the right focus, F-TensorR creates its two premises, and two uses of F-IdPos close them. This focused derivation erases to the same ordinary introduction and projection data as the calculation above even though its phase order differs.

Exercise 39.4

★★☆ Write the complete focused derivation of F+, without abbreviating the four suspension steps. Record the sequent immediately before and immediately after F-UpR.

Erasure and internal proof operations

Erasure forgets phase information while retaining ordinary provability. For an ordered list Ψ, define the auxiliary judgment Γ;ΨC by ΓCΓ;CUQNilΓ,A;ΨCΓ;A,ΨCUQCons. It moves the leftmost queued formula into the ordinary context. Explicitly, Γ={NNΓ} and, for Ω=P1,,Pn, Ω=P1,,Pn. Erasure sends a suspended [P] or [N] to P or N, respectively, and sends an unsuspended conclusion to its formula erasure.

Lemma 39.12 — Queued positive-left rules

For every ordered Ψ:

  1. if Γ,A,B;ΨC, then Γ,AB;ΨC;

  2. if both Γ,A;ΨC and Γ,B;ΨC, then Γ,AB;ΨC;

  3. Γ,;ΨC.

Proof of Lemma 39.12 — Queued positive-left rules

Proof. All three clauses use induction on Ψ. We write the conjunction case because it contains the entire mechanism. If Ψ=D,Ψ, invert UQ-Cons, apply the induction hypothesis at the finite-set context Γ,D, and rebuild UQ-Cons. If Ψ=, inversion gives Γ,A,BC. Weaken by AB, apply U-AndL2 and then U-AndL1, and finish with UQ-Nil.

For disjunction, apply the two induction hypotheses at Γ,D and rebuild UQ-Cons. At the empty list, weaken both ordinary premises by AB, apply U-OrL, and use UQ-Nil. For falsehood, recurse down a nonempty list; at the empty list use U-BotL followed by UQ-Nil. Thus every positive-left rule is available underneath the whole queue. ◻

Theorem 39.13 — De-focalization

For suspension-normal sequents, simultaneously:

  1. Γ[P] implies Γ;P;

  2. Γ;ΩU implies Γ;ΩU;

  3. Γ;[N]U implies Γ;NU.

In particular, Γ;U implies ΓU.

Proof of Theorem 39.13 — De-focalization

Proof. Induct simultaneously on the three displayed derivations. When an induction hypothesis for a right-focus premise ends in UQ-Nil, invert that auxiliary rule, apply the corresponding ordinary right rule, and restore UQ-Nil.

For F-TensorR, for example, the two inversions give ΓP and ΓQ. Rule U-AndR gives ΓPQ, and UQ-Nil Γ;PQ. For F-OrR1 and F-OrR2, apply the corresponding ordinary disjunction rule to derive ΓPQ. For positive unit, U-TopR derives Γ. F-DownR changes no erased formula. Suspension-normality makes the F-IdPos formula an atom. Since p+Γ, its erasure belongs to Γ, and the erased derivation is exactly pΓΓpUInitΓ;pUQNil.

For positive inversion, F-DownL merely moves the same erased formula from the queue to the persistent context, and F-OnePosL erases by weakening. The zero, disjunction, and tensor cases use the three clauses of lemma 39.12. In the tensor case the induction hypothesis is Γ;P,Q,ΩU; clause 1 turns it into Γ;PQ,ΩU, exactly the erased conclusion.

For negative inversion, F-ImpR becomes U-ImpR, F-WithR becomes U-AndR, negative unit becomes U-TopR, and F-UpR forgets the shift. In F-SuspendNeg, the premise and conclusion have the same erasure. The positive suspension rule instead changes the queue. Its induction hypothesis is Γ,p;ΩU. One use of UQ-Cons gives precisely Γ;p,ΩU, the erased conclusion of F-SuspendPos.

It remains to check the two choices of focus. For F-ReleaseR, the right-focus induction hypothesis already is Γ;P, which is the erased conclusion. Suppose F-FocusL selected the persistent hypothesis N. Part 3 of the induction hypothesis gives Γ,N;NU. Invert UQ-Cons and then UQ-Nil; contract the duplicate N; and reapply UQ-Nil. The result is Γ,N;U, exactly the erased focus conclusion.

