The document discusses lower bounds on kernelization for parameterized problems. It provides examples of known kernelization results for problems like MaxSat, Vertex Cover, Dominating Set, and Path that have linear, quadratic, cubic, and exponential kernel sizes. It then outlines techniques like the Fortnow-Santhanam theorem that can be used to rule out polynomial kernels for problems. The document explains how to define notions like the OR of a language and distillation algorithms, and how the Fortnow-Santhanam theorem can be applied to show that if a problem has a distillation algorithm, it is unlikely to have a polynomial kernel unless unlikely complexity collapses occur. It provides details on how to construct advice strings and a nondeterministic algorithm
1. Lower Bounds on Kernelization
Venkatesh Raman
Institiue of Mathematical Sciences, Chennai
March 6, 2014
Venkatesh Raman
Lower Bounds on Kernelization
2. Some known kernelization results
Linear: MaxSat – 2k clauses, k variables
Venkatesh Raman
Lower Bounds on Kernelization
3. Some known kernelization results
Linear: MaxSat – 2k clauses, k variables
Quadratic: k-Vertex Cover – 2k vertices but O(k 2 )
edges
Venkatesh Raman
Lower Bounds on Kernelization
4. Some known kernelization results
Linear: MaxSat – 2k clauses, k variables
Quadratic: k-Vertex Cover – 2k vertices but O(k 2 )
edges
Cubic: k-Dominating Set in graphs without C4 – O(k 3 )
vertices
Venkatesh Raman
Lower Bounds on Kernelization
5. Some known kernelization results
Linear: MaxSat – 2k clauses, k variables
Quadratic: k-Vertex Cover – 2k vertices but O(k 2 )
edges
Cubic: k-Dominating Set in graphs without C4 – O(k 3 )
vertices
Exponential: k-Path – 2O(k)
Venkatesh Raman
Lower Bounds on Kernelization
6. Some known kernelization results
Linear: MaxSat – 2k clauses, k variables
Quadratic: k-Vertex Cover – 2k vertices but O(k 2 )
edges
Cubic: k-Dominating Set in graphs without C4 – O(k 3 )
vertices
Exponential: k-Path – 2O(k)
No Kernel: k-Dominating Set is W-hard. So is not
expected to have kernels of any size.
Venkatesh Raman
Lower Bounds on Kernelization
7. Some known kernelization results
Linear: MaxSat – 2k clauses, k variables
Quadratic: k-Vertex Cover – 2k vertices but O(k 2 )
edges
Cubic: k-Dominating Set in graphs without C4 – O(k 3 )
vertices
Exponential: k-Path – 2O(k)
No Kernel: k-Dominating Set is W-hard. So is not
expected to have kernels of any size.
In this lecture, we will see some techniques to rule out
polynomial kernels.
Venkatesh Raman
Lower Bounds on Kernelization
8. OR of a language
Definition
Let L ⊆ {0, 1}∗ be a language. Then define
Or(L) = {(x1 , . . . , xp ) | ∃i such that xi ∈ L}
Definition
Let t : N → N {0} be a function. Then define
Ort (L) = {(x1 , . . . , xt(|x1 |) ) | ∀j |xj | = |x1 |, and ∃i such that xi ∈ L}
Venkatesh Raman
Lower Bounds on Kernelization
9. Distillation
Let L, L ⊆ {0, 1}∗ be a pair of languages and let t : N → N {0}
be a function. We say that L has t-bounded distillation algorithm
if there exists
a polynomial time computable function f : {0, 1}∗ → {0, 1}∗
such that
f ((x1 , . . . , xt(|x1 |) )) ∈ L if and only if
(x1 , . . . , xt(|x1 |) ) ∈ Ort (L), and
|f ((x1 , . . . , xt(|x1 |) )| ≤ O(t(|x1 |) log t(|x1 |)).
