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Polynomial Time Approximation Schemes for Dense
Instances of NP-Hard Problems
Sanjeev Arora∗
David Karger†
Marek Karpinski‡
Abstract
We present a unified framework for designing polynomial time approximation schemes
(PTASs) for “dense” instances of many NP-hard optimization problems, including
maximum cut, graph bisection, graph separation, minimum k-way cut with and with-
out specified terminals, and maximum 3-satisfiability. By dense graphs we mean graphs
with minimum degree Ω(n), although our algorithms solve most of these problems so
long as the average degree is Ω(n). Denseness for non-graph problems is defined sim-
ilarly. The unified framework begins with the idea of exhaustive sampling: picking a
small random set of vertices, guessing where they go on the optimum solution, and then
using their placement to determine the placement of everything else. The approach
then develops into a PTAS for approximating certain smooth integer programs where
the objective function and the constraints are “dense” polynomials of constant degree.
1Introduction
Approximation algorithms, whenever they can be found, are a way to deal with the NP-
hardness of optimization problems. Ideally, they should run in polynomial time and have a
small approximation ratio, which is the worst-case ratio of the value of the solution returned
by the algorithm to the value of the optimum solution. (This definition is for minimization
problems; for maximization problems the ratio is inverted so that it is always at least 1.)
Optimization problems seem to be approximable to different degrees (see [Shm94] for
a survey). We know that unless P = NP, problems such as CLIQUE [FGL+91, AS92,
ALM+92] and CHROMATIC NUMBER [LY93] cannot be approximated even to within
a factor of nδin polynomial time, for some fixed δ > 0. (More recently, H˚ astad [H96]
showed that if SAT does not have randomized polynomial-time algorithms, then CLIQUE
cannot be approximated to within a factor n1−δ, for every δ > 0.) Others problems, such as
those related to graph separators [LR88], have algorithms with approximation ratios close
to O(logn). No inapproximability results are known for them. MAX-SNP problems, such
as MAX-CUT or MAX-3-SAT, can be approximated to within some fixed constant factor
but no better [PY91, ALM+92]. Only a few problems, such as KNAPSACK [S75] and BIN
PACKING [FL81], are known to have polynomial time approximation schemes (PTASs).
A PTAS is an algorithm that, for every fixed ǫ > 0, achieves an approximation ratio
of 1 + ǫ in time that is polynomial in the input size (but could grow very fast with 1/ǫ,
such as O(n1/ǫ)). A PTAS thus allows us to trade off approximation accuracy for running
time. (In the previous definition, if the running time is polynomial in 1/ǫ as well, then we
∗Princeton University. Supported by an NSF CAREER Award NSF CCR-9502747 and an Alfred Sloan
Fellowship. email: arora@cs.princeton.edu. URL: http://www.cs.princeton.edu/~arora
†MIT Laboratory for Computer Science.Work done at AT&T Bell Laboratories.
karger@lcs.mit.edu URL: http://theory.lcs.mit.edu/~karger
‡University of Bonn.Supported in part by the International Computer Science Institute, Berkeley,
California, by the DFG Grant KA 673/4-1, ESPRIT BR Grants 7097, 21726, and EC-US 030, and by the
Max-Planck Research Prize. Email: marek@cs.bonn.edu , URL: http://theory.cs.uni-bonn.de/~marek.
email:
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have a fully polynomial time approximation scheme. These are known to exist for a few
problems [GJ79, DFK91, KLM89].)
Unfortunately, recent results ([ALM+92]) show that if P ?= NP, then PTASs do not
exist for many NP-hard problems. In particular, this is is true for every MAX-SNP-hard
problem. (The class of MAX-SNP-hard problems includes VERTEX COVER, MAX-3-
SAT, MAX-CUT, METRIC TSP, MULTIWAY CUTS, and many others [PY91].)
Note that the inapproximability results mentioned above, like all NP-hardness results,
rule out approximation only on worst case instances of the problem. They do not rule out
the existence of algorithms (heuristics) that do well on most instances. This observation is
the starting point of our research.
This paper gives PTASs for a large class of NP-hard problems when the problem instance
is dense. The definition of denseness depends on the problem; for example, dense graphs
are graphs with Ω(n2) edges while dense 3-SAT formulas are those with Ω(n3) clauses.
Note that almost all graphs (asymptotically speaking) are dense, as are almost all 3-SAT
instances.
The design of many (but not all) of our PTAS’s relies on the observation that many
optimization problems can be phrased as nonlinear integer programs in which the objective
function is a low degree polynomial. For dense problems, the optimum value of the objective
function is quite large. Thus, to achieve a multiplicative approximation for dense instances it
suffices to achieve an additive approximation for the nonlinear integer programming problem.
We design such an additive approximation algorithm (see Sections 1.2 and 1.3).
In the remainder of this introduction, we describe the problems we solve and sketch our
solution techniques.
1.1Applicable Optimization Problems
We now describe the problems to which we apply our techniques. The reader will note
that the problems span a broad spectrum. Some, like maximum cut and maximum k-
satisfiability, are MAX-SNP-complete. Thus they do not have PTASs on general (that is,
non-dense) instances [ALM+92], but they can all be approximated within some constant
factor in polynomial time [PY91]. Others, like graph bisection and separation, do not
currently have any algorithms with approximation ratios better than O(logn) on general
instances. It is an open problem whether they are hard to approximate.