For F-UpL, the premise and conclusion erase identically. For F-WithL1 and F-WithL2, invert the leading UQ-Cons and UQ-Nil in the induction hypothesis. Weaken the resulting ordinary sequent by NM, apply respectively U-AndL1 or U-AndL2, and restore UQ-Nil and UQ-Cons. In F-ImpL, the first induction hypothesis yields ΓP. Inverting the leading auxiliary rule in the second yields Γ,NU. Put H=(PN). Weaken both ordinary sequents by H, apply U-ImpL, and contract its repeated principal formula. Then UQ-Nil followed by UQ-Cons moves H from the ordinary context into the one-formula auxiliary queue, producing Γ;HU. This is the erased conclusion; no premise that H was already stored is needed.

Finally, suspension-normality forces the suspended conclusion of F-IdNeg to be atomic, so put N=p. Its erasure is the explicit tree pΓ,pΓ,ppUInitΓ,p;pUQNilΓ;ppUQCons. Thus negative identity needs queued membership rather than ordinary context membership. The inversion, right-focus, left-focus, release, suspension, and identity cases of definition 39.8 have each been translated. ◻

Exercise 39.5

★★☆ Carry out the F-ImpL case of theorem 39.13 as a complete proof tree, including every use of UQ-Nil and UQ-Cons.

De-focalization did not need cut elimination. The converse needs focused derivations to simulate every ordinary rule regardless of how its principal formula was polarized. The two internal operations that make this possible are cut and identity expansion.

The corresponding ordinary metatheoretic cut has the fixed orientation ΓAΓ,ABΓBUCut. The four focused clauses below refine this operation according to phase: C1 cuts a positive right focus into an inversion queue, C2 cuts a negative inversion result into a left focus, C3 removes a persistent negative hypothesis, and C4 cuts a positive inversion result into a stable use.

Lemma 39.14 — Focal substitution

The following rules are admissible: Γ[P]Γ,P;LUΓ;LUSubstPos Γ;LNΓ;[N]UΓ;LUSubstNeg. Here L is either an inversion context or a left focus, as appropriate, and the conclusions are well formed.

Proof of Lemma 39.14 — Focal substitution

Proof. For SubstPos, induct on the second derivation. If it ends in F-IdPos using the distinguished suspension, return the first derivation. If it uses another suspension, rebuild F-IdPos. Every logical rule is rebuilt after applying the induction hypothesis to each premise. In the F-DownL case, set inclusion permits weakening by the persistent assumption introduced in its conclusion. For SubstNeg, induct on the first derivation. Its F-IdNeg endpoint returns the second derivation. If the first derivation ends in F-FocusL, write its premise as Γ,M;[M]N. The induction hypothesis with the second substitution premise gives Γ,M;[M]U; since a left-focus judgment requires stable U, reapplying F-FocusL derives Γ,M;U. Every other rule is rebuilt after applying the induction hypothesis to each premise. No connective case inspects P or N; that uniformity is why compound suspensions were admitted in remark 39.11. ◻

Theorem 39.15 — Focused cut admissibility

For suspension-normal outer sequents, the following four cuts are admissible:

  1. from Γ[P] and Γ;P,ΩU, derive Γ;ΩU;

  2. from Γ;N and Γ;[N]U, with U stable, derive Γ;U;

  3. from Γ;N and Γ,N;LU, derive Γ;LU;

  4. from Γ;LP and Γ;PU, with U stable, derive Γ;LU.

Proof of Theorem 39.15 — Focused cut admissibility

Proof. Write Ci(D,E) for the cut carrying that name with its two displayed input derivations. The four cuts are defined simultaneously. The naive rank (|A|,h(D)+h(E)) fails on a phase commutation. When C4 crosses F-ReleaseR, the recursive call is C4(P;D,ReleaseR(E))0FReleaseRC1(P;D,E). The formula is still P, and exposing E need not reduce the sum of the two input heights after the reconstructed phase boundary. The missing descent is therefore the operation change C4>C1. Order every call—including C1 and C2—by the lexicographic triple (|A|,i,h(D)+h(E)), where A is its cut formula and the operation order is C1<C2<C3<C4, and h counts rule instances. Thus a recursive call may change derivations arbitrarily after the formula or operation component has decreased; when those two components are unchanged, it must use a strict premise and hence decrease the height sum. The recursive calls and their decreasing components are as follows.

