Abstract
A d-dimensional closed convex set K in \(\mathbb {R}^d\) is said to be lattice-free if the interior of K is disjoint with \(\mathbb {Z}^d\). We consider the following two families of lattice-free polytopes: the family \(\mathcal {L}^d\) of integral lattice-free polytopes in \(\mathbb {R}^d\) that are not properly contained in another integral lattice-free polytope and its subfamily \(\mathcal {M}^d\) consisting of integral lattice-free polytopes in \(\mathbb {R}^d\) which are not properly contained in another lattice-free set. It is known that \(\mathcal {M}^d = \mathcal {L}^d\) holds for \(d \le 3\) and, for each \(d \ge 4\), \(\mathcal {M}^d\) is a proper subfamily of \(\mathcal {L}^d\). We derive a super-exponential lower bound on the number of polytopes in \(\mathcal {L}^d {\setminus } \mathcal {M}^d\) (with standard identification of integral polytopes up to affine unimodular transformations).
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1.1 Introduction
By |X| we denote the cardinality of a finite set X. Let \(\mathbb {N}\) be the set of all positive integers and let \(d \in \mathbb {N}\) be the dimension. Elements of \(\mathbb {Z}^d\) are called integral points or integral vectors. We call a polyhedron \(P \subseteq \mathbb {R}^d\) integral if P is the convex hull of \(P \cap \mathbb {Z}^d\). Let \({{\,\mathrm{Aff}\,}}(\mathbb {Z}^d)\) be the group of affine transformations \(A: \mathbb {R}^d \rightarrow \mathbb {R}^d\) satisfying \(A(\mathbb {Z}^d) = \mathbb {Z}^d\). We call elements of \({{\,\mathrm{Aff}\,}}(\mathbb {Z}^d)\) affine unimodular transformations. For a family \(\mathcal {X}\) of subsets of \(\mathbb {R}^d\), we consider the family of equivalence classes
with respect to identification of the elements of \(\mathcal {X}\) up to affine unimodular transformations. A subset K of \(\mathbb {R}^d\) is called lattice-free if K is closed, convex, d-dimensional and the interior of K contains no points from \(\mathbb {Z}^d\). A set K is called maximal lattice-free if K is lattice-free and is not a proper subset of another lattice-free set.
Our objective is to study the relationship between the following two families of integral lattice-free polytopes:
-
1.
The family \(\mathcal {L}^d\) of integral lattice-free polytopes P in \(\mathbb {R}^d\) such that there exists no integral lattice-free polytope properly containing P. We call elements of \(\mathcal {L}^d\) weakly maximal integral lattice-free polytopes.
-
2.
The family \(\mathcal {M}^d\) of integral lattice-free polytopes P in \(\mathbb {R}^d\) such that there exists no lattice-free set properly containing P. We call the elements of \(\mathcal {L}^d\) strongly maximal integral lattice-free polytopes.
The family \(\mathcal {L}^d\) has applications in mixed-integer optimization, algebra and algebraic geometry; see [1, 3, 4, 13], respectively. In [2, 11] it was shown that \(\mathcal {L}^d\) is finite up to affine unimodular transformations:
Theorem 1
([2, Theorem 2.1], [11, Corollary 1.3]) \(\mathcal {L}^d / {{\,\mathrm{Aff}\,}}(\mathbb {Z}^d)\) is finite.
Several groups of researchers are interested in enumeration of \(\mathcal {L}^d\), up to affine unimodular transformations, in fixed dimensions. This requires understanding geometric properties of \(\mathcal {L}^d\). Currently, no explicit description of \(\mathcal {L}^d\) is available for dimensions \(d \ge 4\) and, moreover, it is even extremely hard to decide if a given polytope belongs to \(\mathcal {L}^d\). A brute-force algorithm based on volume bounds for \(\mathcal {L}^d\) (provided in [11]) would have doubly exponential running time in d. In contrast to \(\mathcal {L}^d\), its subfamily \(\mathcal {M}^d\) is easier to deal with. Lovász’s characterization [9, Proposition 3.3] of maximal lattice-free sets leads to a straightforward geometric description of polytopes belonging to \(\mathcal {M}^d\). This characterization can be used to decide whether a given polytope is an element of \(\mathcal {M}^d\) in only exponential time in d. Thus, while enumeration of \(\mathcal {M}^d\) in fixed dimensions is a hard task, too, enumeration of \(\mathcal {L}^d\) is even more challenging.
