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S. Barry Cooper & Vincent Danos (eds.): Fifth Workshop on

Developments in Computational Models—Computational Models From Nature EPTCS 9, 2009, pp. 54–64, doi:10.4204/EPTCS.9.7

c

Walid Gomaa

This work is licensed under the Creative Commons Attribution License.

and Real Functions

Walid Gomaa

INRIA Nancy Grand-Est Research Centre, France Faculty of Engineering, Alexandria University, Alexandria, Egypt

[email protected]

Recursive analysis was introduced by A. Turing [1936], A. Grzegorczyk [1955], and D. Lacombe [1955]. It is based on a discrete mechanical framework that can be used to model computation over the real numbers. In this context the computational complexity of real functions defined over compact domains has been extensively studied. However, much less have been done for other kinds of real functions. This article is divided into two main parts. The first part investigates polynomial time computability of rational functions and the role of continuity in such computation. On the one hand this is interesting for its own sake. On the other hand it provides insights into polynomial time computability of real functions for the latter, in the sense of recursive analysis, is modeled as approximations of rational computations. The main conclusion of this part is that continuity does not play any role in the efficiency of computing rational functions. The second part defines polynomial time computability of arbitrary real functions, characterizes it, and compares it with the corresponding notion over rational functions. Assuming continuity, the main conclusion is that there is a conceptual difference between polynomial time computation over the rationals and the reals manifested by the fact that there are polynomial time computable rational functions whose extensions to the reals are not polynomial time computable and vice versa.

1

Introduction

Recursive analysis is an approach for investigating computation over the real numbers; it provides a theoretical framework for numerical algorithms. The field was introduced by A. Turing [12], A. Grze-gorczyk [7], and D. Lacombe [10]. The computation model is based on the mechanistic view of classical computability theory. Hence, unlike other models of real computation such other C. Moore’s recursive class [11], recursive analysis takes more direct and realistic approach by appealing to the notion of Tur-ing machineand hence physical realizability. A conventional machine equipped with function oracles, calledType II Turing machine, is adopted.

In this article we assume the binary alphabet {0,1}. Hence, in such a context finite strings are

interpreted as those rationals with finite binary representation. These are called thedyadic rationals. We denote themD, and will be assumed throughout the rest of this article as representations of real numbers

as indicated by the following definition.

Definition 1. (Cauchy sequence representation of real numbers) Assume x∈R. Thenx can be

repre-sented by a Cauchy functionϕx:NDthat converges at a binary rate:

n∈N:|xϕx(n)| ≤2n (1)

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The computational complexity of real functions defined over compact domains has been extensively studied (see for example, [9]). However, much less have been done regarding functions over non-compact domains (see foundational work [7, 8, 10], work investigating the elementary functions and the Grzegor-czyk hierarchy [3, 6, 5], connection with theGPACmodel [4], characterization by function algebras [2]). The main crux of the current work is to investigate polynomial time computability of rational and real functions defined over domains with components of the form[a,∞).

The article is divided into two main parts. The first part investigates polynomial time computability of rational functions and the role of continuity in such computation. On the one hand this is interesting for its own sake. On the other hand it provides insights into polynomial time computability of real functions for the latter, in the sense of recursive analysis, is modeled as approximations of rational computations. The main conclusion of this part is that continuity does not play any role in the efficiency of computing rational functions. There are polynomial time computable rational functions that are discontinuous. Even we can find efficiently computable functions that are ill-behaved from the smoothness perspective, that is, they have arbitrarily large moduli.

The second part defines polynomial time computability of arbitrary real functions, characterizes it for the particular case where the functions are defined over domains with components of the form[a,∞), and finally compares this notion of computability with the corresponding one over rational functions. Assuming continuity, the main conclusion of this part is that there is a major conceptual difference between polynomial time computation over the rationals and over the reals. This is manifested by the fact that there are continuous polynomial time computable rational functions whose extensions to the reals are not polynomial time computable and conversely, there are rational-preserving polynomial time computable real functions whose restriction to the rationals are not polynomial time computable.

The article is organized as follows. Section 1 is an introduction. Section 2 gives the basic

defini-tions and nodefini-tions of polynomial time computation overDalong with some results about the features of

rational computation. Section 3 gives the basic definitions and notions of polynomial time computation

over Ralong with some results about the features of real computation and its relationship to rational

computation. Section 4 outlines future research directions to be pursued.