caller recursive call strict decrease
C1 on a positive connective C1 on an immediate subformula formula size
C2 on a negative connective C1 and/or C2 on subformulas formula size
C1 on N C3 on N formula size
C2 on P C4 on P formula size
C4 through F-ReleaseR C1 on the same P operation 4>1
C3 through selected F-FocusL C3 on the strict premise, then C2 on the same N height, then operation 3>2
any other commutation same Ci in strict premises input-height sum
formula right introduction/left use smaller cuts
N F-DownR/F-DownL cut on N
PQ chosen F-OrR1/F-OrR2 and F-OrL cut on the chosen summand
1+ F-OnePosR/F-OnePosL no cut
PQ F-TensorR/F-TensorL cut on P, then Q
P F-UpR/F-UpL cut on P
PN F-ImpR/F-ImpL cut on P, then N
N&M F-WithR/chosen F-WithL1 or F-WithL2 cut on the chosen component
1 right introduction/no left rule impossible

Atomic principal cuts are exactly the positive and negative instances of the general focal-substitution lemma lemma 39.14; they are not additional base rules of the calculus. Positive zero has no right introduction, so its principal case is impossible.

Two principal reductions carry the mechanism used later. If a C1 cut on PQ meets F-TensorR and F-TensorL, its upper fragment is DP:Γ[P]DQ:Γ[Q]Γ[PQ]FTensorR and E:Γ;P,Q,ΩUΓ;PQ,ΩUFTensorL. First apply C1(DP,E), obtaining Γ;Q,ΩU, and then apply C1 with DQ. Both calls cut immediate subformulas. The result is Γ;ΩU.

For a C2 cut on PN, the two principal derivations end as D:Γ;PNΓ;PNFImpREP:Γ[P]EN:Γ;[N]UΓ;[PN]UFImpL. The smaller positive cut C1(EP,D) yields Γ;N. The smaller negative cut with EN then yields Γ;U. The order matters: the antecedent cut produces the derivation used by the consequent cut.

The shift cases show how the four operations meet. In the downshift case, write the premises of the two last rules as D:Γ;N,E:Γ,N;ΩU. The displayed F-DownR/F-DownL cut DΓ[N]FDownREΓ;N,ΩUFDownL therefore reduces exactly to C3(D,E):Γ;ΩU, whose cut formula is the proper subformula N. Dually, if D:Γ;LP and E:Γ;PU, the F-UpR/F-UpL instance of C2 reduces to C4(D,E):Γ;LU, cutting the proper subformula P. Disjunction chooses the branch selected by the right introduction; positive unit deletes the cut; negative conjunction keeps the selected projection; negative unit has no principal left case. These clauses account for every row of the table.

The outermost phases of C1 and C2 expose their cut formula, so they have no additional phase-commutative case. Their nonprincipal logical cases are the ordinary strict-premise commutations already covered by the table. For a commutative cut, rebuild the last rule that does not expose the cut formula and apply the same Ci to each premise. The height component decreases. This statement includes every unary rule and both premises of F-OrL, F-TensorR, and F-WithR. There are two phase cases where height alone is not the reason. If the first derivation of C4 ends in Γ[P]Γ;PFReleaseR, invoke C1 with the same second derivation; the operation component decreases from 4 to 1. If the second derivation of C3 ends by selecting the distinguished N, its premise is Γ,N;[N]U. First apply C3 recursively to that strict premise, obtaining Γ;[N]U; the height component decreases. Then invoke C2 with this derived left-focus premise; the operation component decreases from 3 to 2. This preliminary C3 substitution is essential: the raw premise still contains the distinguished persistent assumption and therefore is not an input to C2. If F-FocusL selects another hypothesis, commute through the rule and use the height component. No rule family remains, so the simultaneous recursion is total. ◻

Theorem 39.16 — Identity expansion

The following two operations are admissible:

  1. if Γ,P;ΩU, then Γ;P,ΩU;

  2. if Γ;N, then Γ;N.

Their proof uses focal substitution, not focused cut admissibility.

Proof of Theorem 39.16 — Identity expansion

Proof. For identity expansion, induct on the displayed proposition. The atomic positive and negative cases are respectively F-SuspendPos and F-SuspendNeg. Positive zero uses F-ZeroL; positive unit uses F-OnePosL; disjunction expands both branches and applies F-OrL; downshift first expands the negative subformula and then applies F-DownL. Negative unit uses F-OneNegR; negative conjunction expands the two projections and joins them by F-WithR; and upshift uses positive expansion followed by F-UpR.