Venkatesh Raman
Lower Bounds on Kernelization
10. Fortnow-Santhanam
Theorem (FS 09)
Suppose for a pair of languages L, L ⊆ {0, 1}∗ , there exists a
polynomially bounded function t : N → N {0} such that L has a
t-bounded distillation algorithm. Then L ∈ NP/poly. In particular,
if L is NP-hard, then coNP ⊆ NP/poly.
Venkatesh Raman
Lower Bounds on Kernelization
11. Outline of proof of Fortnow Santhanam theorem
NP-complete problem L with A, a t-bounded distillation
algorithm.
Venkatesh Raman
Lower Bounds on Kernelization
12. Outline of proof of Fortnow Santhanam theorem
NP-complete problem L with A, a t-bounded distillation
algorithm.
Use A to design NDTM that, with a “polynomial advice”, can
decide L in P-time.
Venkatesh Raman
Lower Bounds on Kernelization
13. Outline of proof of Fortnow Santhanam theorem
NP-complete problem L with A, a t-bounded distillation
algorithm.
Use A to design NDTM that, with a “polynomial advice”, can
decide L in P-time.
L ∈ NP/poly ⇒ coNP ⊆ NP/poly and we get the theorem!
Venkatesh Raman
Lower Bounds on Kernelization
14. Filling in the details
For the proof, we define the notions needed and the requirements.
Let |xi | = n ∀i ∈ [t(n)].
Venkatesh Raman
Lower Bounds on Kernelization
15. Filling in the details
For the proof, we define the notions needed and the requirements.
Let |xi | = n ∀i ∈ [t(n)].
Let α(n) = O(t(n) log(t(n))).
Venkatesh Raman
Lower Bounds on Kernelization
16. Filling in the details
For the proof, we define the notions needed and the requirements.
Let |xi | = n ∀i ∈ [t(n)].
Let α(n) = O(t(n) log(t(n))).
Ln = {x ∈ L : |x| ≤ n}.
Venkatesh Raman
Lower Bounds on Kernelization
17. Filling in the details
For the proof, we define the notions needed and the requirements.
Let |xi | = n ∀i ∈ [t(n)].
Let α(n) = O(t(n) log(t(n))).
Ln = {x ∈ L : |x| ≤ n}.
given any (x1 , x2 , · · · , xt(n) ) ∈ Or(L) (ie, xi ∈ Ln ∀i ∈ [t(n)])
/
A maps it to y ∈ L ≤α(n)
Venkatesh Raman
Lower Bounds on Kernelization
18. Filling in the details
For the proof, we define the notions needed and the requirements.
Let |xi | = n ∀i ∈ [t(n)].
Let α(n) = O(t(n) log(t(n))).
Ln = {x ∈ L : |x| ≤ n}.
given any (x1 , x2 , · · · , xt(n) ) ∈ Or(L) (ie, xi ∈ Ln ∀i ∈ [t(n)])
/
A maps it to y ∈ L ≤α(n)
we want to obtain a Sn ⊆ L α(n) with |Sn | polynomially
bounded in n such that
Venkatesh Raman
Lower Bounds on Kernelization
19. Filling in the details
For the proof, we define the notions needed and the requirements.
Let |xi | = n ∀i ∈ [t(n)].
Let α(n) = O(t(n) log(t(n))).
Ln = {x ∈ L : |x| ≤ n}.
given any (x1 , x2 , · · · , xt(n) ) ∈ Or(L) (ie, xi ∈ Ln ∀i ∈ [t(n)])
/
A maps it to y ∈ L ≤α(n)
we want to obtain a Sn ⊆ L α(n) with |Sn | polynomially
bounded in n such that
If x ∈ Ln - ∃ strings x1 , · · · , xt(n) ∈ Σ n with xi = x for some i
such that A(x1 , · · · , xt(n) ) ∈ Sn
Venkatesh Raman
Lower Bounds on Kernelization
20. Filling in the details
For the proof, we define the notions needed and the requirements.
Let |xi | = n ∀i ∈ [t(n)].
Let α(n) = O(t(n) log(t(n))).