MAX-CUT: Partition the vertices of an undirected graph into two groups so as to maximize
the number of edges with exactly one endpoint in each group. An algorithm in [GW94]
achieves an approximation ratio of 1.13 for the problem.
MAX-DICUT: The directed version of the MAX-CUT problem. An algorithm in [FG95]
(improving [GW94]) achieves an approximation ratio of 1.15.
MAX-HYPERCUT(d): A generalization of MAX-CUT to hypergraphs of dimension d; an
edge is considered cut if it has at least one endpoint on each side.
SEPARATOR: Partition the vertices of a graph into two groups, each with at least 1/3 of
the vertices, so as to minimize the number of edges with exactly one endpoint in each
group. An algorithm in [LR88] achieves approximation ratio O(logn) (though it may
produce a 1/4 : 3/4 separator instead of a 1/3 : 2/3 separator).
BISECTION: Partition the vertices of an undirected graph into two equal halves so as to
minimize the number of edges with exactly one endpoint in each half. Some algorithms,
for example using eigenvalues [B87] or simulated annealing [JS93] do well on certain
random graphs (see also [BCLS84]). For worst-case inputs, no true approximation
algorithms are known. Some known “bisection approximators” (based upon techniques
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of [LR88]) yield separators whose capacity is within a factor O(logn) of the capacity
of the optimum bisection. Our algorithm gives an exact bisection.
MAX-k-SAT: Given a conjunctive normal form formula with k variables per clause, find a
true-false assignment to the variables making the maximum possible number of clauses
true. An algorithm in [Yan92] achieves an approximation ratio of 1.33 for the problem.
Improved algorithms have since been given for MAX-3-SAT; an approximation ratio
of 8/7 + ǫ is achieved in [KZ97]. It also known that achieving an approximation ratio
of 8/7 − ǫ is N P-hard [H97].
MIN-k-CUT: Given an n-vertex graph, remove a minimum set of edges that partitions the
graph into k connected components. Saran and Vazirani [SV91] gave a (2 − 2/k)-
approximation algorithm. The variant k-terminal cut problem specifies k vertices that
must all be disconnected from each other by the removal of the edges. Dalhaus et
al. [DJP+94] give an algorithm that achieves an approximation ratio of (2 − 2/k).
DENSE-k-SUBGRAPH: Given a graph, find a subset of k vertices that induces a graph
with the most edges. This problem was studied in [KP93], where an approximation
algorithm with ratio n7/18was presented.
3-COLORING: Color the vertices of a graph with 3 colors such that no two adjacent vertices
have the same color. Application of our techniques to this problem yields a result
already shown in [Edw86].
MAX-SNP: The class of “constant factor approximable” problems defined in [PY91].
We now define a natural notion of dense instance for each problem. (The definition of
dense instances for the class MAX-SNP appears in Section 4.4, where we also describe a
PTAS for them.) Exact optimization on dense instances is NP-hard for all problems except
MIN-k-CUT and 3-COLORING (see Section 7).
Definition 1.1. A graph is δ-dense if it has δn2/2 edges. It is everywhere-δ-dense if the
minimum degree is δn. We abbreviate Ω(1)-dense as dense and everywhere-Ω(1)-dense as
everywhere-dense. Thus everywhere-dense implies dense, but not vice versa. Similarly, a
k-SAT formula is dense if it has Ω(nk) clauses, and a dimension-d hypergraph if it has Ω(nd)
edges.
Theorem 1.2. There are PTASs for everywhere-dense instances of BISECTION and SEP-
ARATOR.
Theorem 1.3. There are PTASs for dense instances of the following problems: MAX-CUT,
MAX-DICUT, MAX-k-SAT for any constant k, DENSE-k-SUBGRAPH for k = Ω(n),
MAX-HYPERCUT(d) for constant d, and any MAX-SNPproblem.
Theorem 1.4. Exact algorithms exist on everywhere-dense graphs for MIN-k-CUT when
k = o(n) and for 3-COLORING.
Remark. The 3-COLORING result is not new—see [Edw86]—but does follow from a direct
application of our general technique
1.2Our Methods
Our heuristics are based upon two main ideas: exhaustive sampling and its use in approxima-
tion of polynomial integer programs. We discuss these ideas in the context of the maximum
cut problem (MAX-CUT), one of the problems to which our techniques apply.
The goal in MAX-CUT is to partition the vertices of a given graph into two groups—
called the left and right sides—so as to maximize the number of edges with an endpoint
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on each side. Notice that in the optimum solution, every vertex has the majority of its
neighbors on the opposite side of the partition (else, it would improve the cut to move the
vertex to the other side). Thus, if we knew where the neighbors of each vertex lay, we would
know where to put each vertex.
This argument may seem circular, but the circularity can be broken (in dense graphs) by
the following exhaustive sampling approach. Suppose we take a sample of O(logn) vertices.