For a given dimension d, it is a priori not clear whether or not \(\mathcal {M}^d\) is a proper subset of \(\mathcal {L}^d\). Recently, it has been shown that the inequality \(\mathcal {M}^d = \mathcal {L}^d\) holds if and only if \(d \le 3\). The equality \(\mathcal {M}^d = \mathcal {L}^d\) is rather obvious for \(d \in \{1,2\}\), as it is not hard to enumerate \(\mathcal {L}^d\) in these very small dimensions and to check that every element of \(\mathcal {L}^d\) belongs to \(\mathcal {M}^d\). Starting from dimension three, the problem gets very difficult. Results in [1, 2] establish the equality \(\mathcal {M}^3 = \mathcal {L}^3\) and enumerate \(\mathcal {L}^3\), up to affine unimodular transformations. As a complement, in [11, Theorem 1.4] it was shown that for all \(d \ge 4\) there exists a polytope belonging to \(\mathcal {L}^d\) but not to \(\mathcal {M}^d\).
While Theorem 1.4 in [11] shows that \(\mathcal {L}^d\) and \(\mathcal {M}^d\) are two different families, it does not provide information on the number of polytopes in \(\mathcal {L}^d\) that do not belong to \(\mathcal {M}^d\). Relying on a result of Konyagin [6], we will show that, asymptotically, the gap between \(\mathcal {L}^d\) and \(\mathcal {M}^d\) is very large.
For \(a_1,\ldots ,a_d >0\), we introduce
Reciprocals of positive integers are sometimes called Egyptian fractions. Thus, if \(a \in \mathbb {N}^d\), then \(\kappa (a)\) is a sum of d Egyptian fractions. We consider the set
of all different solutions of the Diophantine equation
in the unknowns \(x_1,\ldots ,x_d \in \mathbb {N}\). The set \(\mathcal {A}_d\) represents possible ways to write 1 as a sum of d Egyptian fractions. It is known that \(\mathcal {A}_d\) is finite. Our main result allows is a lower bound on the cardinality of \((\mathcal {L}^d{\setminus } \mathcal {M}^d) / {{\,\mathrm{Aff}\,}}(\mathbb {Z}^d)\):
Theorem 2
\( \bigl |(\mathcal {L}^{d+5}{\setminus } \mathcal {M}^{d+5}) / {{\,\mathrm{Aff}\,}}(\mathbb {Z}^{d+5})\bigr | \ge \bigl |\mathcal {A}_d\bigr |. \)
The proof of Theorem 2 is constructive. This means that, for every \(a \in \mathcal {A}_d\), we generate an element in \(P_a \in \mathcal {L}^{d+5} {\setminus } \mathcal {M}^{d+5}\) such that for two different elements a and b of \(\mathcal {A}_d\), the respective polytopes \(P_a\) and \(P_b\) do not coincide up to affine unimodular transformations. The proof of Theorem 2 is inspired by the construction in [11]. Using lower bounds on \(\bigl |\mathcal {A}_d\bigr |\) from [6], we obtain the following asymptotic estimate:
Corollary 3
\( \ln \ln \bigl |\bigl ( \mathcal {L}^d {\setminus } \mathcal {M}^d \bigr ) / {{\,\mathrm{Aff}\,}}(\mathbb {Z}^d)\bigr | = \Omega \left( \frac{d}{\ln d} \right) \), as \(d \rightarrow \infty \).