Ln = {x ∈ L : |x| ≤ n}.
given any (x1 , x2 , · · · , xt(n) ) ∈ Or(L) (ie, xi ∈ Ln ∀i ∈ [t(n)])
/
A maps it to y ∈ L ≤α(n)
we want to obtain a Sn ⊆ L α(n) with |Sn | polynomially
bounded in n such that
If x ∈ Ln - ∃ strings x1 , · · · , xt(n) ∈ Σ n with xi = x for some i
such that A(x1 , · · · , xt(n) ) ∈ Sn
If x ∈ Ln - ∀ strings x1 , · · · , xt(n) ∈ Σ n with xi = x for some i,
/
A(x1 , · · · , xt(n) ) ∈ Sn
/
Venkatesh Raman
Lower Bounds on Kernelization
21. How will the nondeterministic algorithm work?
Having Sn as advice gives the desired NDTM which when given x
such that |x| = n, checks whether x ∈ L in the following way.
Guesses t(n) strings, x1 , · · · , xt(n) ∈ Σ n
Venkatesh Raman
Lower Bounds on Kernelization
22. How will the nondeterministic algorithm work?
Having Sn as advice gives the desired NDTM which when given x
such that |x| = n, checks whether x ∈ L in the following way.
Guesses t(n) strings, x1 , · · · , xt(n) ∈ Σ n
Checks whether one of them is x
Venkatesh Raman
Lower Bounds on Kernelization
23. How will the nondeterministic algorithm work?
Having Sn as advice gives the desired NDTM which when given x
such that |x| = n, checks whether x ∈ L in the following way.
Guesses t(n) strings, x1 , · · · , xt(n) ∈ Σ n
Checks whether one of them is x
Computes A(x1 , · · · , xt(n) ) and accepts iff output is in Sn .
Venkatesh Raman
Lower Bounds on Kernelization
24. How to get Sn
A : (Ln )t → L ≤α(n)
Venkatesh Raman
Lower Bounds on Kernelization
25. How to get Sn
A : (Ln )t → L ≤α(n)
y ∈ L ≤α(n) covers a string x ∈ Ln — ∃x1 , · · · , xt ∈ Σ n with
xi = x for some i and A(x1 , · · · , xt(n) ) = y
Venkatesh Raman
Lower Bounds on Kernelization
26. How to get Sn
A : (Ln )t → L ≤α(n)
y ∈ L ≤α(n) covers a string x ∈ Ln — ∃x1 , · · · , xt ∈ Σ n with
xi = x for some i and A(x1 , · · · , xt(n) ) = y
We construct Sn by iteratively picking the string in L ≤α(n)
which covers the most number of instances in Ln till there are
no strings left to cover.
Venkatesh Raman
Lower Bounds on Kernelization
27. How to get Sn
A : (Ln )t → L ≤α(n)
y ∈ L ≤α(n) covers a string x ∈ Ln — ∃x1 , · · · , xt ∈ Σ n with
xi = x for some i and A(x1 , · · · , xt(n) ) = y
We construct Sn by iteratively picking the string in L ≤α(n)
which covers the most number of instances in Ln till there are
no strings left to cover.
Let us consider one step of the process. Let F be the set of
uncovered instances in Ln at the start of step.
Venkatesh Raman
Lower Bounds on Kernelization
28. How to get Sn
A : (Ln )t → L ≤α(n)
y ∈ L ≤α(n) covers a string x ∈ Ln — ∃x1 , · · · , xt ∈ Σ n with
xi = x for some i and A(x1 , · · · , xt(n) ) = y
We construct Sn by iteratively picking the string in L ≤α(n)
which covers the most number of instances in Ln till there are
no strings left to cover.
Let us consider one step of the process. Let F be the set of
uncovered instances in Ln at the start of step.
By PHP there exists a string y ∈ L ≤α(n) such that A maps at
least
|F |t(n)
|L ≤α(n) |
tuples in F t(n) to y .