By exhaustively trying all possible (i.e., 2O(log n)) placements of the vertices in the sample,
we will eventually guess where each vertex of the sample belongs in the optimum cut. Since
there are 2O(log n)= nO(1)possibilities, we can afford to try every one of them in polynomial
time. So assume we have partitioned the sampled vertices correctly according to the optimal
cut. Now consider some unsampled vertex. If a majority of its neighbors belong on the right
side of the optimum cut, then we expect that a majority of its sampled neighbors will be
from the right side of the optimum cut. This suggests the following scheme: put each
unsampled vertex on the side opposite the majority of its sampled neighbors.
This scheme works well for vertices whose opposite-side neighbors significantly outnumber
their same-side neighbors. More problematic are vertices for which the neighbors split evenly
between the two sides; sampling will not typically give us confidence about the majority
side. This brings us to the second major idea of our paper: approximately solving nonlinear
integer programs. Define a variable xifor vertex i which is 1 if the vertex is on the right
side of a cut and 0 otherwise. Then finding a maximum cut corresponds to finding a 0-1
assignment that maximizes the following function (where E is the edge set of the graph):
?
i
xi
?
(i,j)∈E
(1 − xj)
.
To see this, note that the formula counts, for every vertex i on the right side of the cut, the
number of edges leading from it to neighbors j on the left side of the cut.
Of course, solving even linear integer programs is N P-complete, and the above program
involves a quadratic objective function. However, we show that exhaustive sampling can
be used to approximately maximize such functions, and more generally, to approximately
solve integer programs in which the constraints and objective involve low-degree polynomials
instead of linear functions. We state our main approximation result in the next section.
Most of our approximation algorithms are more properly viewed as algorithms that com-
pute an additive approximation (see Section 1.3). For example, our algorithm for MAX-CUT
computes, for every graph, a cut of capacity at least OPT − ǫn2, where ǫ is any desired
constant. Such an approximation is also within a small multiplicative factor of the optimum
in a dense graph (i.e., one with Ω(n2) edges) because OPT = Ω(n2) for such graphs (this
follows from our earlier observation that in an optimum cut, every vertex is on the oppo-
site side from a majority of its neighbors). However, our algorithms for BISECTION and
SEPARATOR are not additive approximation algorithms.
1.3Smooth Integer Programs
Many existing approximation algorithms for N P-hard problems are based on representation
of the problem as a linear integer program (LIP). All problems in N P have such formulations
since solving LIPs is N P-complete. Many problems have natural formuations as LIPs that
give insight into their structure and lead to approximation algorithms. But formulation
as a LIP masks the true nature of many other problems—in particular, an approximately
optimum solution to the LIP may correspond to a far from optimum solution to the original
optimization problem. A more natural formulation involves nonlinear integer program in
which the objective function is a low degree polynomial. Most of our PTAS’s for dense
problems are derived from such a representation. We solve a general class of optimization
problems in which the objective function and the constraints are polynomials.
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Definition 1.5. A polynomial integer program (or PIP) is of the form
maximize
subject to
p0(x1,... ,xn)
li≤ pi(x) ≤ ui
xi∈ {0,1}
(1)
(2)
(3)
(i = 1,...,m)
∀i ≤ n
where p0,... ,pmare polynomials. (The PIP could involve minimization instead of maxi-
mization.)
When all pihave degree at most d, we call this program a degree d PIP.
Since they subsume integer programs, it is clear that solving PIPs is N P-hard. One
might hope to define a more tractable class by eliminating the integrality requirement, but
this accomplishes nothing since the 0–1 integrality of xican be enforced by the quadratic
constraint xi(xi− 1) = 0.
We now describe a class of PIPs that are easy to approximate.
Definition 1.6. An n-variate, degree-d polynomial has smoothness c if the absolute value
of each coefficient of each degree i monomial (term) is at most c · nd−i.
Remark. The reader should think of c and d as being fixed constants, and n as being
allowed to grow. We call the resulting family of polynomials a family of c-smooth degree d
polynomials.
Definition 1.7. A c-smooth degree-d PIP is a PIP in which the objective function and
constraints are c-smooth polynomials with degree at most d.
Smooth integer programs can represent many combinatorial problems in a natural way.
We illustrate this using MAX-CUT as an example.
Example 1.8. A degree-2 polynomial with smoothness c has the form
?
aijxixj+
?
bixi+ d
where each |aij| ≤ c,|bi| ≤ cn,|d| ≤ cn2.
We show how to formulate MAX-CUT on the graph G = (V,E) using a 2-smooth integer
program. Define a variable xifor each vertex vi. Then, assign 0,1 values to the xi(in other
words, find a cut) so as to maximize
?
{i,j}∈E
(xi(1 − xj) + xj(1 − xi)).
(Notice that an edge {i,j} contributes 1 to the sum when xi?= xj and 0 otherwise. Thus
the sum is equal to the cut value.) Expanding the sum shows that the coefficients of the
quadratic terms are 0 and −2 while the coefficients of the linear terms are at most n.
Now we can state our general theorem about approximation of smooth integer programs.
Definition 1.9. A solution a is said to satisfy a constraint li≤ pi(x) ≤ uito within an
additive error δ if li− δ ≤ pi(a) ≤ ui+ δ.
Theorem 1.10. There is a randomized polynomial-time algorithm that approximately solves
smooth PIPs, in the following sense. Given a feasible c-smooth degree d PIP with n variables,
objective function p0and K constraints, the algorithm finds a 0/1 solution z satisfying
p0(z1,... ,zn) ≥ OPT − ǫnd,
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where OPT is the optimum of the PIP. This solution z also satisfies each degree d′constraint
to within an additive factor of ǫnd′for d′> 1, and satisfies each linear constraint to within
an additive error of O(ǫ√nlogn).