Note 4
We view the elements of \(\mathbb {R}^d\) as columns. By o we denote the zero vector and by \(e_1,\ldots ,e_d\) the standard basis of \(\mathbb {R}^d\). If \(x \in \mathbb {R}^d\) and \(i \in \{1,\ldots ,d\}\), then \(x_i\) denotes the i-th component of x. The relation \(a \le b\) for \(a, b \in \mathbb {R}^d\) means \(a_i \le b_i\) for every \(i \in \{1,\ldots ,d\}\). The relations \(\ge ,>\) and < on \(\mathbb {R}^d\) are introduced analogously. The abbreviations \({{\,\mathrm{aff}\,}}, {{\,\mathrm{conv}\,}}, {{\,\mathrm{int}\,}}\) and \({{\,\mathrm{relint}\,}}\) stand for the affine hull, convex hull, interior and relative interior, respectively.
1.2 An Approach to Construction of Polytopes in \(\mathcal {L}^d {\setminus } \mathcal {M}^d\)
We will present a systematic approach to construction of polytopes in \(\mathcal {L}^d {\setminus } \mathcal {M}^d\), but first we discuss general maximal lattice-free sets.
Definition 5
Let P be a lattice-free polyhedron in \(\mathbb {R}^d\). We say that a facet F of P is blocked if the relative interior of F contains an integral point.
Maximal lattice-free sets can be characterized as follows:
Proposition 6
([9, Proposition 3.3]) Let K be a d-dimensional closed convex subset of \(\mathbb {R}^d\). Then the following conditions are equivalent:
-
1.
K is maximal lattice-free;
-
2.
K is a lattice-free polyhedron such that every facet of K is blocked.
It can happen that some facets of a maximal lattice-free polyhedron are more than just blocked. We introduce a respective notion. Recall that the integer hull \({K}_I\) of a compact convex set K in \(\mathbb {R}^d\) is defined by
Definition 7
Let P be a d-dimensional lattice-free polyhedron in \(\mathbb {R}^d\). A facet F of P is called strongly blocked if \({F}_I\) is \((d-1)\)-dimensional and \(\mathbb {Z}^d \cap {{\,\mathrm{relint}\,}}{F}_I \ne \emptyset \). The polyhedron P is called strongly blocked if all facets of P are strongly blocked.
The following proposition extracts the geometric principle behind the construction from [11, Sect. 3]. (Note that arguments in [11, Sect. 3] use an algebraic language.)
Proposition 8
Let P be a strongly blocked lattice-free polytope in \(\mathbb {R}^d\). Then \({P}_I\in \mathcal {L}^d\). Furthermore, if P is not integral, then \({P}_I \not \in \mathcal {M}^d\).
Proof
In order to show \({P}_I \in \mathcal {L}^d\) it suffices to verify that, for every \(z \in \mathbb {Z}^d\) such that \({{\,\mathrm{conv}\,}}({P}_I \cup \{z\})\) is lattice-free, one necessarily has \(z \in {P}_I\). If \(z \not \in {P}_I\), then \(z \not \in P\) and so, for some facet F of P, the point z and the polytope P lie on different sides of the hyperplane \({{\,\mathrm{aff}\,}}F\). Then \(\emptyset \ne \mathbb {Z}^d \cap {{\,\mathrm{relint}\,}}{F}_I \subseteq {{\,\mathrm{int}\,}}( {{\,\mathrm{conv}\,}}(P \cup \{z\}))\), yielding a contradiction to the choice of z. Thus, for every facet F of P, z and P lie on the same side of \({{\,\mathrm{aff}\,}}F\). It follows \(z \in P\). Hence \(z \in P \cap \mathbb {Z}^d \subseteq {P}_I\).
If P is not integral, then \({P}_I \not \in \mathcal {M}^d\) since \({P}_I \varsubsetneq P\) and P is lattice-free. \(\square \)
1.3 Lattice-Free Axis-Aligned Simplices
For \(a \in \mathbb {R}_{>0}^d\), the d-dimensional simplex
is called axis-aligned. The proof of the following proposition is straightforward.
Proposition 9
For \(a \in \mathbb {R}_{>0}^d\), the following statements hold:
-
1.
the simplex T(a) is a lattice-free set if and only if \(\kappa (a) \ge 1\);
-
2.
the simplex T(a) is a maximal lattice-free set if and only if \(\kappa (a)=1\).