Venkatesh Raman
Lower Bounds on Kernelization
29. How to get Sn (Cont.)
At least
|F |t(n)
|L ≤α(n) |
1/t(n)
=
|F |
|L
≤α(n) |
1/t(n)
strings in F are
covered by y in each step.
Venkatesh Raman
Lower Bounds on Kernelization
30. How to get Sn (Cont.)
At least
|F |t(n)
|L ≤α(n) |
1/t(n)
=
|F |
|L
≤α(n) |
1/t(n)
strings in F are
covered by y in each step.
We can restate the above statement, saying that at least ϕ(s)
fraction of the remaining set is covered in each iteration,
where
1
1
= (α(n)+1)/t(n)
ϕ(n) =
1/t(n)
2
|L ≤α(n) |
Venkatesh Raman
Lower Bounds on Kernelization
31. How to get Sn (Cont.)
At least
|F |t(n)
|L ≤α(n) |
1/t(n)
=
|F |
|L
≤α(n) |
1/t(n)
strings in F are
covered by y in each step.
We can restate the above statement, saying that at least ϕ(s)
fraction of the remaining set is covered in each iteration,
where
1
1
= (α(n)+1)/t(n)
ϕ(n) =
1/t(n)
2
|L ≤α(n) |
There were 2n strings to cover at the starting. So, the number
of strings left to cover after p steps is at most
(1 − ϕ(n))p 2n ≤
2n
e ϕ(n)·p
which is less than one for p = O(n/ϕ(n)).
Venkatesh Raman
Lower Bounds on Kernelization
32. How to get Sn (Cont.)
At least
|F |t(n)
|L ≤α(n) |
1/t(n)
=
|F |
|L
≤α(n) |
1/t(n)
strings in F are
covered by y in each step.
We can restate the above statement, saying that at least ϕ(s)
fraction of the remaining set is covered in each iteration,
where
1
1
= (α(n)+1)/t(n)
ϕ(n) =
1/t(n)
2
|L ≤α(n) |
There were 2n strings to cover at the starting. So, the number
of strings left to cover after p steps is at most
(1 − ϕ(n))p 2n ≤
2n
e ϕ(n)·p
which is less than one for p = O(n/ϕ(n)).
So, the process ends after O(n/ϕ(n)) ≤ n · 2(α(n)+1)/t(n) steps,
which is polynomial in n since α(n) = O(t(n) log(t(n))).
Venkatesh Raman
Lower Bounds on Kernelization
33. Take away
A few comments about the theorem
coNP ⊆ NP/poly implies PH = Σ3 .
p
The theorem gives us the collapse even if the distillation
algorithm is allowed to be in co-nondeterministic.
Main message is, that if you have t(n) instances of size n, you
can not get an instance equivalent to the Or of them in
polynomial time of size O(t(n) log t(n))
Venkatesh Raman
Lower Bounds on Kernelization
34. How to use the theorem to prove kernel lower bounds
We know that NP-complete problems can not have a
distillation algorithm unless coNP ⊆ NP/poly.
Venkatesh Raman
Lower Bounds on Kernelization
35. How to use the theorem to prove kernel lower bounds
We know that NP-complete problems can not have a
distillation algorithm unless coNP ⊆ NP/poly.
We want to define some analogue of distillation to produce an
instance (x, k) of a parameterized problem L , starting from
many instances of an NP-complete language L.
Venkatesh Raman
Lower Bounds on Kernelization
36. How to use the theorem to prove kernel lower bounds
We know that NP-complete problems can not have a
distillation algorithm unless coNP ⊆ NP/poly.
We want to define some analogue of distillation to produce an
instance (x, k) of a parameterized problem L , starting from
many instances of an NP-complete language L.
We call such an algorithm a composition algorithm. We will
define it formally in the next slide.
Venkatesh Raman
Lower Bounds on Kernelization
37. How to use the theorem to prove kernel lower bounds
We know that NP-complete problems can not have a
distillation algorithm unless coNP ⊆ NP/poly.