The running time of the algorithm is O((dKnd)t), where t = 4c2e2d2/ǫ2= O(1/ǫ2).
The algorithm can be derandomized (i.e., made deterministic), while increasing the run-
ning time by only a polynomial factor.
Remark. The statement of the theorem can be stronger: the input PIP does not need to be
feasible, but only approximately feasible (that is, there must be a point that satisfies each
degree d′constraint to within an additive error ǫ′nd′for some ǫ′< ǫ/2.)
Theorem 1.10 underlies almost all of our PTASs. However, our PTASs for BISECTION
and MIN-k-CUT require some additional ideas since an additive approximation is not good
enough.
1.4 Related Work
There are known examples of problems that are seemingly easier to approximate in dense
graphs than in general graphs. For instance, in graphs with degree exceeding n/2, one can
find Hamiltonian cycles [P`76] and approximate the number of perfect matchings [JS89]. In
everywhere-dense graphs it is easy to approximate the values of the Tutte polynomial and,
as a special case, to estimate the reliability of a network [AFW94].
Independent of our work, Fernandez de la Vega [FdlV94] developed a PTAS for everywhere-
dense MAX-CUT using exhaustive sampling principles similar to ours. After sampling and
guessing, Fernandez de la Vega replaces our linear-programming solution with a greedy
placement procedure. While this procedure is significantly simpler than ours (at least con-
ceptually; the running time is still dominated by the exhaustive sampling procedure and is
similar to ours), it is not obvious (and is an interesting open question) whether the procedure
can generalize to the other problems we have listed.
Edwards [Edw86] shows how to 3-color a 3-colorable everywhere-dense graph in polyno-
mial time. Our sampling approach gives an alternative algorithm.
A random-sampling based approach related to ours also appears in [KP92].
In the last section of the paper (Section 8) we describe some results related to our work
that have been discovered since the conference presentation of the current paper.
1.5Paper Organization
In Section 2 we give details of the main ideas of our approach, exhaustive sampling and
transforming polynomial constraints into linear constraints, already sketched in Sections 1.2
and 1.3. We continue to use MAX-CUT as a motivating example.
In Section 3 we generalize these techniques to derive our (additive error) approximation
algorithm for any smooth polynomial integer program (PIP). In Section 4, we use these PIPs
to approximate most of the problems listed in Section 1.1. Solving BISECTION and SEPA-
RATOR requires some additional exhaustive sampling ideas that are explained in Section 5.
In Section 6, we describe some problems that can be solved purely by exhaustive sampling,
with no recourse to PIPs. Finally, in Section 7, we confirm that all of the problems we
are approximating are still N P-complete when restricted to dense instances, demonstrating
that an exact solution is unlikely.
2Our Techniques: An overview
In this section we introduce our two major techniques, exhaustive sampling and reducing
degree d constraints to linear constraints (in an approximate sense) to give a PTAS for dense
MAX-CUT.
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First we express MAX-CUT as a quadratic integer program as follows. Let the 0/1 vector
x be the characteristic vector of a cut, i.e., xi= 1 iff i is on the right side. Let N(i) be the
set of neighbors of vertex i, and let
ri(x) =
?
j∈N(i)
(1 − xj)
be the linear function denoting the number of number of neighbors of i that are on the left
side of cut x. Then
MAX-CUT =max?
s.t. xi∈ {0,1}
ixi· ri(x)
∀i
The above formulation looks a lot like an integer linear program, for which numerous ap-
proximation techniques are known. Unfortunately, the “coefficients” ri(x) in the objective
function are not constants—the program is actually a quadratic program. However, exhaus-
tive sampling lets us estimate the value these coefficients have in the optimum solution. We
arrive at our approximation in three steps:
1. Using exhaustive sampling, we estimate the values of ri(a) at the optimum solution
a = (a1,... ,an). See Section 2.1.
2. We replace each function riby the corresponding estimate of ri(a). This turns the
quadratic program into a linear (integer) program. We show that optimum of this
linear integer program is near-optimum for the quadratic program. See Section 2.2.
3. We solve the fractional relaxation of the linear integer program, and use randomized
rounding to convert the solution into an integer one. We show that this does not
dramatically change the solution value. See Section 2.3.
A comment on notation:
real numbers, as a shorthand for the interval [a − b,a + b].