We introduce transformations which preserve the values of \(\kappa \). The transformations arise from the following trivial identities for \(t>0\):
Consider a vector \(a \in \mathbb {R}_{>0}^d\). By (1.1), if t is a component of a, we can replace this component with two new components \(t+1\) and \(t(t+1)\) to generate a vector \(b \in \mathbb {R}_{>0}^{d+1}\) satisfying \(\kappa (b)=\kappa (a)\). Identities (1.2) and (1.3) can be applied in a similar fashion. For every \(d \in \mathbb {N}\), with the help of (1.1)–(1.3), we introduce the following maps:
The map \(\phi _d\) replaces the component \(a_d\) by two other components based on (1.1), while \(\xi _d\) replaces \(a_d\) based on (1.3). The map \(\psi _d\) acts by replacing the component \(a_d\) based on (1.1) and then replacing the component \(a_d+1\) based on (1.2). Identities (1.1)–(1.3) imply
Lemma 10
Let \(P=T(\xi _d(a))\), where \(a \in \mathcal {A}_d\) and \(d \ge 2\). Then P is a strongly blocked lattice-free \((d+1)\)-dimensional polytope. Furthermore, if \(a_d\) is odd, P is not integral.
Proof
In this proof, we use the all-ones vector
For the sake of brevity we introduce the notation \(t:=a_d\). One has \(1= \kappa (a) = \sum _{i=1}^d \frac{1}{a_i} \ge \sum _{i=1}^d \frac{1}{t} = \frac{d}{t}\), which implies \(t \ge d \ge 2\). By (1.6), one has \(\kappa (\xi _d(a))=1\) and so, by Proposition 9, P is maximal lattice-free.
If t is even, the polytope P is integral and hence every facet of P is integral, too. In view of Proposition 6, integral maximal lattice-free polytopes are strongly blocked, and so we conclude that P is strongly blocked.
Assume that t is odd, then the polytope P has one non-integral vertex. In this case, we need to look at facets of P more closely, to verify that P is strongly blocked. We consider all facets of P.
-
1.
The facet \( F={{\,\mathrm{conv}\,}}\bigl \{o,a_1 e_1,\ldots ,a_{d-1} e_{d-1}, 3 t e_{d+1}\bigr \} \) is a d-dimensional integral integral axis-aligned simplex. Since
$$ \kappa (a_1,\ldots ,a_{d-1},3t) < 1, $$the integral point \(e_1 + \cdots + e_{d-1} + e_{d+1}\) is in the relative interior of F. Hence, F is strongly blocked.
-
2.
The facet \( F = {{\,\mathrm{conv}\,}}\Bigl \{o,a_1 e_1,\ldots ,a_{d-1} e_{d-1}, \frac{3}{2} t e_d\Bigr \} \) contains the d-dimensional integral axis-aligned simplex
$$ G:={{\,\mathrm{conv}\,}}\Bigl \{o, a_1 e_1,\ldots ,a_{d-1} e_{d-1}, \frac{3t-1}{2} e_d\Bigr \}, $$as a subset. In view of \(t \ge 2\), we have
$$ \kappa \Bigl (a_1,\ldots ,a_{d-1},\frac{3t-1}{2}\Bigr ) < 1, $$which implies that the integral point \(e_1 + \cdots + e_d\) is in the relative interior of G. It follows that F is strongly blocked.
-
3.
The facet \( F:= {{\,\mathrm{conv}\,}}\Bigl \{a_1e_1,\ldots ,a_{d-1} e_{d-1}, \frac{3}{2} t e_d, 3 t e_{d+1} \Bigr \} \) contains the integral d-dimensional simplex
$$ G: = {{\,\mathrm{conv}\,}}\Bigl \{a_1 e_1,\ldots ,a_{d-1} e_{d-1}, \frac{3 t-1}{2} e_d + e_{d+1}, 3 t e_{d+1}\Bigr \}. $$as a subset. It turns out that \(\mathbbm {1}_{d+1}\) is the relative interior of G, because \(\mathbbm {1}_{d+1}\) is a convex combination of the vertices of \({{\,\mathrm{relint}\,}}G\), with positive coefficients. Indeed, the equality
$$ \mathbbm {1}_{d+1} = \sum _{i=1}^{d-1} \frac{1}{a_i} \bigl (a_i e_i\bigr ) + \lambda \Bigl (\frac{3t-1}{2} e_d + e_{d+1}\Bigr ) + \mu \bigl (3 t e_{d+1}\bigr ) $$holds for \(\lambda = \frac{2}{3t-1}\) and \(\mu = \frac{t-1}{t(3t-1)}\), where
$$ \sum _{i=1}^{d-1} \frac{1}{a_i} + \lambda + \mu = 1. $$ -
4.