2

Polynomial Time Computability over the Dyadic Numbers

LetΣ={0,1,−, .}andΓ={00,01,10,11}. Define a function τ:Σ→Γas follows: τ(0) =00,τ(1) = 11,τ(−) =01,τ(.) =10. Assume thatDis the set of dyadic numbers represented in lowest forms with

the alphabetΣ. Define a functionτ∗:DΓ∗as follows: τ∗(a0, . . . ,an) =τ(a0)· · ·τ(an). For anyd∈D

letlen(d)denote the length of the binary stringτ∗(d).

Definition 2 (PTime (Polynomial time) complexity overD). Assume a function f: DD. We say

that f ispolynomial time computable if there exists a Turing machineM such that for everyd ∈Dthe

following holds

M(τ∗(d)) =τ∗(f(d)) (2)

and the computation time ofMis bounded byp(|τ∗(d)|)for some polynomial functionp.

Let PD denote the class of PTimecomputable dyadic functions. For simplicity in the following

discussion we focus for the most part on unary functions.

For ease of readability we will use the notations for intervals to indicate just the dyadics in these

intervals. In the following discussion we will need to distinguish between two subclasses ofPD. The

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D|f∈PD,a∈D} ∪ {f:D→D|D= (a,b)orD= (a,b]orD= [a,b),f∈PD;a,b∈D}. By removing

the restriction f∈PD, letD[B]andD[U]denote the resulting classes.

Definition 3(Continuous dyadic functions).

1. Assume a function f∈PD[B]with domain[a,). We say that fiscontinuousif fhas amodulus of continuity, that is if there exists a functionm:N2Nsuch that for everyk,nNand for every

x,y∈[a,a+2k]the following holds:

i f|xy| ≤2−m(k,n),then|f(x)−f(y)| ≤2−n (3)

2. Assume a function f∈PD[U]with domain(a,b)(other cases can be similarly handled). We say

that f iscontinuousif f has amodulus of continuity, that is if there exists a functionm:N2N

such that for everyk,n∈Nand for everyx,y[a+2k,b2k]the following holds:

i f|xy| ≤2−m(k,n),then|f(x)−f(y)| ≤2−n (4)

In the following we will refer tokas theextension argumentandnas theprecision argument.

Remark 4. 1. It is clear from Definition 3 that the open domain of a function is divided into a

se-quence of compact subintervals, each of which corresponds to a fixedk. In the following

discus-sion we will typically need to fix such a compact subinterval, hence to ease the notation we use mk(n) =m(k,n)to indicate the modulus of continuity over the fixed subinterval.

2. It is also clear that any continuous dyadic function is bounded over any compact subinterval.

3. As opposed to the case ofR-computation, computability overDdoes not imply continuity of the

underlying function.

LetPD[cnt]denote the continuous subclass ofPD, similarly forPD[B,cnt]andPD[U,cnt]. Let

PN denote the class of PTimecomputable N-functions. Assume a unary function f ∈PN. Let ˜f

PD[B]with domain[0,∞)be an extension of f defined as follows:

˜

f(x) = f(⌊x⌋) (5)

Let ˜P={f˜: fPN}and letD+0 denote the set of nonnegative dyadics.

Lemma 5. There exists f∈PD[B,cnt]whose computation time is not bounded by any function in ˜P. In other words for every ˜f∈P˜ the following holds for infinitely manyddom(f):len(f(d))> f˜(d).

Proof. We will construct a function fsuch that through an interval[r,r+1], forr∈N, the function grows

piecewise linear with predetermined breakpoints chosen such that the length of f grows polynomially

in terms of the length of the dyadic input, however, it grows exponentially in terms of the length of the integer part of the input. Fora∈N, let εa denote the fraction 0.(01)a. Let d0=r, and let k=

min{i∈N:r+1[0,2i]}. For every j∈ {1, . . . ,r}let dj=d0+εj, δj=εjεj1=2−2j. Thedj’s

are breakpoints through which the function increases piecewise linearly. Lete0=dr+εr and for every

j∈ {1, . . . ,r}letej=e0−εj. Theej’s are breakpoints through which the function decreases piecewise

linearly, these are needed to maintain continuity. The formal definition of f:D+

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[r,r+1]) is as follows:

f(d) =

         