Throughout the paper, we will use a ± b where a and b are
2.1Estimating Coefficients
We begin by using exhaustive sampling to estimate the values ri(a) at the optimum solution
a. Let a be the optimum cut and let ρi= ri(a). Then a is the solution to the following
integer linear program:
MAX-CUT =max?
s.t. xi∈ {0,1}
ri(x) = ρi
ixi· ρi
∀i
∀i
Of course, the usefulness of this observation is unclear, since we don’t know the values
ρi. We show, however, that it is possible to compute an additive error estimate of the ρiin
polynomial time, in other words, a set of numbers eisuch that
ρi− ǫn ≤ ei≤ ρi+ ǫn
∀i.(4)
This can be done using our exhaustive sampling approach. We take a random sample of
O(logn) vertices. By exhaustively trying all possible (i.e., 2O(log n)= nO(1)) placements of
the vertices in the sample, we will eventually guess a placement wherein each vertex is placed
as it would be in the optimum cut. So we can assume that we have “guessed” the values aj
in the optimum cut for all the sampled vertices j. Now consider any unsampled vertex i. If
it has |N(i)| = Ω(n) neighbors, then with high probability, Θ(logn) of its neighbors are part
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of the random sample (high probability means probability 1−n−Ω(1)). A moment’s thought
shows that these neighbors form a uniform random sample from N(i). Hence by examining
the fraction of sampled neighbors on the left hand side of the cut (namely, neighbors for
which aj= 0) we can obtain an estimate of ri(a)/|N(i)| that is correct to within a small
additive factor. This follows from the following sampling lemma.
Lemma 2.1 (Sampling Lemma). Let (ai) be a sequence of n numbers, each with absolute
value at most M. Let f > 0 be any number. If we choose a multiset of s = g logn of the ai
at random (with replacement), then their sum q satisfies
qn
s
∈
?
i
ai± nM
?
f
g
with probability at least 1 − n−f.
Proof. Let s = g logn. For j = 1,... ,s let Xjbe the random variable denoting the number
picked in the jthdraw. Since the numbers are drawn with replacement, the values Xjare
identically distributed, and
E[Xj] =1
n
n
?
j=1
aj.
Since |Xj| ≤ M by hypothesis, the lemma now follows from the standard H¨ offding bound
[H64].
For MAX-CUT, our goal is to estimate the values ρiof the form?
we randomly choose (with replacement) g logn indices with g = O(1/ǫ3), and “guess” their
values by exhaustively trying all possibilities. Since each aj= 0 or 1, we can take M = 1
in the Sampling Lemma. The Sampling Lemma shows that for each i, the probability is at
least 1 − 1/n2that the following happen (i) Ω(logn/ǫ2) of the sampled vertices lie in N(i)
(note that the conditional distribution of these vertices is uniform) and (ii) the estimate for
ρiproduced using this sample is accurate to within ǫn.
j∈N(i)(1−aj). First,
if any |N(i)| ≤ ǫn/10, we use the estimate 0 for ρi. To estimate ρi for the remaining i,
2.2Linearizing the Quadratic Integer Program
Now we use the coefficient estimates to define an integer linear program whose solutions are
near-optima for MAX-CUT. Given the estimates eijust derived for the values ρi, we write
the following linear integer program. Note that it is feasible, since a satisfies it (assuming
our sampling step in the previous section worked).
NEW-OPT =max
?
ixi· ei
s.t. xi∈ {0,1}
ei− ǫn ≤ ri(x) ≤ ei− ǫn
∀i
∀i(5)
(Recall that each ri(x) is a linear function of x, so the given constraints are linear con-
straints.)
We claim that the optimum solution z to this integer linear program is near-optimum for
MAX-CUT. This can be seen as follows:
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?
ziri(z) ≥
?
?
?
?
?
zi(ei− ǫn)
ziei− ǫn2
aiei− ǫn2
ai(ρi− ǫn) − ǫn2
aiρi− 2ǫn2
= MAX-CUT − 2ǫn2
By the constraints (5)
≥
≥
≥
≥
Since z is integer optimum
from (4)
In other words, the optimum of the integer program is a near-optimum solution to MAX-
CUT.
2.3 Approximating the Linear Integer Program
Of course, we cannot exactly solve the integer linear program just derived. But we can
compute an approximate solution to it as follows. We relax the integrality constraints,
allowing 0 ≤ xi ≤ 1. We use linear programming to obtain the fractional optimum, say
y ∈ [0,1]n, and then use randomized rounding to convert the fractional solution to an
integral one of roughly the same value. The key lemma is the following:
Lemma 2.2 (Randomized Rounding). If c and f are positive integers and 0 < ǫ < 1,
then the following is true for any integers n ≥ 0. Let y = (yi) be a vector of n variables,
0 ≤ yi≤ 1, that satisfies a certain linear constraint aTy = b, where each |ai| ≤ c. Construct
a vector z = (zi) randomly by setting zi= 1 with probability yiand 0 with probability 1−yi.
Then with probability at least 1 − n−f, we have
aTz ∈ b ± c
We can apply this lemma to our problem as follows. Give our fractional solution y, let us
apply randomized rounding as in the lemma to yield an integral solution z. We claim that
with high probability,
ri(y) ± O(√nlnn)
?
Specifically, to derive Equations (6) and (7) from Lemma 2.2, note that each ri(x) is a
linear function with 0–1 coefficients and that each ri(y) is at most n.
We use these equations as follows. The analysis of the previous section showed that the
integral optimum of our derived linear program was near the maximum cut value, so the
fractional optimum y can only be better. That is,
?
fnlnn
ri(z)
∈
∈
(6)
ziri(y)
?
yiri(y) ± O(n3/2lnn)(7)
?
yiri(y) ≥ MAX-CUT − 2ǫn2.
We now use our randomized rounding lemma. We have that
?
ziri(z) ≥
?
?
