1. On the Complexity of Approximating the VC Dimension Chris Umans, Microsoft Research joint work with Elchanan Mossel, Microsoft Research June 2001

2. The VC Dimension C collection of subsets of universe U VC(C) = VC dimension of C: size of largest subset T  U shattered by C T shattered if every subset T’  T expressible as T  (an element of C) Example: C = {{a}, {a, c}, {a, b, c}, {b, c}, {b}} VC(C) = 2{b, c} shattered by C Plays important role in learning theory, finite automata, comparability theory, computational geometry

3. Complexity Questions Given C, compute VC(C) since VC(C)  log |C|, can compute in O(n log n ) time (Linial-Mansour-Rivest 88) probably can’t do better: problem is LOGNP-complete (Papadimitriou-Yannakakis 96) Often C has a small implicit representation: C(i, x) is a polynomial-size circuit such that C(i, x) = 1 iff x belongs to set i implicit version is  3 -complete (Schaefer 99) (as hard as  a  b  c  (a, b, c) for CNF formula  )

4. Approximation Given C (circuit with N inputs), approximate VC(C) approximation within N 1-  NP-hard (Schaefer 99) this paper:  3 -hard to approximate to within 2-  (for any   0) approximable to within 2 in AM AM-hard to approximate to within N  (for some   0) (any   1 if optimal explicit dispersers exist) PSPACE  3  2 AM NP P

5. Why Interesting first constant approximability threshold for optimization problem in the Polynomial Hierarchy we locate threshold with unusual accuracy:  3 -hard to within 2-  (N -(1/4 -  ) ) (for any   0) approximable in AM to within 2-O(N -1/2 ) main idea in  3 -hardness result: desired reduction is essentially a randomness extraction problem AM-hardness result requires strong amplification of AM using dispersers constant in disperser seed length matters

6. Outline for Rest of Talk Arthur-Merlin protocol for 2-approximation  3 -hardness Schaefer’s  3 -completeness proof why we need “randomness extraction” dispersers for simple distributions using list- decodable codes AM-hardness conclusions

7. 2-approximation in AM Sauer-Shelah(-Perles) Lemma: Let C be a collection of subsets of [n] such that. Then VC(C)  m+1.  ( ) j=0 m njnj |C|  Mutual input: circuit C(i, x) (= 1 iff x in set i) Merlin sends set of k elements X = {x 0, x 1,..., x k-1 } Arthur replies with a random k-bit string s Merlin sends an index i Accept iff C(i, x j ) = s j for j = 0, 1, 2,..., k-1 VC(C)  k/2 ⇒ VC(C ∩ X)  k/2 ⇒ Pr[C accepted]  1/2

8. Schaefer’s Reduction  (a, b, c) an instance of QSAT 3 with |a| = |b| = |c| = n Circuit C encodes these sets over universe {0,1} n x [n]: S ( , v, w) = {  } x v if  ( , v, w)=1 n if  b  c  (a, b, c) = 1 then C includes sets: {a} x 0...... 00000 {a} x 0...... 00001  {a} x 1.......111111 and so set{a} x 1.......111111 is shattered by C ⇒ VC(C)  n

9. Schaefer’s Reduction Circuit C encodes these sets over universe {0,1} n x [n]: S ( , v, w) = {  } x v if  ( , v, w)=1 n In general, set of form: {a} x VC(C) onesis shattered if VC(C)  n, then {a} x 1.......111111 is shattered, which implies  b  c  (a, b, c) = 1 For inapproximability, we want relaxed version of this statement to hold for some  close to ½. if VC(C)   n, then {a} x  n ones is shattered, which implies  b  c  (a, b, c) = 1 ???

10. A Randomness Extraction Problem we have a distribution X ⊂ {0,1} n with  n entropy we need: this gives us:  (x ∈ X)  c ∧  (a, EXT(x, y), c) ⇔  b  c  (a, b, c) Note: BUT, X is in a special class of distributions... x ∈ X seed EXT n bits O(log n) bits m = (  n)  (1) bits uniform y we only need a disperser we need zero-error ! (need to hit all of {0,1} m )

11. Generalized Bit-Fixing Sources From what class of distributions is X ? recall a set of form {a} x 001001010001 is shattered ↑ ↑ ↑ ↑ implies C includes following sets: {a} x ??0??0?0???0 {a} x ??0??0?0???1  {a} x ??1 ??1 ?1???1 projecting onto  n red positions, we get uniform distr. “generalized bit-fixing source of dimension  n” ( Kahn-Kalai-Linial 88: no det. extraction if (1 -  )n  Ω(n/log n) )  n ones = {a} x X

12. Dispersers from Codes x ∈ X seed EXT n bits t = O(log n) bits m = (  n)  (1) bits uniform we need: so that EXT(X, U t ) = {0,1} m, for all generalized bit- fixing sources X of dimension  n binary list-decodable code ECC:{0,1} m → {0,1} n Decode(R, i) gives i th codeword within distance at most (1-  )n from R EXT(x, i) ≝ Decode(x, i) Proof: ∀ z ∈ {0,1} m ∃ x ∈ X s.t. dist(ECC(z), x)  (1-  )n therefore, EXT(x, U t ) hits every z.

13. Dispersers from Codes x ∈ X seed EXT n bits t = O(log n) bits m = (  n)  (1) bits uniform using Guruswami-Sudan 00: Theorem: for all 1    ¾, exists an explicit zero- error disperser EXT:{0,1} n x {0,1} 2(1-  )log n + O(1) → {0,1} m for generalized bit-fixing sources of dimension  n = n/2 + n  with m = n  (1). ( notice degree is ≈ n 1/2 instead of ≈ n)

14. (2-  ) Approximation is  3 -Hard  (a, b, c) an instance of QSAT 3 with |a| = |b| = |c| = m Circuit C encodes these sets over universe {0,1} m x [n]: S ( , v, w) = {  } x v if ( ∧  ( , EXT(v,y), w y ) )=1 if  b  c  (a, b, c) = 1, then {a} x 1111111111 shattered ⇒ VC(C)  n if VC(C)  (1/2 +  )n =  n, {a} x  n ones shattered, C contains sets {a} x x ∈ X, for some generalized bit-fixing source X of dimension  n ⇒  (x ∈ X)  c ∧  (a, EXT(x, y), c) ⇔  b  c  (a, b, c) → y y

15. N  Approximation is AM-hard language L in AM ⇔ exists poly-time computable R L : x ∈ L ⇒ Pr[  z R L (x, y, z) = 1] = 1 x ∉ L ⇒ Pr[  z R L (x, y, z) = 1] ≤ ½ strong amplification using dispersers yields: (   0) x ∉ L ⇒ Pr[  z R L (x, y, z) = 1] ≤ exp(|y|  -|y|) Circuit C encodes sets S (y, z) = y if R L (x, y, z)=1 if x ∈ L, then 11111111 is shattered ⇒ VC(C) = |y| if x ∉ L, then #sets ≤ exp(|y|  ) ⇒ VC(C) ≤ |y|  size of instance (N) depends on degree of disperser to get gap of N 1- , need near-linear degree disperser

16. Conclusions fairly complete picture of approximability of VC dimension list-decodable binary codes yield zero-error dispersers for a non-trivial class of distributions Some improvements and generalizations: Ta-Shma-Zuckerman-Safra 01 construct near- linear degree dispersers (available on ECCC) Using q-ary list-decodable codes, and generalization of Sauer’s Lemma, we obtain approximability threshold of q for a generalization of VC dimension (in final version)