It remains to consider faces F with the vertex set
$$ \left\{ o, a_1 e_1,\ldots ,a_d e_d, \frac{3}{2} t e_d, 3 t e_{d+1} \right\} {\setminus } \{a_i e_i\}, $$where \(i \in \{1,\ldots ,d+1\}\). Without loss of generality, let \(i=1\) so that
$$\begin{aligned} F = {{\,\mathrm{conv}\,}}\left\{ o, a_2 e_2,\ldots , \frac{3}{2} t e_d, 3 t e_{d+1} \right\} . \end{aligned}$$This facet contains the integral d-dimensional simplex
$$ G: = {{\,\mathrm{conv}\,}}\Bigl \{o, a_2 a_2,\ldots ,a_{d-1} e_{d-1}, \frac{3 t-1}{2} e_d + e_{d+1}, 3 t e_{d+1}\Bigr \}. $$Similarly to the previous case, one can check that \(e_2 + \cdots + e_{d+1}\) is an integral point in the relative interior of G. Consequently, F is strongly blocked. \(\square \)
1.4 Proof of the Main Result
For \(d \ge 4\), Nill and Ziegler [7] construct one vector \(a\in \mathbb {R}_{>0}^d\) with \({T(a)}_I \in \mathcal {L}^d {\setminus } \mathcal {M}^d\). We generalize this construction and provide many further vectors a with the above properties. We will also need to verify that for different choices of a, we get essentially different polytopes \({T(a)}_I\).
Lemma 11
Let P and Q be d-dimensional strongly blocked lattice-free polytopes such that for their integral hulls the equality \({Q}_I=A({P}_I)\) holds for some \(A \in {{\,\mathrm{Aff}\,}}(\mathbb {Z}^d)\). Then \(Q=A(P)\).
Proof
Since A is an affine transformation, we have
Using \(A \in {{\,\mathrm{Aff}\,}}(\mathbb {Z}^d)\), it is straightforward to check the equality \(A(P \cap \mathbb {Z}^d) = A(P) \cap \mathbb {Z}^d\). We thus conclude that \(A({P}_I) = {A(P)}_I\). The assumption \({Q}_I = A({P}_I)\) yields \({Q}_I {=} {A(P)}_I\). Since P is strongly blocked lattice-free, A(P) too is strongly blocked lattice-free. We thus have the equality \({Q}_I={A(P)}_I\) for strongly blocked lattice-free polytopes Q and A(P). To verify the assertion, it suffices to show that a strongly blocked lattice-free polytope Q is uniquely determined by the knowledge of its integer hull \({Q}_I\). This is quite easy to see. For every strongly blocked facet G of \({Q}_I\), the affine hull of G contains a facet of Q. Conversely, if F is an arbitrary facet of Q, then \(G= {F}_I\) is a strongly blocked facet of \({Q}_I\). Thus, the knowledge of \({Q}_I\) allows to determine affine hulls of all facets of Q. In other words, \({Q}_I\) uniquely determines a hyperplane description of Q. \(\square \)
Lemma 12
Let \(a,b \in \mathbb {R}_{>0}^d\) be such that the equality \(T(b)= A(T(a))\) holds for some \(A \in {{\,\mathrm{Aff}\,}}(\mathbb {Z}^d)\). Then a and b coincide up to permutation of components.