Here is the full tensor step. Given D:Γ,PQ;ΩU, weaken it to D with P and Q. Put Γ=Γ,PQ,P,Q. Then form XΓ[P]FIdPosXΓ[Q]FIdPosΓ[PQ]FTensorR. Positive focal substitution removes the compound suspension from D. The induction hypothesis for Q, then the one for P, changes the queue to P,Q,Ω; F-TensorL gives the required conclusion. Every expansion call is on an immediate subformula.

For the implication step, begin with D:Γ;PN and weaken by P. The derivation XΓ,P[P]FIdPosXΓ,P;[N]NFIdNegΓ,P;[PN]NFImpL is the required focused use of the implication. Negative focal substitution with the weakened D produces Γ,P;N. Expand N, expand P from suspension into the inversion queue, and finish with F-ImpR. This proves negative implication expansion without assuming either ordinary identity or focalization. The displayed cases plus the preceding connective clauses exhaust both grammars, completing the mutual proof. ◻

The four-cut metric and the two identity-expansion inductions follow the structural focalization development of [Sim14].

Exercise 39.6

★★★ Write the principal cut reduction for PN as two complete focused derivation trees. Point to the first recursive call on P and the second on N, and verify the lexicographic decrease.

Exercise 39.7

★★☆ Expand E5 of theorem 39.16 for PQ. Display the weakening, the two suspended identities, focal substitution, both induction hypotheses, and the final F-TensorL.

Focalization

An ordinary derivation does not tell us how its formulas were polarized. Two small preparations insulate the focalization induction from that choice.

Lemma 39.17 — Removal of adjacent shifts

  1. If P=A, there is a positive P0, not of the form ↓↑Q, such that P0=A and, for every Γ, Γ;P0Γ;P.

  2. If N=A, there is a negative N0, not of the form ↑↓M, such that N0=A and, for every stable U, Γ,N0;UΓ,N;U.

Proof of Lemma 39.17 — Removal of adjacent shifts

Proof. Induct on P and N. Every case not beginning with two adjacent shifts chooses the formula itself. If P=↓↑Q, apply the positive induction hypothesis to obtain Q0. From a derivation of Q0, reconstruct Q, apply F-UpR, F-DownR, and F-ReleaseR; this derives ↓↑Q. If N=↑↓M, reconstruct M under the selected hypothesis, then apply F-DownL, F-UpL, and F-FocusL. Both recursive calls remove the outer adjacent pair before inspecting the remaining subformula, so the induction is structural. ◻

Lemma 39.18 — Unfocused rules are admissible under polarization

Fix suspension-normal polarizations of an ordinary conclusion and its subformulas, and let U be stable. Every premise and conclusion below is a stable sequent. The right rules have the following admissible instances: Γ;PΓ;PQ,Γ;QΓ;PQ,Γ;PΓ;QΓ;PQ,Γ;⊢↓NΓ;⊢↓MΓ;⊢↓(N&M),Γ,P;⊢↓NΓ;⊢↓(PN). The two truth polarizations conclude 1+ and 1, respectively. The left rules have these stable instances: Γ,P;UΓ,Q;UΓ,(PQ);U,Γ,P,Q;UΓ,(PQ);U,Γ,N;UΓ,N&M;U,Γ,M;UΓ,N&M;U,Γ;PΓ,N;UΓ,PN;U. The falsehood-left instance has hypothesis 0 and no premise. Initial sequents use the matching stable positive or negative identity instance. After lemma 39.17, these rules cover every native outer connective; a removed adjacent shift is restored by the corresponding shift rule.

Proof of Lemma 39.18 — Unfocused rules are admissible under polarization

Proof. All constructions below use only the primitive focused rules, weakening and contraction of the persistent context, the four cuts of theorem 39.15, and the two expansions of theorem 39.16. In particular, no step converts an arbitrary stable derivation of P into a right-focused derivation of P.

Right rules.

The positive-disjunction construction starts from DP:Γ;P. In Γ,P, rules F-IdPos, F-OrR1, and F-ReleaseR derive PQ. Operation E5(P) changes this derivation to Γ;PPQ, and C4(DP,) removes the queued P. The second injection uses F-OrR2 and DQ.