We want to define some analogue of distillation to produce an
instance (x, k) of a parameterized problem L , starting from
many instances of an NP-complete language L.
We call such an algorithm a composition algorithm. We will
define it formally in the next slide.
The goal is that composition of an NP-complete language L
into L , combined with a kernel of certain size for L , gives us
distillation L.
Venkatesh Raman
Lower Bounds on Kernelization
38. How to use the theorem to prove kernel lower bounds
We know that NP-complete problems can not have a
distillation algorithm unless coNP ⊆ NP/poly.
We want to define some analogue of distillation to produce an
instance (x, k) of a parameterized problem L , starting from
many instances of an NP-complete language L.
We call such an algorithm a composition algorithm. We will
define it formally in the next slide.
The goal is that composition of an NP-complete language L
into L , combined with a kernel of certain size for L , gives us
distillation L.
So, if we can show that a composition algorithm exists from L
to L with desired properties, then L can not have a kernel of
certain size.
Venkatesh Raman
Lower Bounds on Kernelization
39. Weak d-Composition
˜
(Weak d-composition). Let L ⊆ Σ ∗ be a set and let
∗ × N be a parameterized problem. We say that L weak
Q⊆Σ
d-composes into Q if there is an algorithm C which, given t strings
x1 , x2 , . . . , xt , takes time polynomial in t |xi | and outputs an
i=1
instance (y , k) ∈ Σ∗ × N such that the following hold:
k ≤ t 1/d (maxt |xi |)O(1)
i=1
The output is a YES instance of Q if and only if at least one
˜
instance xi is a YES-instance of of L.
Theorem
˜
˜
Let L ⊆ Σ ∗ be a set which is NP-hard. If L weak d-composes into
the parameterized problem Q, then Q has no kernel of size
O(k d− ) for all > 0 unless NP ⊆ coNP/poly.
Venkatesh Raman
Lower Bounds on Kernelization
40. Proof of the theorem
Theorem
˜
˜
Let L ⊆ Σ ∗ be a set which is NP-hard. If L weak d-composes into
the parameterized problem Q, then Q has no kernel of size
O(k d− ) for all > 0 unless NP ⊆ coNP/poly.
Proof. Let xi = n ∀i ∈ [t(n)] for the input of composition. After
applying the kernelization on the composed instance, the size of
the instance we get is
O(t(n)1/d nc )d− ) = O(t(n)1−(
= O(t(s))
/d) c(d− )
n
)
(for t(s) sufficiently large)
= O(t(s) log t(s))
Venkatesh Raman
Lower Bounds on Kernelization
41. Some comments about composition
In composition, we asked for the parameter k to be at most
t 1/d (n)O(1) . That ruled out kernels of size k d− .
Venkatesh Raman
Lower Bounds on Kernelization
42. Some comments about composition
In composition, we asked for the parameter k to be at most
t 1/d (n)O(1) . That ruled out kernels of size k d− .
What if we can output an instance with k = t o(1) (n)O(1) ?
Then we can rule out kernels of k d− for ALL d!
Venkatesh Raman
Lower Bounds on Kernelization
43. Some comments about composition
In composition, we asked for the parameter k to be at most
t 1/d (n)O(1) . That ruled out kernels of size k d− .
What if we can output an instance with k = t o(1) (n)O(1) ?
Then we can rule out kernels of k d− for ALL d!
We call such an algorithm just “composition”.
Venkatesh Raman
Lower Bounds on Kernelization
44. Some comments about composition
In composition, we asked for the parameter k to be at most
t 1/d (n)O(1) . That ruled out kernels of size k d− .
What if we can output an instance with k = t o(1) (n)O(1) ?
Then we can rule out kernels of k d− for ALL d!
We call such an algorithm just “composition”.
Since theorem of Fortnow-Santhanam allows
co-nondeterminism, so that allows using coNP compositions
for proving lower bounds.
Venkatesh Raman
Lower Bounds on Kernelization
45. Some comments about composition
In composition, we asked for the parameter k to be at most
t 1/d (n)O(1) . That ruled out kernels of size k d− .