Proof
We use induction on d. For \(d=1\), the assertion is trivial. Let \(d \ge 2\). One of the d facets of T(a) containing o is mapped by A to a facet of T(b) that contains o. Without loss of generality we can assume that the facet \(T(a_1,\ldots ,a_{d-1}) \times \{0\}\) of T(a) is mapped to the facet \(T(b_1,\ldots ,b_{d-1}) \times \{0\}\) of T(b). By the inductive assumption, \((a_1,\ldots ,a_{d-1})\) and \((b_1,\ldots ,b_{d-1})\) coincide up to permutation of components. Since unimodular transformations preserve the volume, T(a) and T(b) have the same volume. This means, \(\prod _{i=1}^d a_i = \prod _{i=1}^d b_i\). Consequently, \(a_d=b_d\) and we conclude that a and b coincide up to permutation of components.
Proof
(Proof of Theorem 2) For every \(a \in \mathcal {A}_d\), we introduce the \((d+5)\)-dimensional integral lattice-free polytope
where
and the functions \(\xi _{d+4}, \psi _{d+1}\) and \(\phi _d\) are defined by (1.4)–(1.5).
By (1.6) for each \(a \in \mathcal {A}_d\), we have \(\kappa (\eta (a))=1\). For \(a \in \mathcal {A}_d\) the last component of \(\phi _d(a)\) is even. This implies that the last component of \(\psi _{d+1} (\phi _d(a))\) is odd. Thus, by Lemma 10, \(T(\eta (a))\) is strongly blocked lattice-free polytope which is not integral.
Let \(a, b \in \mathcal {A}_d\) be such that the polytopes \(P_a\) and \(P_b\) coincide up to affine unimodular transformations. Then, by Lemma 11, \(T(\eta (a))\) and \(T(\eta (b))\) coincide up to affine unimodular transformations. But then, by Lemma 12, \(\eta (a)\) and \(\eta (b)\) coincide up to permutations. Since the components of a and b are sorted in the ascending order, the components of \(\eta (a)\) and \(\beta (b)\) too are sorted in the ascending order. Thus, we arrive at the equality \(\eta (a) = \eta (b)\), which implies \(a=b\).
In view of Proposition 8, each \(P_a\) with \(a \in \mathcal {A}_d\) belongs to \(\mathcal {L}^d\) but not to \(\mathcal {M}^d\). Thus, the equivalence classes of the polytopes \(P_a\) with \(a \in \mathcal {A}_d\) with respect to identification up to affine unimodular transformations form a subset of \((\mathcal {L}^{d+5} {\setminus } \mathcal {M}^{d+5} ) / {{\,\mathrm{Aff}\,}}(\mathbb {Z}^{d+5})\) of cardinality \(|\mathcal {A}_d|\). This yields the desired assertion. \(\square \)
Proof
(Proof of Corollary 3) The assertion is a direct consequence of Theorem 2 and the asymptotic estimate
of Konyagin [6, Theorem 1] (see also [5, Corollary 1.2]). \(\square \)
Remark 13
In view of the asymptotic upper bound \( \ln \ln |\mathcal {A}_d| = O(d)\), determined with different degrees of precision in [8, 10] and [12, Theorem 2], the lower bound of Konyagin is optimal up to the logarithmic factor in the denominator.
Since all known elements of \(\mathcal {L}^d\) are of the form \({P}_I\), for some strongly blocked lattice-free polytope P, we ask the following:
Question 14
Do there exist polytopes \(L \in \mathcal {L}^d\) which cannot be represented as \(L={P}_I\) for any strongly blocked lattice-free polytope P?
If there is a gap between the families \(\mathcal {L}^d\) and the family
then it would be interesting to understand how irregular the polytopes from this gap can be. For example, one can ask the following:
Question 15
Do there exist polytopes \(L \in \mathcal {L}^d\) with the property that no facet of L is blocked?
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Averkov, G. (2022). Difference Between Families of Weakly and Strongly Maximal Integral Lattice-Free Polytopes. In: Kasprzyk, A.M., Nill, B. (eds) Interactions with Lattice Polytopes. ILP 2017. Springer Proceedings in Mathematics & Statistics, vol 386. Springer, Cham. https://doi.org/10.1007/978-3-030-98327-7_1
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