         

0 d∈N

0 e0≤dr+1

2j d=dj,j∈ {1, . . . ,r}

2j d=ej,j∈ {1, . . . ,r}

δf(dj+1)+(δj+1−δ)f(dj)

δj+1 dj<d<dj+1,δ =ddj

δf(ej+1)+(δj+1−δ)f(ej)

δj+1 ej+1<d<ej,δ =ejd

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Note thatlen(f(dj))is linear inlen(dj), similarly forlen(f(ej)), hence f isPTimecomputable. Note

that f(dr) =2r=Ω(22

len(r)

), hence fis notPTimecomputable with respect toN-points and therefore its

computation is not bounded by any function in ˜P. By its definition f is continuous. In the following we will find a modulus function for f. Define a functionm:N2Nby(k,n)7→3·2k+n. Let j denote

the interval[dj−1,dj]for j∈ {1, . . . ,r}. Assumex,y∈[r,dr]such that|xy| ≤2−m(k,n)(other cases are

either trivial or can be handled symmetrically). Note that f is monotonically increasing piecewise linear over[r,dr]and the slope of the line in intervalℓj, where j>1, can be computed as follows:

fj= f(dj)−f(dj−1)

δj

=2

j2j−1

2−2j

=23j−1

case 1:x,y∈ℓj: Note thatδj=2−2j≥δr=2−2r. We have

|f(y)−f(x)|=|(yx)f(y)−f(x) yx | =|yx|fj

≤ |yx|fr

≤2−(3·2k+n)fr

≤2−(3·2k+n)23r−1

≤2−(n+1)

case 2:x∈ℓjandy∈ℓj+1where 1< jr−1:

|f(x)−f(y)| ≤ |f(x)−f(dj)|+|f(dj)−f(y)|

≤2−(n+1)+2−(n+1), (from case 1) =2−n

The total length of the two smallest intervalsℓr, ℓr−1isδr+δr−1=2−2r+2−2(r−1)>2−2(r−1)≥2−(3r+n)

|xy|. Hence, it can not happen thatx∈ℓiandy∈ℓjwith|ji|>1. Therefore,mis a modulus function

for f.

Lemma 6. There exists f ∈PD[B,cnt]that does not have a polynomial modulus with respect to the

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Proof. Investigating the proof of Lemma 5, it can be easily seen that the function f defined in that proof satisfies the conclusion of this lemma.

Remark 7. By looking again into the proof of Lemma 5, we observe that the apex of the graph of f can be taken as arbitrarily high as we want by letting jruns from 1 toα(r)for any monotonically increasing

functionα. This indicates that there is no upper bound on the moduli of continuity of the functions in

PD[B,cnt].

Lemma 8. There exists a function f∈PD[B,cnt]that does not have a polynomial modulus with respect

to the precision argumentn.

Proof. Define a functionα:NNby

α(i) =

(

0 i=0or i=1

max{ji: ⌊log2log2j⌋=log2log2j} ow (7)

For everyi∈Nletdi=12i. Define a function f:D+

0 →Das follows:

f(d) =

    

    

1 d0≤dd1

1

log2α(i) d=di,i>1

2(i+1) δf(di+1) + (2−(i+1)−δ)f(di)

di<d<di+1,δ =ddi

0 d≥1

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Then f is a piecewise linear decreasing function over the interval [0,1]. It decreases very slowly

(may even remain constant over long subintervals), however, it eventually reaches 0 atd=1, thus it is

continuous. Note that for everyi,len(di) =iand by definitionlen(f(di)) =O(log(i)). In addition f(di)

is efficiently computable. Hence, f isPTimecomputable. Finally, we need to show that f does not have

a polynomial modulus with respect to the precision parameter. Letℓi denote the subinterval [di−1,di].

Note that there are infinitely manyℓi’s over which f is strictly decreasing. The goal is to compute the

slope of the function over such subintervals. Assume such an intervalℓi= [di−1,di], then it must be the

case thati=22j for some j∈N.

|ℓi|=didi−1

=1−2−i−1+2−(i−1)

=2−i=2−22

j

On the other hand

f(di−1)−f(di) =2−(j−1)−2−j

=2−j

Hence, the slope of the line overℓi is

|fi′|= 2 −j

2−22j

=222

j

j

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Combining the proofs of Lemma 6 and Lemma 8 we have the following.