?
zi(ri(y) − O(√nlnn))
ziri(y) − O(n3/2lnn)
yiri(y) − O(n3/2lnn)
≥ MAX-CUT − (2ǫ + o(1))n2
From (6)
≥
≥
From (7)
This finishes the overview of our algorithm for MAX-CUT.
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3Approximating Smooth Integer Programs
We now generalize the results of the previous section to handle arbitrary polynomial integer
programs (PIPs). We describe an algorithm that computes approximate solutions to smooth
PIPs of low degree, thus proving Theorem 1.10. We use the fact that smooth PIPs can be
recursively decomposed into smooth lower-degree PIPs. This lets us apply ideas similar to
those described in Section 2 for MAX-CUT. In a PIP the objective function and constraints
are low degree polynomials (degree 2 in the case of MAX-CUT). We use exhaustive sampling
to convert such polynomial integer programs into linear integer programs. Then we use the
Raghavan-Thompson technique to approximately solve the linear integer program.
We will see shortly that we can assume without loss of generality that we are dealing
with the feasibility version of a PIP—that is, we are given a feasible PIP and out goal is to
find an approximately feasible integer solution. Our general algorithm has the same three
elements as the one for MAX-CUT:
1. We show in Section 3.2 that we can relax the integrality conditions, since we can
use randomized rounding to convert every feasible fractional solution of a PIP into a
feasible integral solution.
2. In Section 3.3, we generalize the sampling theorem, which applies only to sums, to let
us estimate the values of polynomials.
3. We show in Section 3.4 that we can use our estimates to convert degree d constraints
into linear constraints without affecting feasibility.
We begin in Section 3.1 with some basic observations.
3.1 Basic Observations
We begin with a few basic observations that we will use at various times in the proof.
3.1.1 A Polynomial Decomposition
Our PIP algorithms are basically recursive generalizations of the approach for MAX-CUT.
They rely on the following key observation that lets us decompose any polynomial into
simpler polynomials:
Lemma 3.1. A c-smooth polynomial p of degree d can be written as
p(x) = t +
?
xipi(x)
where t is a constant and each piis a c-smooth polynomial of degree d − 1.
Proof. From each monomial term in the expansion of p, pull out one variable xi. Group all
monomials from which xiwas extracted into pi. Every degree d′term in picorresponds to
a degree d′+ 1 term in p, and thus has coefficient at most cnd−(d′+1)= cn(d−1)−d′. Thus,
since pihas degree (at most) d − 1, it is a c-smooth degree d − 1 polynomial.
Remark. The above analysis also shows that we can express p uniquely as a sum
p(x) = t +
?
xipi(xi,... ,xn),
that is, where each pidepends only on variables with index i or greater.
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The decomposition of a degree d polynomial into degree d − 1 polynomials gives us a
natural recursion through which we can generalize our quadratic programming techniques.
By computing an estimate ρiof the value of pi(x) at the optimum solution, we replace the
degree-d constraint p with a single constraint on?xiρitogether with a family of constraints
until all of our constraints are linear.
To estimate the values pi(x), we again rely on the expansion above: we expand pi in
terms of degree d − 2 polynomials, writing pi(x) =?xjpij(x), recursively estimate the pij
After constructing the required linear integer program, we solve its fractional relaxation
and use randomized rounding as before to transform the solution into an integral solution.
To prove that randomized rounding works, we again use the decomposition—we show that
each pi(x) is roughly preserved by rounding, and deduce that?xipi(x) is also preserved.
3.1.2 Reducing Optimization to Feasibility
on the values pi(x). We then recursively expand these degree d − 1 constraints, continuing
values, and then use exhaustive sampling to estimate p based on the values of the pij.
We can reduce PIP optimization to the corresponding feasibility problem (“Is there a feasible
solution such that the objective exceeds a given value?”) using binary search in the usual
way. This uses the fact that the optimum value of a PIP is not too large, as shown in the
following lemma (which will also be useful later).
Lemma 3.2. If n > d, then the absolute value of a c-smooth polynomial at any point in
[0,1]nis at most 2cend(where lne = 1).
Proof. For 0 ≤ i ≤ d the polynomial has at most?n+i
[0,1]nis
i
?terms of degree i, and each has a
coefficient in [−cnd−i,cnd−i]. Thus an upper bound on the absolute value at any point in
d
?
i=0
cnd−i·
?n + i
i
?
≤
d
?
i=0
cnd−i·
?n + d
i
?
≤
cnd
d
?
i=0
(n + d
n
)i1
i !
≤
cnde1+d/n
which is at most cend(1 + 2d/n) < 2cendfor n > 5d.
3.2Rounding Fractional PIPs
We begin with the final step of our algorithm, rounding a fractional solution to an integral
one. We present this section first since it is more straightforward than the following ones
but conveys the same ideas. As we saw in Section 2.3, Raghavan and Thompson [RT87]
show that given a fractional solution to a linear program, we can round it into an integer
solution that is “almost as good.” We rephrased their result in Lemma 2.2. We now modify
the Raghavan-Thompson technique to show in Lemma 3.3 that a similar result is true for
low degree polynomials. In other words, we show that the value of a c-smooth polynomial
at a point in [0,1]nis not too different from its value at a nearby integral point obtained by
randomized rounding.