What if we can output an instance with k = t o(1) (n)O(1) ?
Then we can rule out kernels of k d− for ALL d!
We call such an algorithm just “composition”.
Since theorem of Fortnow-Santhanam allows
co-nondeterminism, so that allows using coNP compositions
for proving lower bounds.
Sometimes getting composition from arbitrary instances of a
language can be difficult.
Venkatesh Raman
Lower Bounds on Kernelization
46. Some comments about composition
In composition, we asked for the parameter k to be at most
t 1/d (n)O(1) . That ruled out kernels of size k d− .
What if we can output an instance with k = t o(1) (n)O(1) ?
Then we can rule out kernels of k d− for ALL d!
We call such an algorithm just “composition”.
Since theorem of Fortnow-Santhanam allows
co-nondeterminism, so that allows using coNP compositions
for proving lower bounds.
Sometimes getting composition from arbitrary instances of a
language can be difficult.
Some structure on the input instances helps to get a
composition (next slide).
Venkatesh Raman
Lower Bounds on Kernelization
47. Polynomial Equivalence Relation
(Polynomial Equivalence Relation). An equivalence relation R
on Σ ∗ is called a polynomial equivalence relation if the following
two conditions hold:
1
2
There is an algorithm that given two strings x, y ∈ Σ ∗ decides
whether x and y belong to the same equivalence class in
(|x| + |y |)O(1) time.
For any finite set S ⊆ Σ ∗ the equivalence relation R partitions
the elements of S into at most (maxx∈S |x|)O(1) classes.
Venkatesh Raman
Lower Bounds on Kernelization
48. What to do with Polynomial Equivalence Relation
The equivalence relation can partition the input on the basis
of different parameters. These equivalence classes can be used
to give the input to the composition a nice structure.
The helpful choices are often partitions which have the same
number of vertices, or the asked solution size etc.
Then all we need to do, is to come up with a composition
algorithm for instances belonging to same equivalence class.
Since there are only polynomial number of equivalence classes,
in the end we can just output an instance of Or(L )
Next slide is a nice illustration of this method by Michal
Pilipczuk.
Venkatesh Raman
Lower Bounds on Kernelization
57. Take away
We use compositions to rule out polynomial kernels.
Venkatesh Raman
Lower Bounds on Kernelization
58. Take away
We use compositions to rule out polynomial kernels.
A composition from NP-hard problem L to parameterized
problem L gives kernelization hardness for for L .
Venkatesh Raman
Lower Bounds on Kernelization
59. Take away
We use compositions to rule out polynomial kernels.
A composition from NP-hard problem L to parameterized
problem L gives kernelization hardness for for L .
k = t o(1) nc ⇒ No polynomial kernel.
Venkatesh Raman
Lower Bounds on Kernelization
60. Take away
We use compositions to rule out polynomial kernels.
A composition from NP-hard problem L to parameterized
problem L gives kernelization hardness for for L .
k = t o(1) nc ⇒ No polynomial kernel.
k = t 1/d nc ⇒ No kernel of size k d− .
Venkatesh Raman
Lower Bounds on Kernelization
61. Take away
We use compositions to rule out polynomial kernels.
A composition from NP-hard problem L to parameterized
problem L gives kernelization hardness for for L .
k = t o(1) nc ⇒ No polynomial kernel.
k = t 1/d nc ⇒ No kernel of size k d− .
We can make use of equivalence classes to give structure to
input of the composition.
Venkatesh Raman
Lower Bounds on Kernelization
62. Take away
We use compositions to rule out polynomial kernels.
A composition from NP-hard problem L to parameterized
problem L gives kernelization hardness for for L .
k = t o(1) nc ⇒ No polynomial kernel.
k = t 1/d nc ⇒ No kernel of size k d− .
We can make use of equivalence classes to give structure to
input of the composition.
Examples on the board!
Venkatesh Raman
Lower Bounds on Kernelization