Theorem 9. There exists a function f ∈PD[B,cnt]that does not have a polynomial modulus with

re-spect to both the extension parameterkand the precision parametern(that is if one variable is considered constant the function would not be polynomial in the other).

3

Polynomial Time Computability over the Real Numbers

Since continuity is a necessary condition for computation overR, it will not be mentioned explicitly. So

we use the notationPRto denote continuousPTimecomputableR-functions. Again we divide into two

subcases:PR[B]andPR[U]. In this section we exclusively handle the casePR[B]. In the case of real

functions over compact domains there is only one parameter that controls the computational complexity,

namelythe precision(the level of approximation required for the output). Given a positive integernas

an input to the machine computing such a function, then roughly speakingnis the required length of the

output. Over acompact domainthere are predetermined lower and upper bounds on the function value,

hence the length of the integer part can be considered constant and therefore does not play any role in the complexity. For a detailed discussion about functions over compact domains see [9]. Moving to functions

inPR[B]the domain and generally the range become unbounded hence an additional parameter, namely

the length of the integer part, must now be accounted for in the computational complexity of a function. Unlike the precision parameter which is an explicit input the extension parameter is extracted by the machine by asking the oracle that represents the actual real number input.

Given a Cauchy sequenceϕletMϕ denote a Turing machineMthat has access to oracleϕ.

Definition 10. (PTime complexity over R[B]) Assume a function f: [a,)R. We say that f is

polynomial time computableif the following conditions hold:

1. There exists a two-function oracle Turing machine such that for everyϕa∈CFa,x∈[a,∞),ϕx∈

CFx, and for everyn∈Nthe following holds:

|Mϕx,ϕa(n)−f(x)| ≤2−n (9)

2. Thecomputation timeofM()(n)is bounded byp(k,n)for some polynomialp, wherek=min{j:x

[a,a+2j]}.

Remark 11. Note that in the previous definition there was not any computability restrictions over the constanta. Furthermore, we chose to universally quantify over all possible Cauchy sequence representa-tions ofa. This avoids the risk of apriori fixing a particular Cauchy sequence which might contain hyper computational information (such as the encoding of the halting set).

Example 12. Consider the function f:[0,∞)→R, defined by f(x) =ex. Note that f(x) =(2x). Since

2x↾Nis not polynomial time computable as anN-function, it is not either polynomial time computable

as anR-function. Thus, f is not polynomial time computable.

Notation 13. For anyx∈R, letϕxCFxdenote the particular Cauchy function

ϕ∗

x(n) =

⌊2n·x

2n (10)

Theorem 14. (Characterizing PR[B]) Assume a function f:[a,∞)→R. Then f ispolynomial time

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1. mis a modulus function for f and it is polynomial with respect to both the extension parameterk and the precision parametern, that is,m(k,n) = (k+n)bfor somebN.

2. ψis anapproximation functionfor f, that is, for everyd∈D[a,)and everynNthe following

holds:

|ψ(d,n)−f(d)| ≤2−n (11)

3. ψ(d,n)is computable in timep(|d|+n)for some polynomial p.

Proof. Fix someϕa∈CFa. The proof is an extension of the proof of Corollary 2.21 in [9]. Assume the

existence ofmand ψ that satisfy the given conditions. Assume an f-inputx∈[a,∞) and letϕx∈CFx.

Assumen∈N. LetMϕx,ϕa(n)be an oracle Turing machine that does the following:

1. letd1=ϕa(2)andd2=ϕx(2),

2. fromd1andd2determine the leastksuch thatx∈[a,a+2k],

3. letα=m(k,n+1),

4. letd=ϕx(α),

5. lete=ψ(d,n+1)and outpute.