For positive conjunction, let DP:Γ;P,DQ:Γ;Q,H=↑P. Put Γ=Γ,H,P,Q. Two suspended identities, F-TensorR, and F-ReleaseR give Γ;PQ. Apply E5(P), then F-UpL and F-FocusL at H, to obtain Γ,H,Q;PQ. Next E5(Q) gives a Q-queue. Cut in the weakened DQ with C4, derive H from DP by F-UpR, and discharge H with C3. The resulting stable conclusion is Γ;PQ.

For negative conjunction, a stable premise DN:Γ;⊢↓N is converted to a native negative result without inversion of DN. The rules F-IdNeg, F-FocusL, and F-DownL give Γ;NN. Thus C4(DN,) derives Γ;N, and E6(N) derives Γ;N. Repeat this construction for M, apply F-WithR, then F-DownR and F-ReleaseR. This proves the stable rule with conclusion (N&M).

The implication-right case is the shift-sensitive one. Suppose D:Γ,P;⊢↓N. Abbreviate H=↑P,G=↓N,K=(H)(G). Applying F-UpR, F-DownL, and F-ImpR to D gives (1)J:Γ;K. It remains to build the desired implication under the bridge hypothesis K. Put Δ=Γ,K,P. From the suspended P, rules F-IdPos, F-ReleaseR, F-UpR, and F-DownR derive (2)Δ[H]. Independently, F-IdNeg, F-FocusL, F-DownL, and F-UpL derive (3)Δ;[G]N. Use F-ImpL on (2) and (3), select K with F-FocusL, and apply E6(N): (4)Δ;N. Operation E5(P) changes (4) into Γ,K;PN. Now F-ImpR, F-DownR, and F-ReleaseR give (5)I:Γ,K;⊢↓(PN). Finally C3(J,I) removes K. Every endpoint in this chain is a well-formed focused judgment; in particular, the given premise and the conclusion are stable.

The positive and negative unit conclusions use F-OnePosR and F-OneNegR; the negative unit is then enclosed by F-DownR and F-ReleaseR.

Left rules.

For disjunction, write H=↑(PQ),P=↓↑P. In Γ,H,P, suspended identity followed by F-UpR, F-DownR, and F-ReleaseR derives P. Operation E5(P) therefore gives JP:Γ,H;PP. Weaken DP:Γ,P;U by H, and use F-DownL to derive Γ,H;PU. Operation C4(JP,) gives the P-branch Γ,H;PU. Replacing P by Q gives the other branch. Apply F-OrL, F-UpL, and F-FocusL to obtain Γ,H;U.

For positive conjunction left, put H=↑(PQ),R=(↓↑P)(↓↑Q). In Γ,H,P,Q, build a right focus on R from the two suspended identities, using the shift rules on each component. Release that focus, then apply E5(Q) and E5(P). The result is J:Γ,H;P,QR. From D:Γ,P,Q;U, weakening by H, two uses of F-DownL, and F-TensorL derive E:Γ,H;RU. Now apply C4(J,E), then F-TensorL, F-UpL, and F-FocusL. The result is Γ,H;U.

For the first negative-conjunction projection, put H=N&M. Under H, rules F-IdNeg, F-WithL1, and F-FocusL, followed by E6(N), derive JN:Γ,H;N. Weaken DN:Γ,N;U by H and apply C3(JN,DN). For the second projection, exchange F-WithL1 for F-WithL2 and N for M throughout.

For implication left, put H=PN. Under Γ,H,P, rules F-IdPos, F-IdNeg, F-ImpL, and F-FocusL derive N. Apply E6(N), enclose the result in N, and use E5(P) to obtain E:Γ,H;P⊢↓N. Cut the weakened DP:Γ;P into E with C4. Weaken DU:Γ,N;U by H, apply F-DownL, and use C4 once more. The result is Γ,H;U.

Finally, F-ZeroL, F-UpL, and F-FocusL give falsehood left. Positive atomic identity is F-IdPos followed by F-ReleaseR; a shifted positive hypothesis is selected with F-FocusL, decomposed by F-UpL, and suspended by F-SuspendPos. Negative atomic identity is F-FocusL over F-IdNeg; a downshifted conclusion continues with F-SuspendNeg, F-DownR, and F-ReleaseR. These cases exhaust definition 39.1; lemma 39.17 restores any removed adjacent shifts. ◻

Theorem 39.19 — Focalization

Let Γ and stable U be suspension-normal. If ΓU, then Γ;U. Combined with theorem 39.13, focused and unfocused derivability agree after erasure.