Lemma 3.3 (Randomized Rounding for degree d polynomials). Let p be a c-smooth
degree-d polynomial. Given fractional values (yi) such that p(y1,... ,yn) = b, suppose ran-
domized rounding is performed on the yias in Lemma 2.2 to yield a 0,1 vector (zi). Then
with probability at least 1 − nd−f, we have
p(z1,... ,zn) ∈
?
b ± gdnd−1
2√
lnn
?
,
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where g = 2ce√f.
Proof. We use induction on the degree. The case d = 1 follows from Lemma 2.2. Now assume
we have proved the Lemma for all integers less than d, and p is a degree d polynomial. As
argued in Section 3.1, we can express p as
p(x1,... ,xn) =
n
?
i=1
xi· pi(x1,... ,xn) + t, (8)
where t is a constant and piis a c-smooth polynomial of degree at most d − 1.
Let ρidenote the value pi(y1,... ,yn). Then
b=p(y1,... ,yn)
n
?
=t +
i=1
ρi· yi.
Let (z1,... ,zn) ∈ {0,1}nbe obtained by randomized rounding on (y1,... ,yn). Our
proof consists of noticing that with high probability, (zi) satisfies both b ≈?
realize that any such (zi) also satisfies b ≈ p(z1,... ,zn).
Let us formalize this idea. Note that |ρi| ≤ 2cend−1by Lemma 3.2. So we can apply
Lemma 2.2 (replacing c by 2cend−1). We find that with probability at least 1−n−f(recalling
that the notation a ± b is shorthand for the interval [a − b,a + b]),
n
?
Furthermore, the inductive hypothesis implies that for each i ≤ n, the probability is at
least 1 − nd−f−1that
pi(zi,... ,zn) ∈ ρi± g(d − 1)nd−1−1
Hence we conclude that with probability at least 1 − nd−f− n−f≈ 1 − nd−f, the event
mentioned in Condition (10) happens for each i ≤ n, and so does the event mentioned in
Condition (9). Of course, when all these events happen, we have:
iρizi (by
Lemma 2.2) and ∀i ≤ n : ρi ≈ pi(z1,... ,zn) (by induction for degree d − 1). Then we
i=1
ρi· zi∈ b ± gnd−1√
nlnn. (9)
2√
lnn (10)
p(z1,... ,zn) = t +
n
?
?
?
i=1
zi· pi(z1,... ,zn)
zi(ρi± g(d − 1)nd−1−1/2√
ziρi± g(d − 1)nd−1/2√
= b ± gnd−1√
= [b ± gdnd−1
∈ t +
⊆ t +
lnn)
by (10)
lnn
nlnn ± g(d − 1)nd−1/2√
lnn]
lnn
by (9)
2√
Hence we have shown that p(z1,... ,zn) ∈ [b ± gdnd−1
1 − nd−f.
2√lnn] with probability at least
3.3 Estimating the Value of a Polynomial
Having shown how to round a fractional solution to an integral one, we now show how to
find an approximately optimal fractional solution by solving a linear program. As discussed
above, our procedure for replacing the constraint on p(x) by linear constraints requires
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Page 13
estimating the values at the optimum a of the coefficients pi(a) in the expansion p(a) =
?aipi(a). In this section, we show how this estimation can be accomplished by exhaustive
of a c-smooth degree d polynomial p(x1,... ,xn) on any unknown 0/1 vector (a1,... ,an),
given only partial information about (a1,... ,an). The algorithm is given the values aifor
O(logn) randomly-chosen indices i, and outputs an estimate that, with high probability,
lies in p(a1,... ,an) ± ǫnd.
To simplify our exposition later we describe the procedure more generally as using a
(multi)set of indices S ⊆ {1,... ,n}.
sampling. We describe a procedure Eval in Figure 3.3 that can approximate the value
Algorithm Eval(p,S,{ai: i ∈ S})
Input:polynomial p of degree at most d,
set of variables indices S,
aifor i ∈ S.
Output: estimate for p(a1,... ,an).
if deg(p) = 0 (i.e., p is a constant) then
return p
else
write p(x1,... ,xn) = t +?xipi(x1,... ,xn)
for each i ∈ S
ei←Eval(pi,S,{ai: i ∈ S})
return
t +
|S|
i∈S
where t is a constant and each pihas degree at most d − 1
n
?
aiei
Figure 1: The approximate evaluation algorithm
Note that if S = {1,... ,n} then the procedure returns p(a1,... ,an). We will show that
in order to get an additive approximation of the type we are interested in, it suffices to
choose S randomly and of size O(logn). We use the Sampling Lemma (2.1) as the base case
in our inductive proof of the correctness of Eval.
Lemma 3.4. Let p be a c-smooth polynomial of degree d in n variables xi, and let a1,... ,an∈
{0,1}. Let S be a set of O(g logn) indices chosen randomly (with replacement). Then with
probability at least 1 − nd−f, set S is such that Eval(p,S,{ai: i ∈ S}) returns a value in
p(a1,... ,an) ± ǫnd, where
ǫ = 4ce
?
f
g.
Proof. The proof is by induction on d. The case d = 0 is clear. For the inductive step let
ρi= pi(ai,... ,an), so we have
p(a1,... ,an) = t +
n
?
i=1
ai· ρi
(11)
The intuition for why Eval’s output should approximate p(a1,... ,an) is as follows. Each
pihas degree at most d−1, so the inductive hypothesis implies that ei≈ ρi. Thus the output
13
Page 14
of eval is
t +
n
|S|·
?
i∈S
ai· ei≈ t +
n
|S|·
?