Note that every step of the above procedure can be performed in polynomial time with respect to bothkandn. Now verifying the correctness ofM()(n):

|ef(x)| ≤ |ef(d)|+|f(d)−f(x)|

≤2−(n+1)+|f(d)−f(x)|, by definition ofψ

≤2−(n+1)+2−(n+1), |dx| ≤2−mk(n+1)and definition ofm

=2−n

This completes the first part of the proof. Now assume f is polynomial time computable. We adopt the

following notation: for everyx∈Rletϕx(n) =⌊2nx

2n . Fix some large enoughkand consider anyx∈[a,∞)

such that len(⌊x⌋) =k+len(⌊a⌋), hence x∈[a,a+2k]. For simplicity in the following discussion we will ignore the constantlen(⌊a⌋). Since f is polytime computable, there exists an oracle Turing machine M() such that the computation time ofMϕx∗,ϕa

(n)is bounded byq(k,n)for some polynomialq. Fix some

large enoughn∈N.

Let

nx=max{j: ϕx∗(j)is queried during the computation of M

ϕ∗ x,ϕa

(n+3)} (12)

Letdxx∗(nx). By the particular choice of Cauchy sequences we have ϕdx(j) =ϕ

x(j)for every

jnx. Let ℓx =dx−2−nx and rx =dx+2−nx. Then {(ℓx,rx): x∈[a,a+2k]} is an open covering

of the compact interval [a,a+2k]. By theHeine-Borel Theorem, [a,a+2k]has a finite coveringC =

{(ℓxi,rxi):i=1, . . . ,w}. Definem

:N2Nby

m′(k,n) =max{nxi:i=1, . . . ,w} (13)

First We need to show thatm′is a modulus for f. Assume somex,y∈[a,a+2k]such thatx<yand

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case 1:x,y∈(ℓxi,rxi)for somei∈ {1, . . . ,w}. Then|xdxi|<2

nxi which implies thatϕ

x(j) =ϕxi(j) =

ϕ∗

dxi(j)for every jnxi, henceM ϕ∗

x

(n+3) =Mϕ

xi

(n+3) =M

ϕ∗ dxi

(n+3). Now

|f(x)−f(dxi)| ≤ |f(x)−M ϕ∗

x

(n+3)|+|Mϕ

x

(n+3)−f(dxi)|

=|f(x)−Mϕ

x

(n+3)|+|M

ϕ∗ dxi

(n+3)−f(dxi)|

≤2−(n+3)+2−(n+3)

=2−(n+2)

Similarly, we can deduce that|f(y)−f(dxi)| ≤2

−(n+2). Hence,|f(x)f(y)| ≤ |f(x)f(d

xi)|+|f(dxi)−

f(y)| ≤2−(n+2)+2−(n+2)=2−(n+1).

case 2: There is noisuch that x,y∈(ℓxi,rxi). Notice thatC is a covering and by assumption|xy| ≤

min{12(rxi−ℓxi): i=1, . . . ,w}. Hence there must exist i,j such that x∈(ℓxi,rxi), y∈(ℓxj,rxj), and

xj <rxi. Choose an arbitraryz∈(ℓxj,rxi). Then

|f(x)−f(y)| ≤ |f(x)−f(z)|+|f(z)−f(y)|

≤2−(n+1)+|f(z)−f(y)|, applying case 1 to x,z∈(ℓxi,rxi)

≤2−(n+1)+2−(n+1), applying case 1 to y,z∈(ℓxj,rxj)

=2−n

Hence, m′ is a modulus function for f. From the assumption on the time complexity of f we have

nxq(k,n+3). Hence, the functionm(k,n) =q(k,n+3)is a modulus function for f. The approximation

function can be defined as follows: ford ∈Dand nN, letψ(d,n) =Mϕ

d,ϕa

(n). This completes the proof of the theorem.

The following result is a consequence of Theorem 9 and Theorem 14.

Theorem 15. There exists a dyadic continuous function that isPTimecomputable, however, its extension

toRis notPTimecomputable.

LetPR[B] ={f ∈R[B]: f is PTime computable}and letPD[B,cnt,poly] ={f ∈PD[B,cnt]:

f has a polynomial modulus with respect to both arguments}. Let PR[B]↾D={f ∈D[B]: ∃f˜∈

PR[B]such that f = f˜↾D}. The following result shows the converse of Theorem 15, that is there

exists a dyadic-preserving real function that is PTimecomputable, however, its restriction to Dis not

PTimecomputable.

Theorem 16. There exists a function f ∈PR[B]↾Dthat is notPTimecomputable.