Proof of Theorem 39.19 — Focalization

Proof. Induct on the given unfocused derivation. For every noninitial last rule, apply the induction hypothesis to its one or two premises using the stable polarizations fixed by the immediate subformulas of the principal formula. Thus a positive premise appears as a stable positive succedent or an upshifted persistent hypothesis, and a negative premise appears as a downshifted succedent or a native persistent hypothesis. These are exactly the endpoints stated in lemma 39.18. Apply the matching clause of lemma 39.18. This treats separately the right rule families for truth, disjunction, conjunction, and implication, and the left rule families for falsehood, disjunction, both conjunction projections, and implication.

If the last rule is U-Init, suspension-normality leaves four base shapes before adjacent shifts are restored. They are Γ,p+;p+,Γ,p+;p+,Γ,p;p,Γ,p;⊢↓p. The first is F-IdPos followed by F-ReleaseR. For the second, select p+, apply F-UpL, suspend the queued atom, and use the first derivation. The third is F-FocusL over F-IdNeg. The fourth continues the third with F-SuspendNeg, F-DownR, and F-ReleaseR. These are exactly the two atom polarities and the two possible suspension locations. Identity expansion handles a compound suspension used internally, and lemma 39.17 restores any alternating outer shifts.

Every recursive appeal is on an immediate premise derivation. Because the polarization cases add rules only after those appeals return, derivation height strictly decreases and the induction is well founded. ◻

Corollary 39.20 — Ordinary cut, subformulas, and consistency

Rule U-Cut is admissible for definition 39.1. Adding it therefore does not change derivability. Every derivable ordinary sequent has a derivation containing only subformulas of its conclusion, and is not derivable.

Proof of Corollary 39.20 — Ordinary cut, subformulas, and consistency

Proof. Choose recursively an all-negative polarization N(C) of each ordinary formula C, and put P(C)=↓N(C). Polarize every member of Γ by N(), the cut occurrence in the second premise by N(A), and the two premise conclusions by P(A) and P(B), respectively. Focalize derivations of ΓA and Γ,AB, obtaining D:ΓN;⊢↓N(A),E:ΓN,N(A);P(B). Apply F-DownL to E, giving ΓN;N(A)P(B). Cut D into this derivation with C4 of theorem 39.15, then de-focalize the resulting ΓN;P(B). This yields ΓB.

The cut-free rules of definition 39.1 introduce in a premise only an immediate subformula of the principal conclusion formula (while retaining that principal formula on the left), so induction on a cut-free derivation gives the subformula property. No rule can be last in a derivation of the empty-context sequent . ◻

The result is stronger than choosing one canonical polarization in advance. Every stable suspension-normal polarization of the same ordinary sequent is complete. Different polarizations may retain different rule choices, but all preserve provability.

Exercise 39.8

★★☆ Perform the U-AndR case of theorem 39.19 twice: once when the conclusion is represented by PQ, and once when it is represented by (N&M). Name every phase-changing rule.

Focalization removes inessential rule schedules, but it does not say that a depth-first implementation terminates. Persistent implication hypotheses can be selected repeatedly. Let n be negative and put N=(nn) and Γ={N}. Backward search contains the cycle S=Γ;nFFocusLΓ;[N]nFImpLΓ[n]FDownRΓ;nFSuspendNegΓ;n=S. The F-ImpL arrow follows its argument premise. The terminating procedure below uses a finite table rather than an unjustified decreasing-formula argument.

Definition 39.21 — Candidate sequents and saturation

Give every atom size 1 and every compound proposition size one plus the sizes of its immediate subformulas. For a positive queue put P1,,Pk:=i=1k|Pi|. For an input polarized sequent S, let cl(S) contain every positive and negative subformula of every formula occurrence in S: formulas in the persistent context, formulas under suspension, the whole input queue, the focus, and the succedent. Let B(S):=max(1,aOcc(S)|form(a)|), where Occ(S) is the finite multiset of occurrence positions displayed in S, including repeated occurrences, and form(a) is the formula at position a. The outer max(1,) handles the degenerate presentation with no displayed formula occurrence: it keeps the queue-length argument uniformly bounded by a positive natural. For every ordinary input sequent the sum is already at least one, so the maximum changes nothing.