?
ai· ρi
i∈S
ai· ρi
(by the inductive hypothesis)
≈ t +
i
(by the Sampling Lemma)
It remains to fill in the details, and to deal with the complication that the errors in our
recursive estimates of the ρiaccumulate into the error for our estimate of p(a1,... ,an).
Our sample has size g logn. By Lemma 3.2, each |ρi| ≤ 2cend−1. Hence the Sampling
Lemma implies that with probability 1 − n−fthe set S is such that
n
|S|
?
i∈S
aiρi∈
?
i
aiρi±
?
2ce
?
f
g
?
nd
(12)
Of course, we do not have the values ρi. However, we do have the values ei=Eval(pi,S,{ai:
i ∈ S}). To see the impact of using them instead, let ǫddenote the smallest number such
that for every c-smooth degree d polynomial p and point a ∈ {0,1}n
Pr[Eval computes an estimate within p(a) ± ǫdnd] ≥ 1 − nd−f
We get an recurrence for ǫdas follows. By definition, Eval estimates any particular ρito
within ǫd−1nd−1with probability 1−n(d−1)−f. Thus all n values ρiare estimated to within
this bound with probability 1−n·n(d−1)−f= 1−nd−f. Combining with (12), we conclude
that with probability at least 1 − nd−f− n−f≈ 1 − nd−f, set S is such that the returned
value
n
|S|
i∈Si∈S
?
|S|
i∈S
??
?
t +
?
ai· ei∈ t +
n
|S|
?
n
ai·?ρi± ǫd−1nd−1?
?
⊆ t +
ai· ρi
?
± ǫd−1nd−1n
|S|
⊆ t +
i
ai· ρi± 2ce
?
f
gnd
?
±ǫd−1
|S|nd
?
by (12)
⊆ t +
?
i
ai· ρi±
2ce
?
f
g+ǫd−1
|S|
nd
= p(a1,... ,an) ±
?
2ce
?
f
g+ǫd−1
|S|
?
nd.
It follows that
ǫd≤ 2ce
?
?
?
f
g+ǫd−1
|S|
≤ 2ce
f
g(1 + |S|−1+ ··· + |S|−d)
≤ 4ce
f
g
for |S| > 1.
14
Page 15
Corollary 3.5. With probability 1−nd−fover the choice of S, the Eval procedure accurately
estimates the values of all the polynomials arising from the decomposition of polynomial p
(that is, estimates every degree-d′polynomial to within ǫd′nd′).
Proof. This is implicit in the previous proof. Note that the decomposition of p is determined
solely by p, independent of the value of the optimum solution a that we are estimating.
3.4Transforming Degree d Constraints to Linear Constraints
Using the estimates produced by Procedure Eval of Section 3.3 we can transform any
polynomial constraint into a family of linear constraints, so that any feasible solution to
the linear constraints will approximately satisfy the polynomial constraint as well. We use
algorithm Linearize in Figure 3.4. Just like Eval, the inputs to this procedure contain
partial information about some feasible solution vector (a1,... ,an) ∈ {0,1}nto the input
constraint.
Algorithm Linearize(“L ≤ p(x1,... ,xn) ≤ U”, S, {ai: i ∈ S}, ǫ)
Input:constraint involving polynomial p of degree d,
lower bound L and upper bound U
multiset of variable indices S
ai∈ {0,1} for each i ∈ S.
Error parameter ǫ > 0.
Output: A set of linear constraints
if p is linear then
output the input constraint “L ≤ p(x) ≤ U”
else
write p(x1,... ,xn) = t +?xipi(x1,... ,xn)
for i = 1 to n
ei← Eval(pi,S,{ai: i ∈ S})
li← ei− ǫnd−1
ui← ei+ ǫnd−1
Linearize(“li≤ pi(x1,... ,xn) ≤ ui”, S, {ai: i ∈ S}, ǫ)
output the constraint
“L − ǫnd≤ t +?xiei≤ U + ǫnd”
where t is a constant and each pihas degree at most d − 1
Figure 2: Linearizing a Polynomial Constraint
A simple induction shows that the Procedure in Figure 3.4, when given a degree d con-
straint, outputs a set of at most 1 + n + ··· + nd−1= O(nd−1) linear constraints. The next
two lemmas prove the correctness of this (probabilistic) reduction. The first shows that
with high probability, the replacement equations are jointly feasible. The second shows any
feasible solution will be almost feasible for the original constraint.
Lemma 3.6. Let f,g,c > 0 be any constants. Let Linearize be given an error param-
eter ǫ = 4ce?f/g and a constraint involving a c-smooth polynomial of degree d.
of g logn variables (picked with replacement), then with probability at least 1 − dnd−fPro-
cedure Linearize outputs a set of linear constraints that are satisfied by (a1,... ,an).
Let
(a1,... ,an) ∈ {0,1}nbe a feasible solution to the constraint. If S is a random sample
Proof. Calling linearize with polynomial p results in numerous recursive call, each of which
(besides making other recursive calls) outputs a constraint on some degree d′polynomial
15
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