Proof. Define a function f:[0,∞)→Ras follows:

f(x) =

          

0 x∈N

1

2+2−

2k

x= j+1

2 f or j∈Nand k=min{i∈N:x<2

i}

2(xj)f(j+12) j<x<j+12,j∈N

2(j+1−x)f(j+1

2) j+

1

2<x< j+1,j∈N

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f is piecewise linear with breakpoints at j’s and(j+12)’s for j∈N. It iszeroat the integer points

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idea is that real computation is inherently approximate hence to get the exact correct value at j+1 2

the precision input n has to be large enough (much larger than the extension parameter) making the

complexity polynomial in terms ofnalthough it is exponential in terms of the extension parameter. And

therefore the overall complexity is polynomial. On the other hand dyadic computation does not involve this precision parameter leaving the overall computation exponential in terms of the only remaining

extension parameter. Now we give the technical details. It is clear that f preserves D. Letg= f D.

Assume somexdom(g)such thatx= j+1

2 for some j∈N. Letk=len(j). From the definition of f,

len(g(x)) =Ω(2k). Hencegis notPTimecomputable as a dyadic function. Now remains to show f is

PTimecomputable as a real function. Assume somexdom(f)and assume someϕ∈CFx. LetM

()

be an oracle Turing machine such thatMϕ(n)does the following:

1. Lete=ϕ(2),

2. Determine the leastksuch thate+1<2k,

3. Letd=ϕ(n+3),

4. If jdj+12for some j∈N, then

(a) Ifn≥2k−10, then output 2(dj)(12+2−2k),

(b) else output(dj),

5. If j+12dj+1 for some j∈N, then

(a) Ifn≥2k−10, then output 2(j+1−d)(1

2+2−

2k

),

(b) else output(j+1−d),

6. End.

ClearlyMϕ(n)runs in polynomial time with respect tonandk. We need to show its correctness. Assume

ε=|xd| ≤2−(n+3). We have the following cases. case 1:x,d∈[j,j+12]. Ifn≥2k−10, then

|Mϕ(n)−f(x)|=|2(dj)f(j+1

2)−2(xj)f(j+ 1 2)|

=2f(j+1

2)|xd|

≤2(1

2+2

−2k

)2−(n+3)

=2−(n+3)+2−(2k+n+2)

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Ifn<2k−10, then

|Mϕ(n)−f(x)|=|(dj)−2(xj)(1

2+2

−2k

)|

=2|1

2(dj)−(xj)( 1

2+2

−2k

)|

=2|1

2d

1 2j

1 2x+

1 2j−2

−2k(xj)|

=2|1

2(dx)−2

−2k(xj)|

≤2(|1

2(dx)|+|2 −2k

(xj)|)

≤2−(n+3)+2−2k

≤2−(n+2)

case 2:x,d∈[j+12,j+1]. This case is symmetrical with case 1.

case 3: One ofxordis in[j,j+21]and the other is in[j+12,j+1]. Then

|Mϕ(n)−f(x)| ≤ |Mϕ(n)−f(j+1

2)|+|f(j+ 1

2)−f(x)|

≤2−(n+2)+2−(n+2), from previous cases

=2−(n+1)

Similar calculations for the case when eitherxord is in[j+12,j+1]and the other in[j+1,j+32] with f(j+1

2)replaced by f(j+1).

Hence, f isPTimecomputable as a real function and this completes the proof of the lemma.

Theorem 15 and Theorem 16 lead to the following interesting surprising corollary.

Corollary 17. There exists f ∈PD[B,cnt]such that its extension toRis not polynomial time

com-putable. And there exists a dyadic-preserving real functiong∈PR[B]such thatg↾Dis not polynomial

time computable.

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4

Further Research Directions

We intend to pursue the following lines of thought:

1. Investigate polynomial time computability of rational and real functions that are defined over

non-compact domains of the formU.

2. Characterize the classesPD[B,cnt]and PD[B,discnt]by function algebras. A candidate

func-tion algebra (for the continuous case) would be an extension to the dyadics of the Bellantoni and Cook class [1].

3. Characterize the classesPD[U,cnt]andPD[U,discnt]by function algebras.

4. Characterize the classesPR[B],PR[U], andPRby function algebras.

References

[1] Stephen Bellantoni & Stephen Cook (1992): A New Recursion-Theoretic Characterization of the Polytime

Functions.Computational Complexity2, pp. 97–110.

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