Let Q(S) be all finite lists of positive members of cl(S), repetitions allowed, whose total size is at most B(S). Let H(S) consist of every negative member N of the closure and every tagged suspension P of a positive member. The candidate set C(S) contains all well-formed sequents of the three displayed forms such that

  1. the persistent context is a subset of H(S);

  2. an inversion queue belongs to Q(S); and

  3. every focus and succedent formula belongs to cl(S).

Thus the legal input queue itself is included, even when it contains several unrelated formulas or is longer than every single subformula.

For XC(S), define ΦS(X) to contain every nullary-rule conclusion in C(S) and every other rule conclusion in C(S) all of whose premises lie in X. Starting from X0=, put Xn+1=XnΦS(Xn). The search accepts S when SXn for some n.

Lemma 39.22 — Finite, rule-closed candidate space

The set C(S) is finite, effectively enumerable, contains S, and is closed under taking premises of every bottom-up instance of a focused rule. Consequently every sequent in every focused derivation rooted at S is a candidate. The chain X0X1 stabilizes after at most |C(S)| strict stages.

Proof of Lemma 39.22 — Finite, rule-closed candidate space

Proof. The subformula and tagged-hypothesis sets are finite. A persistent context has finitely many subset choices. Since every positive formula has size at least 1, every queue in Q(S) has length at most B(S). Hence Q(S), and therefore C(S), is finite and can be enumerated by bounded lists followed by the size test. The definition of B(S) includes the whole input queue and every input focus or succedent, so SC(S).

It remains to prove rule closure. Every premise formula of a focused rule is an immediate subformula of its conclusion’s principal formula, so it remains in cl(S). Rules F-DownL and F-SuspendPos move, respectively, a negative formula or a tagged positive atom into H(S); they introduce nothing outside that finite set. For a rule acting on a nonempty queue, total size never increases. The only case that changes its length upward is P,Q,Ω=|P|+|Q|+Ω<|PQ|+Ω. Disjunction selects one smaller summand; units and atomic suspension delete the head; downshift deletes it after recording its subformula. Thus all these premise queues stay below B(S).

Two rules create a queue from an empty one. Rule F-ImpR creates the singleton queue P from a conclusion whose principal formula is PN, and F-UpL creates P from a focus P. In both cases |P|<|PN| or |P|<|P|, and every closure member has size at most B(S). All other premises retain an empty queue. This checks every rule and proves closure. Induction down a derivation rooted at S now proves the stated reachability claim.

Finally, each strict saturation stage adds at least one of the finitely many candidates and no stage removes one. More than |C(S)| strict stages are impossible. ◻

Put c=|cl(S)|, h=|H(S)|, and b=B(S). If pc is the number of positive closure members, then |Q(S)|k=0bpk. Consequently a coarse bound on the candidate table is |C(S)|2h(2c|Q(S)|+c+2c2). This exponential upper bound suffices for termination of the saturation procedure.

Theorem 39.23 — Decision procedure for focused provability

For every well-formed finite propositional focused sequent S, saturation terminates and accepts exactly when S has a focused derivation. Consequently ordinary propositional derivability in definition 39.1 is decidable.

Proof of Theorem 39.23 — Decision procedure for focused provability

Proof. Termination is lemma 39.22. For soundness, induct on the least stage at which a candidate enters Xn. At the first stage it is an axiom. Otherwise its premises entered earlier; the induction hypothesis gives a derivation of each premise, and reapplying the rule used in ΦS derives the candidate.

For completeness, fix a focused derivation rooted at S. By lemma 39.22, every one of its sequents belongs to C(S). Induct on derivation height. An axiom enters at the first stage. Every premise of a nonaxiom last rule has smaller height; if their least entry stages are n1,,nk, then the conclusion enters no later than stage 1+maxini. Focus selections, disjunction injections, and negative-conjunction projections are not guessed away: each is a separate rule instance in the candidate graph. This proves exactness for every legal input, not merely inputs with singleton queues.

For an ordinary formula define an effective all-negative polarization mutually by AN(A)aa0AB(N(A)N(B))1ABN(A)&N(B)ABN(A)N(B). Its positive companion is P(A)=↓N(A). Map every input hypothesis A to N(A), but map the input succedent B to the positive, hence stable, formula P(B). Both maps erase to the ordinary formula with which they began. Focalization, saturation, and de-focalization therefore give the two directions of ordinary decidability. ◻

The decision problem just obtained is PSPACE-complete [Sta79]. The candidate-table construction proves decidability and constructs the focused search graph; its exponential-space bound is not an optimal upper bound. Focusing removes inessential rule permutations, but it does not lower the complexity class of propositional intuitionistic provability.

The bounded-table argument is specific to finite propositional syntax and to the finite-set persistent contexts fixed in this chapter. Quantifiers would require a term discipline; linear or ordered contexts would change the candidate representation; recursive propositions could invalidate the subformula bound. None of those extensions follows from this decision theorem.

Example 39.25 — A phase trace

Search for the positive-atom polarization G=(p+q+)⇒↑(q+p+). The unique inversion prefix applies F-ImpR, then F-OrL. The p+ branch uses F-SuspendPos to record p+; the q+ branch records q+. Each branch applies F-UpR and F-ReleaseR. Right focus then makes the genuine choice: the p+-branch uses F-OrR2, the q+-branch uses F-OrR1, and F-IdPos closes both. Saturation records the forced inversion prefix once and the two genuine injection choices separately.

Exercise 39.9

★★☆ For the two branches of example 39.25, list the candidates in the order in which they can first enter the saturation table. Explain why a depth-first search without a visited table could revisit an implication hypothesis even though the saturation procedure cannot diverge.

The exact quotient and context discipline

Focusing removes permutations forbidden by its phase discipline while preserving genuine choices. The two derivations of pq obtained by F-OrR1 and F-OrR2 remain different. The two projections from N&M remain different. On the running theorem, both polarizations erase to the same ordinary introduction and projection data, but their focused derivations expose different value/computation phase boundaries. Erasure forgets those boundaries; it is not an equality of derivations inside the polarized calculus.

The intuitionistic and linear rules already disagree at positive conjunction. Here F-TensorR gives both premises all of Γ, so p+[p+p+] is derivable by two uses of F-IdPos. A linear tensor rule would have to split one occurrence between its premises and would reject the one-resource sequent p+[p+p+]. Thus replacing the context discipline changes provability; no focalization theorem in this chapter transfers silently to linear logic.

Positive propositions resemble value types and negative propositions resemble computation types in call-by-push-value, while shifts resemble thunking and forcing; chapter 22 defines the separate CBPV value and computation judgments. That resemblance predicts useful proof-term syntax, but the chapter has proved only statements about the three sequent judgments above. A CBPV translation would require its own term assignment, typing theorem, and operational simulation. In particular, the suspension P is a proof-search device, not a CBPV value former, so the analogy stops before the suspension rules.

Exercise 39.10

★★☆ Give the complete intuitionistic derivation of p+[p+p+]. Then replace the persistent set in this right-focus fragment by a multiset Δ with no weakening or contraction and replace F-TensorR by the single rule Δ1[P]Δ2[Q]Δ=Δ1Δ2Δ[PQ]FTensorRlin. Use only F-IdPos and this displayed linear tensor rule. Prove that p+[p+p+] is not derivable. Here Δ is a multiset of suspensions, so F-IdPos remains applicable; the failure is the required disjoint split of its single resource.

Suggested first pass.

Begin with exercise 39.11 and continue with exercise 39.12. This paper route moves from rule-by-rule erasure to structural identity expansion. The implementation project exercise 39.13 is an optional second pass.

None of these problems is a prerequisite for a later chapter.

Exercise 39.11

★★★ Prove all three queued-left clauses and then redo the complete de-focalization induction, writing one case from every rule family.

Exercise 39.12

★★★ Give the full structural identity-expansion proof for disjunction, both units, both shifts, and negative conjunction. State the smaller proposition used by each induction hypothesis.

Sources.

The polarized grammar, three sequent forms, suspension rules, erasure, de-focalization, cuts, identity expansion, shift removal, and focalization architecture follow Simmons [Sim14]. That source’s system is propositional intuitionistic logic. Simmons’s introduction attributes focusing to Andreoli’s 1992 classical first-order linear-logic paper [And92]. Andreoli proves a focusing completeness theorem for that classical first-order linear signature. The present chapter imports neither that calculus nor its theorem: focalization is proved locally for the propositional intuitionistic system above. The finite saturation proof is local; Statman’s theorem gives only the PSPACE-completeness classification stated after it. No theorem here is attributed to a linear, first-order, or dependent focused calculus.

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